ML20247G062

Contract: Technical Assistance for Part 20 Implementation, Awarded to Sba.Subcontractor:Scientech,Inc

ML20247G062
Person / Time
Issue date:	07/13/1989
From:	Baker L, Ybarrondo L NRC OFFICE OF ADMINISTRATION (ADM), SCIENTECH, INC., SMALL BUSINESS ADMINISTRATION
To:
Shared Package
ML20247G029	List: ML20247G025 ML20247G062
References
CON-FIN-B-82079, CON-NRC-04-89-067, CON-NRC-4-89-67 NUDOCS 8907270314
Download: ML20247G062 (133)

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AWARD / CONTRACT

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2. CON T R AC T tProc Jnst. Jden t.s NO.

J. EF F ECTivE DATE

4. REQUtSt i tONsPU RLMASE REQUEST / PROJECT NO.

SB'08910215 July 1, 1989 RFP-RS-RES-89-067 S.ISSUEQ BY l

6. ADMINISTERCO BY tt/orne r than item of

. U.S. Small Business AdmifFiH/aWUn U.S. Nuclear Regulatory. Commie 9 %

1020 Main Street, Suite 290 Division of Contracts and Property Management Boise, Idaho 83702 Washington, D.C.

20555

7. NAME AND ADORES $ QF CONTR ACTOR t/Vo.. stiver, city, ;ounty. State and 4/P Codc)

8. CELIVE R Y Sciente'ch, Inc.

P. O. Box 1406 FOB ORf GIN X OTHER (Scc belows j Idaho Falls, ID 83403-1406

.. DISCOUNT e OR PROMPT PAv McNT DUPL CAE ORIG NAi

10. SUBMIT INVOICES I! TEM (4 copies unless uther.

12 wise spect/ted) TO THE I

CODE

' FACILITY CODE ADDRESS SHOWN IN l

12. PA Y MEN T WILL BE M ADE BY U.S.NuclearRegulatoryCommff9Toln

11. Set tp 10/M AR K F O R CODE See Prime Contract Division of Accounting & Finance; GOV /COMM Secti Washington, D.C.

20555

13. UTHORITY FOR USING OTHER THAN FULL ANO OPEN COMPE'Tl? 14. ACCOUNTING AND APPROPRI ATION OATA O to u.S.c. 23o4tcu i

4i U.S.c. 253tcu 5

See Prime Contract l

15A. ITEM NO.

158. SUPPLIES / SERVICES 15C. QUAN TITY iSD. UNIT 15E. UNIT PRICE I 15F AMOUNT See Prime contract for effort entitled "Techni cal Assistance for'Part 20 Impleme ntation" See attached three pages for clauses entitled, "52.219-11 Spe cial 8( a) Contract Conditions J

(APR 1984 )", "52.219-12 Special 8(a) Subcontract Conditions (APR 1924)", and "52.219-14 Limitations on Subcontracting (OCT 1987)."

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PDR CONTR NRC-04-89-067-PDC" 1so. TOTAL AMOUNT OF CONTRACT kl$ 388. W.00

16. TABLE OF CONTENTS 3

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VI l SEC. l DESCRIPTION,

lPAGE(S) VIlSEC l

, DESCRIPTION lPAGEiSI PART I - THE SCHEDULE PART il -CONTR ACT CLAUSES X

A l SOLICITATION /CONTR ACT FORM 1

Xl l l CONTR ACT CLAUSES l 2

]

I B

SUPPLsES OR SERVICES AND PRICES / COSTS PART itt - Li$T OF OOCUMENTS. EXHIBITS AND OTHER ATTACH.

C DESCRIPTION / SPECS./ WORK STATEMENT lJ l LIST OF ATTACHMENTS l

D PACKAGING AND MARKING PART IV - REPRESENTATIONS ANO INSTRUCTIONS E

INSPECTION AND ACCEPTANCE K

REPRESENTATIONS. CERTIFICATIONS AND OTHER STATEMENT 4 OF OFFERORS F

. DELIVERIES OR PERFORMANCE G

CONTRACT ADMINISTRATION DATA L

INSTRS.CONDS. AND NOTICES TO OFFliRORS H

SPECI AL CONTR ACT REQUIREMENTS M

EVALU ATION F ACTORS FOR AWARD CONTRACTING OFFICER WILL COMPL ETE ITEM 17 OR 18 AS APPLICABL E 17 CONTRACTOR'S NEGOTIATED AGREEMENT tContractor sa re.

18.

AWARD (Contractor is not regurred to sagn this document.) Your Nnl<ac'toINrNtb#"nSn"'a$ ceYrYi an items or o$t[rr'n'a'i$ tn'e"'"E0cI[ d uo$n"9 #e"$' ant o u"$ *c'nanges rnaos oy you wniCn aaa t ons or enangei j s

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3'n',"J'.f'o"n";77ed'*n'e",'4'A**Tt"?7,' n'i ?.#" *EJP"o'#"*t ?n"t '"Ji,'e', 'a' in" in' % 'fo""A't"!'n'ile"li. 'r%',*2.!n!"A'.'le'."I "'C%f.'C?w'#3*/o"n. i Contr4Cf Snail be SuoleCt to afid governed by tne followm9 CoCuments: (4) (nel D5tl of the f ouowen9 documents: te) the Oovernment'l SQltCitetton and you'

'O'?'a,"ti;'&,M.'"In!"#!.'Att."n'."'it".ie.'i!"'"4' Ji#CMf'in"!'i f.','R '"" '* > '"'" * *'" ""'" "" '""" ' """'" ' '""*""' """'

e rstTrince nerein. (A ttachments are listed herenn.J 20A, NAMLOF D' NTR ACTING OFFICERa onn 19A. NAME AND TITLE OF SIGNER (Type or print)

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'S TES OF ME 20C. DATE 54GNED 198. NAMEjCONT PfCTgg

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NRC-04-89-067 Page 2 52.219-11 SPECIAL 8(A) CONTRACT CONDITIONS (APR 1984)

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

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

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

(c) Delegates to the U.S. Nuclear Regulatory Commission the responsibility for administering the subcontract to be awarded hereunder with complete authority to take any action on behalf of the Government under the terms and conditions of the subcontract; provided, however, that the U.S. Nuclear Regulatory Commission shall give advance notice to the SBA before it issues a final notice terminating the right of a subcontractor to proceed with further performance, either in whole or in part, under the subcontract for

. default or for the convenience of the Government.

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

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

l (End of Clause) i l

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NRC-04-89-067 Page 3 52.219-12 SPECIAL 8(A) SUBCONTRACT CONDITIONS (APR.1984)

(a) The Small Business Administration (SBA) has entered into Contract No. NRC-04-89-067 with the U.S. Nuclear Regulatory Commission to furnish the supplies or services as described therein.

A copy of the contract is attached hereto and made a part hereof.

(b)

Scientech, Inc., hereafter referred to as the subcontractor, agrees and acknowledges as follows:

(1) That it will, for and on behalf of the SBA, fulfill and perform all of the requirements of Contract No. NRC-04-89-067 for the consideration stated therein and that it has read and is familiar with each and every.part of the contract.

(2) That the S8A has delegated responsibility for the administration of this subcontract to the U.S. Nuclear Regulatory Commission with complete authority to take any action on behalf of the Government under the terms and conditions of this subcontract.

(3) That it will not subcontract the performance of any of the requirements of this subcontract to any lower tier subcontractor without the prior written approval of the SBA and the designated Contracting Officer of

- the U.S. Nuclear Regulatory Commission.

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

(End of Clause)

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___.____m_.._..__m.

NRC-04-89-067.

Page 4 52.219-14 LIMITATIONS ON SUBCONTRACTING As prescribed in 19.508(e). insert the following clause:

LIMITATIONS ON SUBCONTRACTING (OCT 1987)

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

Services (except construction).

At least 50 percent of the cost of contract performance incurred for personnel shall be expended for employees of the concern.

(b) Supplies (other than procurement from a regular dealer in such supplies).

The concern shall perform work for at least.50 percent of the cost of manufacturing the supplies, not including the cost of materials.

(c) General construction.

The concern will perform'at least 15 percent of the cost of the contract, not including the cost of. materials, with its-own employees.

(d) Construction by special trade contractors.

The concern will perform at least 25 percent of the cost of the contract, not including the cost of materials, with its own employees.

(End of clause)

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tS 7ED ORDER

' AWARD / CONTRACT M'jeggAC 4l

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2. CONT R AcT wroc. en,t. so,n o NO.

2. Ee r EcT ive OAT E

.. REQU15 MON /PURCH A5E REQUESTfPRORCT NO.

j b-NRC-04-89-067 July 1, 1989 RFP-RS-RES-89-067 l

S.155UEO BY

6. ADMINISTERCO BY 11/ other than Jtem 5)

CODEj i

l' U.S. Nuclear Regulatory 66 Bin== iun l

Division of Contracts & Property Management DUPLICATE ORIGINAL i

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tion A

t Washington, D.C.

20555

7. r4AME AND ADORE 55 OF CONT R ACTOR tho.. street, city, coun ty. State end 4JP Codr)

8. OELi v E R Y Prime:

• U.S. Small Business Administration 1020 Main Street, Suite 290 0 FOB ORIGIN

[ OTHER (8cc 6ctr>ws Boise, Idaho 83702

s. Discount EOR gROMyT AvMENT Sub:

Scientech, Inc.

P. O. Box 1406 Net Idaho, Falls, ID 83403-1406

10. SUBMIT INVOICES laTEM (4 copnes unless other.

wise spec /ind s TO THE l CODE l FACILITY CODE ADDRESS SHOWN IN' l

u. aAvMENT wice se MADE e <

n.s-mTO/ Man eos COOE l U.S. Nuclear Regulatory Commiff%d See Subsection F.5 Division of Accounting & Finance; GOV /COM Sectic-Washington, D.C. 20555

13. AUTHORITY FOR US4NG OTHER TMAN FULL AND OPEN COMPET).

14. ACCOUNT 6NG AND APPROPHI AT f 0N O AT A FIN No. 9601930060 OBLIGATED:

,B&R No. 882079 5150,000.00 O u u.S C.253icit 5 O to u.S C. 23caica 3 1 15A. ITEM NO.! 158. SUPPLIES /SE RVICES l 15C. QU ANTITY 15D. UNIT ' 15E. UNIT PRICE l 15F AMOUNT i i i Scientech, Inc. shall perform technical assistance as described in the enclosed Solicitation No. RS-RES-89-067 and in accordance with Scientech, Inc.'s technical proposal dated May 26, 1989 which is made a part of this Contract by this reference. This is a cost-plus-fixed-fee. type contract. The following are also incorporated into the contract: I I l l 15G. TOTAL AMOUNT OF CONTRACT >I$388. 851.00 4

16. TABLE OF CONTENTS V) ISEC. l DESCRIPTION lPAGE (S)

VI ISEC l DESCRIPTION lPAGEtSi PART il-CONTR ACT CLAUSES PART I - THE SCHEDULE X A I SOLICIT ATION/CONTR ACT FORM Xl 1 l CONTRACT CLAUSES l X 0 i SUPPLIES OR SERVICES AND PRICES / COSTS PART 111 - LIST OF OOCUMENTS. EXHIBITS AND OTHER ATT ACH. X C l DESCRIPTION / SPECS ! WORK STATEMENT .I l J l LIST OF ATTACHMENTS l X 0 l PACKAGING AND MARKING PART IV - REPRESENTATIONS ANO INSTRUCTIONS X E l INSPECTION AND ACCEPTANCE K REPRESENTATIONS. CERTIFICATIONS AND X F } DELtVERIES OR PERFORMANCE X OTHER STATEMENT 4 OF OFFERORS X G l CONTR ACT ADMINISTR ATION DATA L INSTRS.CONDS.. AND NOTICES TO OFFE RORS X H l SPECI AL CONTR ACT REQUIREMENTS M EVALUATION F ACTORS FOR AWARD CONTRACTING OFFICER WIL L COMPLETE ITEM 17 OR 18 AS APPLICABLE 17. CONT RACTOR'S NEGOTIATED AGREEMENT (Con rrector is re-18. AWARD (Contractor ts not required to seen this document.J Your Yon $ractor Nre s t ceNEais et ms or pe to'r'rN a i e efv ce s'e! neacotSos enanoes made my you wnicn accations or enanges r no u n in a nseeNa son sNo n'ere Tne rYgnts ana $ of tne panes to tn s In a y con enuat neet's. ThIs a conIact wn en cons ser n a o c nsum ates n I vv$rd/ Con Ct ( ne C ation of any ano (C) such p ov $ o s te re fier aO( In s vvard/C nt Ct. I u f urtner Con rett al u e t as neces tions Certif sCatsons.,,anc,imen,.if.tC,e,io,nl,as,e re,attagned or incorporated c) a sary. a t,,e $Dec r m r nCe nerein. u ac ie n. 20A. NAME OF CONTR ACT4NG OF FICER 19A. NAME ANg TITLE OF SIGNER (Type or print) LaDOnna J. Baker Marx a. glynn contractin, ome.r i m i 3.o.N y O g O~ TRAC g R gg -- pocOATEssGNEO 20.U~gOupTg30,,7jRiCA l2owATE sic ~EOj

4,

p NRC-04-89-067 Page 2 (Continuation of SF-26, B1cck No.158. SUPPLIES / SERVICES) 1.

Paragraphs a., c. and d. within Subsection B.2 - CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE (JUNE 1988) ALTERNATE I (JUNE 1988) are completed to read as follows: "a. The total estimated cost to the Government for full performance of this contract is $388,851.00, of which the sum of $358,388.00 represents the estimated reimbursable costs, and of which $30,463.00 represents the fixed fee." "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 March 31, 1990." 2. Paragraphs a. and b. within Subsection F.5 - PLACE OF DELIVERY--REPORTS (JUNE 1988) are completed to read as follows: "a. Project Officer (10 Copies) U.S. Nuclear Regulatory Commission Attn: Harold T. Peterson, Jr. Mail Stop NL/S-139 Division of Regulatory Applications Office of Nuclear Regulatory Research Washington, D.C. 20555 b. Contracting Officer (1 copy) U.S. Nuclear Regulatory Commission Contract Number: NRC-04-89-067, Mail Stop P-902 Division of Contracts and Property Management Contract Administration Branch Washington, D.C. 20555" 3. Subsection F.6 - DURATION OF CONTRACT PERIOD (MAR 1987) is completed to read as follows: "This contract shall commence on July 1, 1989 and will expire on September 30, 1991." I 1 1 s i i

a NRC-04-89-067 l Page 3 4. Paragraph a. within Subsection G.1 - INDIRECT COST RATES (JUNE 1988)'is completed to read as follows: i "a. Pending the establishment of final indirect rates which shall l be negotiated based on audit of actual costs, the Contractor shall be L reimbursed for allowable indirect costs as follows: Overhead Rate: 82% of total. direct labor costs G&A Rate: 7.4% of total direct costs and overhead." 5. Paragraph a. within Subsection G.2 - PROJECT OFFICER AUTHORITY (JUNE 1988) is completed to read as follows: "a. The Contracting Officer's authorized representative i hereinafter referred to as the Project Officer for this contract is: Name: Harold T. Peterson, Jr. Address: U.S. Nuclear Regulatory Commission Division of Regulatory Applications Office of Nuclear Regulatory Research Washington, D.C. 20555' Telephone Number: (301) 492-3640." 6. Under Section G, the following new clause is added to the contract: "G.5 TRAVEL REIMBURSEMENT (JUNE 1988) a. Total expenditure for domestic travel shall not exceed $10,454.00 without the prior approval of the Contracting Officer, b. The Contractor is encouraged to use Government contract airlines, AMTRAK rail service, and discount hotiil/ motel properties in order to reduce the cost of travel under this contract. The Contracting Officer will, upon request, provide each additional 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,' D.C. 20402. c. The Contractor will be reimbursed for reasonable domestic travel costs incurred directly and specifically in the performance of this l contract. The cost limitations for travel costs are determined by the Federal Travel Regulations that are in effect on the date of the trip. l

1 .- f 4 r i NRC-04-89-067 Page 4 These' Regulations specify the daily maximum per diem rates for specific ' localities within the Conterminous United States (CONUS), the standard CONUS rate, the allowance 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, D.C. 20402. 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)" 7. Paragraph a. -within Subsection H.1 - KEY PERSONNEL (JUNE 1988) is completed to read as follows: "a. The following individuals are considered to be essential to the successful performance of the work hereunder: Enrico Conti Wayne Britz J. Stewart Bland" 8. Subsection H.4 - ORGANIZATIONAL CONFLICTS OF INTEREST (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988), which refers to 48 CFR 2009.570-2, is deleted in its entirety and the following new Subsection H.4, which refers to the j current 41 CFR 20-1.5402(f), is substituted in lieu thereof: 1

NRC-04-89-067 Page 5 "H.4 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: i 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 j

parties by virtue of its performance of this contract. b. Scope. The restrictions described apply to performance or participation by the Contractor as defined in 41 CFR 20-1.5402(f) in j 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 i 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 e'xcept as otherwise set forth in this cont'ract, that it' I

does not have any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(a). ] 2) The Contractor agrees that, if after award, it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the } Contracting Officer. This statement must include a description of j the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate j the contract if termination is in the best interest of the Government. e. Access to and use of information. j 1 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 l ? public, the Contractor agrees not to: l

. - r NRC-04-89-067 Page 6 (1) 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 (iv) Release the information without prior written approval i by the Contracting Officer unless the information has previously been released to the public by the NRC. 2) In addition, the Contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L. 93-579), or other confidential or privileged technical, business, or financial information under this contract, the' Contractor shall treat the information in accordance with restrictions placed on use of the information.

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

f. Subcontracts. Except as provided in 41 CFR 20-1.5402(h), the~ Contractor shall include this clause, including this paragraph, l in s' subcontracts of any tier. The terms " contract," " Contractor," and .l " Contracting Officer," must be appropriately modified to preserve 1 the Government's rights. { i g. Remedies. For breach of any of the above restrictions or for j intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for I such erroneous representations that necessarily imply bad faith, the Government may terminate the contract for def ault, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies permitted by law or this contract. I h. Waiver. A request for waiver under this clause must be directed in writing through the Contracting Officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 41 CFR 20-1.5411. (End of Clause)" i

e n u NRC-04-89-067 Page 7 9. Subsection I.5 - PROMPT PAYMENT (FAR 52.232-25 (FEB 1988) ALTERNATE.II .(FEB 1988) is deleted in its entirety and the following new Subsection I.5 is substituted in lieu thereof: "I.5 PROMPT PAYMENT (52.232-25) (APR 1989) Notwithstanding any other payment clause in this contract, the Government will make invoice payments and contract financing payments under the terms and conditions specified in this clause. Payment shall be considered as being made on the day a check is dated or an electronic funds transfer is made. Definitions of pertinent terms are set forth in 32.902. All days referred to in this clause are calendar days, unless otherwise specified. (a) Invoice Payments (1) For purposes of this clause, " invoice payment" means a Government disbursement of monies to a Contractor under a contract ~ or other authorization for supplies or services accepted by the Gove rnment. 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: (1) The 30th day after the designated billing office has received a proper invoice from the Contractor. (ii) The 30th day after Government acceptance of supplies ' delivered or services performed by the' Contractor.' On a final invoice where the payment amount is subject to contract settlement actions, acceptance shall be deemed to have occurred on the effective date of the contract settlement. However, if the designated billing office fails to annotate the invoice with the l actual data of receipt, the invoice payment due date shall be deemed.to be the 30th day after tbe date the Contractor's invoice is dated, provided a proper invoice is received and there is no I 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: ~.

v s J i NRC-04-89-067 Page 8 l l I (1) The due date for meat and meat food products, as defined in l 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 l edible 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 mother date is specified in the contract. (iii) The due date for dairy products, as defined in Section 111(e) of the Dairy Production Stabilization Act of 1983 (7 U.S.C. 4502(e)), edible fats or oils, and food products prepared from edible fats or oils, will be as close as possible to, but not later than the 10th day after the date on which a proper invoice has been received. (4) An invoice is the Contractor's bill or written request for 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 accoun't in the ~ computation of any interest penalty owed the Contractor in the manner described in subparagraph (a)(6) of this clause. l (i) Name and address of the Contractor. (ii) Invoice date. (iii) Contract number or other authorization for supplies delivered or services performed (including order number and contract line item number). (iv) Description, quantity, unit of measure, unit price, and extended price of supplies delivered or services performed. (v) Shipping and payment terms (e.g., shipment number and date of shipment, prompt payment discount terms). Bill of lading number and weight of shipment will be shown for shipments on Government bills of lading.

o. 4 7,. j E .1 { NRC-04-89-067 ~ Page 9 i l I (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 _3 address of person to be notified in event of a defective invoice. i (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 f (a)(5)(1) 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. ] 1 J (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 l 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 4 1 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.

1 +, NRC-04-89-067 Page 10 (1) 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. (ii) The following periods of time will not be included in the determination of an interest penalty: ) (A) The period taken to notify the Contractor of defects in invoices submitted to the Government, but this may not exceed 7 days (3 days for meat and meat food products and 5 days for perishable agricultural commodities, dairy products, edible fats or oils, and-food products prepared from edible fats or oils). (B) The period between the defects notice and resubmission of the corrected invoice by the Contractor. (iii) Interest penalties will not continue to accrue after the filing of a claim for such penalties under the clause at 52.233-1, Disputes, or for more than 1 year. Interest penalties of less than $1.00 need not be paid. (iv) Interest penalties are not required on payment delays due to disagreement between the Government and Contractor over the payment amount or other issues involving contract compliance or on i amounts temporarily withheld or retained in accordance with the I 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 f 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 af ter Oc'tober 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-

g..., NRC-04-89-067 (i) Is owed an interest penalty;. p g, 11 -(ii) Is not paid the interest penalty within 10 days after the date the invoice amount is paid; and .(111) 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 completion (32.102(e)(1)) other than those made under the clause at 52.232-5, Payments Under Fixed-Price Construction Contracts, or the clause 6t 52.232-10, Payments Under Fixed-Price' Architect-Engineer. Contracts, and interim payments on cost type contracts. (2)'For contracts that provide for contract financing, requests for payment _shall be submitted to the designated billing office as specified in this contract or as directed by the Contracting Officer. Contract financing payments shall be made on the (insert day as prescribed by Agency head; if not prescribed, insert 30th day) day after receipt of a proper. contract financing request by the designated billing office. In the event that an audit or other review of a specific financing request is required to ensure . compliance with the terms and conditions of the contract, the designated payment office is not compelled to make payment by the due date specified. (3) For advance payments, loans, or other. arrangements that do not involve recurrent submissions of contract financing requests, payment shall be made in accordance with the corresponding contract terms or as directed by the Contracting Officer. (4) Contract financing payments shall not be assessed an interest penalty for payment delays. (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) a All other terms and conditions of the attached solicitation remain unchanged.

Page:7 RS-RES-89-067 Section B v. ~ PART.I - THE SCHEDULE .) SECTION B . SUPPLIES OR SERVICES AND PRICE / COSTS .B.1 BRIEF DESCRIPTION OF WORK (MAR 1987) Provide logistical support, coordination, and technical assistance in the preparation of regulatory guides implementing the revised Part 20 rule. (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 , of which the sum of represents the estimated reimbursable costs, and of which 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 d. It is estimated that the amount currently' allotted will cover performance through (End of Clause) l ~ l

i Page 8-RS-RES-89-067 Section C SECTION C - DESCRIPTION / SPECIFICATION / WORK STATEMENT C.1 STATEMENT OF WORK (MAR 1987) C.

1.1 INTRODUCTION

The NRC will soon. publish a major revision of 10 CFR Part 20, " Standards for Protection Against Radiation." This revision is based on recommendations from International Commission on Radiological Protection (ICRP) and National Council on Radiation Protection and Measurement (NCRP), incorporated into Presidential guidance, for updating occupational and public radiation protection. A significant number of regulatory guides exist which derive from and support 10 CFR Part 20. These guides will require revision, and several new regulatory guides will need to be developed before Part 20 can be implemented. C.I.2 OBJECTIVE The objective of this project is to provide logistical support and coordination and technical assistance to the NRC in the preparation of regulatory guides implementing the revised Part 20 Rule. A review of the impact of the Part 20 revision upon NRC regulatory guidance (NUREG/CR-5244) showed that new guidance is required and that several of the existing regulatory guides require modification. The work will consiit of (a) providing the logistical support and coordination to the NRC to ensure the completion of the required regulatory guidance by the implementation date (to be determined by the Commission by Summer 1989) for the revised rule and (b) providing technical assistance to the NRC by developing technical information that will be used for the technical bases for the regulatory positions in the regulatory guides. Specific tasks will include: logistical support in the development and tracking of a work schedule commensurate with the rule implementation date, technical assistance with development of the draft guides; modification of the technical information to reflect public comments received by the NRC on the draft guides; and "on call" assistance to the NRC for technical presentations. C.1.3 SCOPE OF WORK The Contractor shall perform the following three tasks: ] i Task 1: Logistical Support and Coordination s The Contractor shall develop an integrated work schedule for

c i RS-RES-89-067 Page 9 Section C the preparation of the technical backup for Regulatory Guides to implement i the revised 10 CFR Part 20. Using existing computer codes, the Contractor shall develop and implement a schedule and track progress on the development of this guidance to ensure that these guides are issued by the Commission-determined implementation date for the revised Part 20 rule. This tracking system shall track the overall efforts of the Contractor, work by other NRC Contractors, and actions taken by NRC related to the development of this guidance. The tracking system effort shall continue throughout the period of performance of this contract until the guidance is issued by the NRC. The tracking system shall be maintained, up-to-date and available at all times for use and review by the NRC Project Officer at the Contractor's facilities. No specific report is required under this task. It is estimated that the development of the schedule and the implementation of the tracking system will require a total of 500 hours of technical effort. Task 2: Development of Technical Bases for Regulatory Guidance The Contractor shall review the existing Regulatory Guides, (exclusive of Regulatory Guide 8.15, " Acceptable Programs for Respiratory Protection), the revised 10 CFR Part 20, research studies, and applicable American National Standards Institute (ANSI) standards to determine the changes that will be required to modify existing Regulator,y Guides to conform to the new regulatory scheme in the revised 10 CFR Part 20. Upon completion of this task, the Contractor shall furnish, in a final technical task report, documentation and references sufficient to provide a technical basis for the Contractor's recommended approaches. The Contractor shall also identify in the report possible changes in NRC endorsement of ANSI standards required due to the changes resulting from the revised 10 CFR Part 20 rule. One copy of this report shall be due to the NRC Project Officer within fourteen months after the effective date of the contract, with one copy to the NRC Contracting Officer. It is estimated that a total of 1,000 hours of technical effort will be required for this effort. Task 3: Support of Guidance Development Because the development of Regulatory Guides involves multiple reviews, both within NRC and involving the industry and the public, the Contractor shall provide technical assistance to resolve comments /questi.ons raised by technical review groups and NRC internal review groups such as the Advisory Committee on Reactor Safeguards, the Advisory Committee on Nuclear Waste, and the Committee to Review Generic Requirements. The Contractor shall attend the review processes with the NRC Project Officer and provide assistance in providing additional documentation, answering questions on the recommended methods, furnishing cost information for use by the NRC Committee to Review Generic Requirements, and making modifications to reflect comments and suggestions that arise during this review process. In addition, the Contractor shall furnish support in the preparation of visual aids related to the rationale and technical > approaches used in the guidance 1 I ...__-___.._____m-_____ -_s

o ~;. RS-RES-89-067 Page 10 Section C development. No specific report is required under this task. It is estimated that there will be.three internal and external review processes inherent in NRC Regulatory Guide preparation and issuance, totaling 300 hours of technica'l effort for this task during the two year period of performance. C.2 MEETINGS AND TRAVEL All contract supported travel requires advance approval of the NRC Project Officer. It is estimated that the Contractor will require three two-day trips to the NRC Headquarters as well as trips to other NRC Contractors and to industries as may be required for performance of work under.this contract. No foreign travel will be required under this contract. C.3 NRC FURNISHED MATERIAL The NRC Project Officer will provide to the Contractor copies of Regulatory Guides, NUREGS, and other available NRC documents required for performance of work under this contract. e e e

Page 11 RS-RES-89-067 Section 0 SECTION O . PACKAGING AND MARKING D.1 PACKAGING AND MARKING (MAR 1987) The Contractor shall package material for shipment to the NRC in such a manner that will insure acceptance by common carrier and safe' delivery at destination. Containers and closures shall comply. with the Interstate Commerce Commission Regulations, Uniform Freight ' Classification Rules, or regulations of other carriers as applicable to the mode of transportation. On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided. (End of Clause) I l 1 ~ 4 l L i I

Page 12

• i RS-RES-89-067

. Section E SECTION E - INSPECTION AND ACCEPTANCE E.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 52.246-3 APR 1984 INSPECTION OF SUPPLIES-- COST-REIMBURSEMENT 52.246-5 APR 1984 _ INSPECTION OF SERVICES-- COST-REIMBURSEMENT i 1 l l e l l l

RS-RES-89-067 5:ction F SECTION F - DELIVERIES OR PERFORMANCE i F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE L NOTICE: The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference: FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) NUMBER. DATE TITLE 52.212-13 APR 1984 STOP-WORK ORDER ALTERNATE I (APR 1984) F. 2 . PREPARATION OF TECHNICAL REPORTS (JUNE 1988) All technical reports required by Section C and all Technical Progress Reports required by Section F are to be prepared in accordance with the attached NRC Manual Chapter 3202. NRC Manual Chapter 3202 is not applicable to any Contractor Spending Plan (CSP) and any Financial Status Report that may be included in this contract. (See Section J for List of Attachments). (End of Clause) F.3 TECHNICAL PROGRESS REPORT (JUNE 1988) (OMB CLEARANCE NUMBER 3150-0112)- The Contractor shall provide a monthly Technical Progress Report to the Project Officer and the Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall include the following for each discrete task: a. A listing of the efforts completed during the period; milestones reached or, if missed, an explanation provided; b. Any problems or delays encountered or anticipated and recommendations for resolution; (if the recommended resolution involves a contract modification, e.g., change in work requirements, level of effort (cost) or schedule delay, the Contractor shall submit a separate letter to the Contracting Officer identifying the ' req] ired change and estimated cost impact), c. A summary of progress to date; and d. Plans for the next reporting period. i

Pago 14 RS-RES-89-067 Section F F.4 FINANCIAL STATUS REPORT (JUNE 1988) (OMB CLEARANCE NUMBER 3150-0112) The Contractor shall provide a monthly Financial ' Status Report to the Project Officer and the Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall include the following for each discrete task: a. Provide total estimated cost (value) of the project as reflected in the contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows:

1) Total 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. (End of Clause) F.5 PLACE OF DELIVERY--REPORTS (JUNE 1988) The items to be furnished hereunder shall'be delivered, with all charges paid by the Contractor, to: a. Project Officer (10 copies) ~ W a b. Contracting Officer (1 copy) I U.S. Nuclear Regulatory Commission Contract Number: Division of Contracts and Property Management Contract Administration Branch Washington D.C. 20555

RS-RES-89-067 Page 15-Section F F.6 DURATION OF CONTRACT PERIOD (MAR 1987) 1 This contract shall commence on and will expire on (End of Clause) F.7 FINAL TECHNICAL TASK REPORT The Contractor shall refer to Section C - Statement of Work regarding specific deliverables required under each task. No reports are required-under Tasks One and Three. A final technical task report is required under . Task Two. (End of Clause) 4 1 J ~ l u__ _m._

3 Page 16 RS-RES-89-067-Section G SECTION G - CONTRACT ADMINISTRATION DATA G.1 INDIRECT COST RATES (JUNE 1988) a. Pending the establishment of final indirect rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs as follows: b. The Contracting Officer may adjust the above rates as appropriate during the term of the contract upon acceptance of any revisions proposed by the Contractor. It is the Contractor's responsibility to notify the Contracting Officer in accordance with 52.232 Limitation of Cost or 52.232 Limitation of Funds, as applicable, if such change (s) affect (s) performance of work i 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: Address: i l i Telephone Number: l 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 work emphasis between areas of work or tasks, fills in details or otherwise serves to accomplish the contractual statement of work. j 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

..} - _ - _ _ - - - _ _ - _ - - _ w Page 17 'RS-RES-89-067 Section G-of technical reports, drawings,- specifications and technical .information'to be delivered by the Contractor to the Government under the contract. - c. Technical direction must be within the general statement of work. stated in the contract. The Project Officer does not have the authority to.and may not issue any. technical direction which:

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

2) Constitutes a change as defined in the " Changes" clause

~ of this contract.

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

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

specifications of the contract.

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

d. All_ technical directions shall be issued in writing by the Project Officer or shall be confirmed by such person in writing within ten (10) working days after verbal issuance. A copy of said written direction shall be furnished to the' Contracting Officer. e. The Contractor shall proceed premptly with the performance of. technical directions duly issued by the Project Officer in the manner prescribed by this clause and within such person's authority under the provisions of this clause. f. If, in the opinion of the Contractor, any instruction'or direction issued by the Pr,oject Officer is within one of the categories as defined in c above, the Contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the Contractor, the Contracting Officer shall issue an appropriate contract modification'or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the -scope of this article and does not constitute a change under the Changes Clause. g. Any unauthorized commitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance and may even result in the Contractor expending funds for unallowable costs under the contract. h. A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken =

.-c Page 18 1 RS-RES-89-067 Section G - 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 reimbursement by.the Contractor.and submitting to the Contracting Officer recommendations for approval, disapproval, or suspension of payment for supplie and services required under this contract.

(End of Clause) G.3 REMITTANCE ADDRESS (MAR 1987) If item 15C. of'the. Standard Form 33 has been checked, enter the remittance address below. Name: Address: SCIENTECH, Inc. ATIN: Accounting Departracnt P.O. Box 1406 Idaho Falls, ID 83403-1406 l (End of Clause) G.4 BILLING INSTRUCTIONS c The Contractor shall refer to Section J - Attachments, for billing ) instructions. i a e

Page 19 4 RS-RES-89-067 Section H SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 KEY PERSONNEL (JUNE 1988) -a. The following individuals are considered to be essential to the successful performance of the work hereunder. 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. J c. All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They must contain a complete resume for the proposed substitute and other information requested by the Contracting Officer to approve or disapprove the proposed substitution. The Contracting Officer will evaluate such requests and promptly notify the Contractor of his/her approval or disapproval thereof in writing. d. If the Contracting Officer determines that:

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

2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate. If l

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, ; css or damage. b

~ Page 20 RS-RES-89-067 Section H (End of Clause) H.2 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 l 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.3 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.4 ORGANIZATIONAL CONFLICTS OF INTEREST (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988) a. Purpose. The primary purpose of this clause is to aid in ensuring that the Contractor: 1) Is not placed in a conflicting role because of current or planned interests (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and

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

b. 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 cuniiict of interest, the Contractor shall obtain the written approval cf the Contracting Officer prior to execution of such contractual arrangement.

L.. Page 21 'C RS-RES-89-067 Section H 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: (i) Use this information for any private purpose until the information has been released to the public; (ii). Compete for work for the Commission bated 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; j l (iii)_ Submit an unsolicited proposal to the Government based on the information until one year after the release of the information to the public, or (iv) Release the information without prior written approval by the Contracting Officer unless the information has j 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-i: 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.

l 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," i

RS-RES-89-067 Section H l and " Contracting Officer," must be appropriately modified to preserve the Government's rights. g. Remedies. For breach of any of the above restrictions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations that necessarily imply bad faith, the Government may terminate the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies permitted by law or this contract. h. Waiver. A request for waiver under this clause must be directed in writing through the Contracting Officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 48 CFR 2009.570-9. (End of Clause) 1 I i l s l L _ -_- _ -- - -_

RS-RES-89-067 Section I. PART II - CONTRACT CLAUSES SECTION-I. -- CONTRACT CLAUSES I.1 NOTICE LISTING. CONTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE:.The following solicitation provisions and/or contract -clauses pertinent to this section are hereby incorporated by reference: FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1). NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS 52.203-1 'APR 1984 0FFICIALS NOT TO BENEFIT 52.203 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 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.216-7 APR 1984 ALLOWABLE COST AND PAYMENT 52.216-8 APR 1984 FIXED FEE-52.219-8 JUN 1985 UTILIZATION OF SMALL-BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS 52.219-13 AUG 1986 UTILIZATION OF WOMEN-OWNED SMALL BUSINESSES 52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS 52.222-3 APR 1984 CONVICT LABOR 52.222-26 APR 1984 EQUAL OPPORTUNITY 52.222-28 APR 1984 EQUAL OPPORTUNITY PREAWARD CLEARANCE OF SUBCONTRACTS 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS 52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 52.222-37 JAN 1988 EMPLOYMENT REPORTS ON SPECIAL DISABLED VETERANS AND VETERANS OF THE VIETNAM ERA

Page 24 RS-RES-89-067 Section I 52.223-2 APR 1984 CLEAN AIR AND WATER 'i 52.227-3 APR 1984 PATENT INDEMNITY 52.228-7 APR 1984 INSURANCE -- LIABILITY TO THIRD PERSONS 52.232-22 APR 1984 LIMITATION OF FUNDS 52.232-23 JAN 1986 ASSIGNMENT OF CLAIMS 52.233-1 APR 1984 DISPUTES 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 JUL 1985 SUBCONTRACTS (COST-REIMBURSEMENT AND LETTER CONTRACTS) 52.244-5 APR 1984 COMPETITION IN SUBCONTRACTING 52.245-1 APR 1984 PROPERTY RECORDS 52.245-5 JAN 1986 GOVERNMENT PROPERTY (COST-REIM-BURSEMENT, TIME-AND-MATERIAL, OR LABOR-HOUR CONTRACTS) 52.245-19 APR 1984 GOVERNMENT PROPERTY FURNISHED "AS IS" 52.249-6 MAY 1986 TERMINATION (COST-REIMBURSEMENT) 52.249-14 APR 1984 EXCUSABLE DELAYS I.2 SPECIAL 8(A) CONTRACT CONDITIONS (FAR 52.219-11) (APR 1984) The Small Business Administration (SBA) agrees to the following: (a) To furnish the supplies or services set forth in this contract according to the specifications and the terms and conditions hereof by subcontracting with an eligible concern pursuant to the provisions of section 8(a) of the Small Business Act, as amended (15 U.S.C. 637(a)). (b) That in the event SBA does not award a subcontract for all or a part of the work hereunder, this contract may be terminated either in whole or in part without cost to either party. (c) Delegates to the U.S. Nuclear RegulatoryCommission the i responsibility for administering the subcontract to be-awarded hereunder with complete authority to take any action on behalf of the Government under the terms and conditions of the subcontract; provided, however, that the U.S. Nuclear RegulatoryCommission shall give advance notice to the SBA before it issues a final notice terminating the right of a subcontractor to proceed with further performance, either in whole or in part, under the subcontract for default or for the convenience of the Government. l l (d) That payments to be made under any subcontract awarded under this contract will be made directly to the subcontractor by the U.S. Nuclear RegulatoryCommission. l ) ,L__-_ R

Page 25 RS-RES-89-067 Section I (e) That the subcontractor awarded a subcontract hereunder shall have the right of appeal from decisions of the Contracting Officer cognizable under the " Disputes" clause of said subcontract. (End of Clause) I.3 LIMITATIONS ON SUBCONTRACTING (FAR 52.219-14) (OCT 1987) By submission of an offer and execution of a contract, the Offeror / Contractor agrees that in performance of the contract in the case of a contract for-- (a) SERVICES (EXCEPT CONSTRUCTION). At least 50 percent of the cost of contract performance incurred for personnel shall be expended for employees of the concern. J (b) SUPPLIES (OTHER THAN PROCUREMENT FROM A REGULAR DEALER IN SUCH SUPPLIES). The concern shall perform work for at least 50 percent of the cost of manufacturing the supplies, not including the cost of materials. (c) GENERAL CONSTRUCTION. The concern will perform at least 15 percent of the cost of the contract, not including the cost of materials, with its own employees. (d) CONSTRUCTION BY SPECIAL TRADE CONTRACTORS. The concern will perform at least 25 percent of the cost of the contract, not including the cost of materials, with its own employees. (End of Clause) I.4 PAYMENT FOR OVERTIME PREMIUMS (FAR 52.222-2) (APR 1984)- (a) The use of overtime is authorized under this contract if the overtime premium cost does not exceed $0. In addition to this dollar ceiling, overtime is permitted only for work-- (1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or accounting; (3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and operations in flight or afloat that are continuous in nature and

1 Page 26 RS-RES-89-067 Section I i cannot reasonably be int.errupted or completed otherwise; or j l (4) That will result in lower overall costs to the Government. (b) Any request for estimated overtime premiums that exceeds the i amount specified above shall include all estimated overtime for contract completion and shall-- l (1) Identify the work unit; e.g., department or section in which tnc requested overtime will be used, together with present workload, i

• aff'ng, and other data of the affected unit sufficient to permit

...e Contracting Officer to evaluate the necessity for the overtime; (2) Demonstrate the effect that denial of the request will have on the contract delivery or performance schedule; j (3) Identify the extent to which approval of overtime would affect the performance or payments in connection with other Government contracts, together with identification of each affected contract; and (4) Provide reasons why the required work cannot be performed by using multishift operations or by employing additional persor.nel. (End of Clause) I.5 PROMPT PAYMENT (FAR 52.232-25) (FEB 1988) ALTERNATE II (FEB 1988) Notwithstanding any other payment clause in this contract, the Government will make invoice payments and contract financing payments under the terms and conditions specified in this clause. 4 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 j this clause are calendar days, unless otherwise specified. j (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 i been accepted by the Government and final cost or fee payments where amounts owed have been settled between the Government and the l Contractor. (2) Except as indicated in subparagraph (a)(3) of this clause, I the due date for making invoice payments by the designated payment office shall be the later of the following two events: (1) The 30th day after the designated billing office has received a proper invoice from the Contractor. 1 (ii) The 30th day after Government acceptance of supplies 1

. -, w, a u 2,z <1,. 3

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lV 'RS-RES-89-067-Section I m w l ' delivered or' services performed by the Contractor. On a final i invoice where the payment amount is subject to contract settlement ~ actions, acceptance shall be deemed to have occurred on the effective date of the contract settlement. . (3) The due date on contracts-for meat and meat food products, contracts for. perishable. agricultural commodities, and contracts not .j requiring submission of an invoice shall be~as follows: (1).The'due'date for~ meat'and meat food products, as defined J .in Section 2(a)(3) of the Packers and Stockyard Act of 1921 (7 ] U.S.C.182(3)) and further defined in Pub. L 98-181 to include poultry. poultry products,. eggs, and egg products, will be as close i 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) If the contract does not require submission of an invoice for' payment (e.g., periodic lease payments), the due date - will.be as specified in.the contract. (4) An invoice.is the Contractor's bill or written request for 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 15 days after receipt of the invoice at'the designated billing office (3 days for meat and meat food. products and 5 days for perishable agricultural commodities)- Untimely notification s-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. .q -(i) Name and address of the Contractor. (ii) Invoice date. (iii) Contract number or other authorization for supplies delivered or services performed (including order number and contract line item number). (iv) Description, quantity, unit of measure, unit price, and extended price of supplies delivered'or, services performed (v) Shipping and payment terms (e.g., shipment number and date of shipment, prompt payment discount terms) ' Bill of lading number and weight of shipment will be shown for shipments on Government bills of lading.

a q,, Page 28.' .RS-RES-89-067 Section I l i p _(vi)~NameandaddressofContractorofficialtowhompayment 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). 'i (5)'An interest penalty shall be paid automatically by the j Government, without request from the Contractor, if payment is' not '1 made within.15 days' after the due date (3 days for meat and meat i food products and 5 days for perishable agricultural 1' commodities) l and the following conditions are met, if applicable: (1) A proper invoice was received by'the designated billing i office. (ii) A receiving report or other Government documentation authorizing. payment was processed and there was not 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 01sputes Act'of 1978 (41 U.S.C. 611) that is in effect on the payment 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 i (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

h 4 - RS-RES-89-067 Section-I . deemed to have occurred constructively on t e 5th working day after h -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. (ii) The following periods of time will not be included in the determination of an interest penalty: (A) The period taken to notify the Contractor of defects in invoices submitted to the Government, but this may not exceed 15 days.(3 days for meat and meat food products and 5 days for perishable agricultural commodities). (B) The period between the defects notice and resubmission - of the corrected invoice by the Contractor. (iii) Interest penalties will not continue to accrue after the filing _of a claim for such penalties.under the Disputes clause or 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 'I that may be payable, will be resolved in accordance with the Disputes clause, j (7) An interest penalty shal.1 also be pa.id automatically by the designated payment office, without request from the contractor, if an improperly taken discount for prompt payment was not corrected within 15 days after the expiration of the discount ;:eriod (3 days for meat and meat food products and 5 days for perishable agricultural commodities). The interest penalty will be calculated as described in paragraph (a)(6) of this clause on the amount of discount taken for the period beginning with the first day after the end of the discount period through the date when the contractor is paid. (b) Contract Financing Payments 1 (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 a i 1

'o Page 30 RS-RES-89-067 Section I percentage or stage of completion (32.102(e)(1) other than those made under the clause at 52.232-5, Payments Under Fixed-Price Construction Contracts, or the clause at 52.232-10, Payments Under Fixed-Price Architect-Engineer Contracts, and interim payments on cost type contracts. (2) For contracts that provide for contract financing, requests for payment shall be submitted to the designated billing office as specified in this contract or as directed by the Contracting Officer. Contract financing payments shall be made on the 30th day after receipt of a proper contract financing request by the designated billing office. In the event that an audit or other review of a specific financing request is required to ensure compliance with the terms and conditions of the contract, the designated payment office is not compelled to make payment by the due date specified. (3) For advance payments, loans, or other arrangements that do not involve recurrent submissions of contract financing requests, payment shall be made in accordance with the corresponding contract terms or as directed by the Contracting Officer. (4) Contract financing payments shall not be assessed an interest penalty for payment delays. (c) Electronic Funds Transfer. Payments under this contract will be made by the Government either by check or electronic funds transfer (through the Treasury Financial Communications System (TFCS) or the Automated Clearing House (ACH), at the option of the Government. After award, but no later than 14 days before an j invoice or contract financing request is submitted, the contractor l shall designate a financial institution for receipt of electronic ) funds transfer payments. The Contractor shall submit this designation to the Contracting Officer or other Government official, as directed (1) For payment through TFCS, the Contractor shall provide the following information: (1) Name, address, and telegraphic abbreviation of the financial institution receiving payment. (ii) The American Bankers Association 9-digit identifying number of the financing institution receiving payment if the institution has access to the Federal Reserve Communications System. (iii) Payee's account number at the financial institution where funds are to be transferred. (iv) If the financial institution does not have access to the Federal Reserve Communications System, name, address, and telegraphic abbreviation of the correspondent financial institution through which the financial institution receiving-payment obtains electronic funds transfer messages. Provide the telegraphic abbreviation and American Bankers Association identifying number for

J' .Page 31

i RS-RES-89 067 Section I.

the correspondent institution. (2) For' payment through ACH, the Contractor shall provide'the -following information: (1) Routing transit numbers of the financial institution receiving payment (same as American Bankers Association identifying numbers used for-TFCS). ~ (11) Number of account to which funds are to be deposited. (iii) Type of depositor account ("C" for. checking, "S" for savings). (iv).If the Contractor is a new enrollee to the ACH system, a " Payment Information Form" TFS 3881,must be completed before payment can be processed.- (3) In the event the Contractor, during the performance of this contract, elects.to designate a different financial institution'for -the receipt of any payment made using electronic funds transfer procedures, notification of such change and the required information i specified above must be received by.the appropriate Government official 30 days. prior to.the date such change.is to become effective. (4) The documents furnishing the information required in this paragraph (c) must.be dated and contain the signature, title, and telephone number of the Contractor official authorized to provide it,.as well as the Contractor's name an,d contract number. (5) 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.6 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (JUN 1988)- This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. (End of Clause) I.7 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

a Page 32-R,5-RES-89-067 Section I l 4 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 I 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 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, distribution, dispensing, possession, or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violations of such prohibition; I (2) Establish a drug-free awareness program to inform such employees about-- (i) The dangers of drug abuse in the workplace; (ii) The contractor.'s policy of maintaining a drug-free workplace; (iii) Any available drug counseling, rehabilitation, and employee assistance programs; and (iv) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace. (3) Provide all employees engaged in performance of the contract with a copy of the statement required by subparagraph (b)(1) of this clause; (4) Notify such employees in the statement required by

1 f% 'Page 33- 'd j RS-RES-89-067 Section I l o j subparagraph-(b)(1)' of this clause, that as.a condition of continued . employment.on-this contract, the employee will -- I (1)' Abide by the' terms of th'e statement; and' -(ii) Notify the employer of any criminal drug. statute conviction l 'for a violation occurring in the workplace no later than five (5) i days after such conviction. (5) Notify the contracting officer'within ten (10) days after receiving. notice under subdivision (a)(4)(ii) of this clause, from an employee, or otherwise receiving actual notice of such conviction; (6) Within 30 days after receiving notice under subparagraph (a)(4) of this clause of a conviction, impose the.following sanctions or remedial measures on any employee who is convicted of. -drug abuse violations occurring in the workplace: 1 (1). Taking appropriate personnel action against such employee, up to and including termination; or (ii) Require such employee to satisfact'orily participate in a drug abuse assistance or rehabilitation program approved for such 1 purposes by a Federal, State, or local health, law enforcement, or other appropriate agency. (7) Make a good faith effort to maintain a drug-free workplace through implementation of subparagraphs (b)(1) through (b)(6) of H this clause. (c) The Contractor, if an individual, agrees by award of the contract or acceptance of a purchase order, not to engage in the unlawful manufacture, distribution, dispensing, possession, or use .of a controlled substance in the performance of this contract. (d) In addition to other remedies available to the Government, the Contractor's failure to comply with the requirements of paragraphs (b) and (c) of this clause ma'y, pursuant 'to FAR 23.506, u render the contractor subject to suspension of contract payments, termination of the contract for default, and suspension or debarment. (End of Clause) I.8 ELECTRONIC FUNDS TRANSFER PAYMENT METH005 (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, 1 I 1

a 1,x x7 q L Page 34. L L' RS-RES-89-067 Section I-as. directed. i l- . (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 i 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 Federal-Reserve Communications. System,'name,-address, and telegraphic abbreviation of the correspondent financial institution through which the financial institution receiving payment obtains wire transfer activity. Provide the telegraphic abbreviation and American Bankers Association identifying number for the correspondent institution. (b) For payment.through ACH, the Contractor shall provide the following information: ~(1) Routing transit number of the financial institution receiving payment (same as American Bankers Association identifying number used for FEDLINE). (2) Number of account to which funds are to be deposited. (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," SV 3881, must be completed before payment can be processed. -(c) In the event the Contractor, during the performance of this contract, elects to designate a different financial institution for .the receipt of any payment made using electronic funds transfer procedures, notification of such change and the required information -specified above must.be received by the appro.priate 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 o

m m i i! ^ RS-RES-89-067 Section I ' may delay payments of amounts otherwise properly due. (End of Clause) 'I.9 DISCOUNTS FOR PROMPT PAYMENT (52.232-8) (APR 1989) i (a) Discounts for prompt payment will not be considered in the evaluation of offers. However, any offered discount will form a part of the award, and will be taken if payment-is made within the discount period indicated in the offer by the offeror. As an alternative to offering.a prompt payment discount in conjunction with the offer, offerors awarded contracts maj include prompt payment discounts on individual invoices. (b) In connection with any discount offered for prompt payment, time shall be computed from the date of the invoice. For the-purpose of computing the discount earned, payment'shall be ' considered to have been made on the.date which appears on the payment check or the date on which an electrenic funds transfer was made. (End of Clause)

I, l ' i' Page 36 RS-RES-89-067 Section J + 4 PART III - LIST OF DOCUMENTS.. EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS 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 4 Standard Form 1411 with Instructions i .d i i. l-l 1 1 ) I \\

e.. ATTACHt1ENT OtlE I'. (REVISED - 4/87) 1 j BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS i General. The contractor shall submit vouchers for cost-reimbursement-in the runner and format described herein and as illustrated in 'the sample voucher. Number of Copies.. An original and two copies should be mailed to the NRC office identified below. Frequency. The contractor shall submit claims for reimbursement once each month unless otherwise authorized by the Contracting Officer. Form. Claims shall be submitted on the Form DC-3 " Voucher for Purchases and Services Other Than. Personal." These forms are available from the Contracting Officer. (The instructions for preparation'and itemization of the voucher are shown on the form.) Billing of Costs Afte'r Exoiration of Contract. If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited. Currency. Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records; payments will be made in that currency. However, the U. S. dollar equivalent for all invoices paid under the contract may not exceed the total U. S. dollars authorized in the contract. Supersession. These instructions supersede all previous billing i ns tructi ons.. 1 .u

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s' INSTRUCTIONS FOR PREPARING COST _INFORMATION FOR NRC CONTRACTS i Preparation and Itemization of the Voucher. The contractor shall furnish the information set forth_ in the explanatory notes below.. These notes are keyed to the entries on the sample voucher. Payor's Name and Address. (1) Address the original voucher (with 2 copies) to: U.S. Nuclear Regulatory Comission. Division of Accounting. and Finance, ATIN: GOV /0CH Accants Section, Washington, DC 20555' Any questions regarding vouchers yet to be paid by..the NRC should be addressed to Division of Accounting (301-492-an30). Any questions regarding vouchers for which payment has been received (either in full or partially with suspensions or disa11oWances) should be ad-dressed 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; except when an approved assign-ment has been made by the contractor, or a tiifferent payee or addressee has been designated, then insert the name and address of the payee. ' Indicate the individual responsible for answering)any questions NRC may havereoardingtheinvoice(nameandphonenumber. (a) Con _ tract Number - Insert the NRC contract number. (b) Tii.h of Project - List the full title of the pmject being performed under this contract. (c) Voucher Number - Insert the appropriate serial number of the voucher beginning with 001 for this contract. Contractors may-also include individual internal accounting numbers in addition to the three digit l number. (d) Date of Voucher - Insert the date the voucher is peepared. (e) Contract Amount - hisert the total estimated cost of the contract. l exclusive of fixed-fee. l (f) Fixed Fee - Insert total fixed-fee (where applicable). (g) Billing Period - Insert the beginning and ending dates (day, montn. and year) of the period in which costs were incurred and for which reimbursement is claimed. l

.g ..g : l i (h) Direct Costs - Insert the major cost elements. (1) Direct Labor - This consists of salaries and wages paid (or accrued) for direct performance of the contract itemized as follows: Labor Labor Hours Cumulative Category-Neootiated Hours Billed Rate Total Hours Billed (2) Fringe Benefits - This represents fringe benefits applicable to direct labor and billed as a direct cost. Where a rate is used, indicate the rate. Frin not be identified here. ge benefits included in direct labor should (3) Direct Equipment tions list each item costin - For educational institu-ancy of more than one year.g 5500 or more, and having a life expect-institutions list each item costinFor contractors other than educatio expectancy of more than one year. g $200 or more ' and having a life for which reimbursement is re List only those items of equipment the following (as applicable) quested. A reference shall be made to (1) the item number for the specific piece of equipment listed in the property schedule of the contract; (2) the Contracting Officer's approval letter if the equipment is i not covered by the property schedule; or (3) be preceded by an ast-erisk (*) if the equipment is below the approval level. Further itemization of vouchers shall only be required for items having specific limitations set forth in the contract. (4) Materials, Sucolies, and Other Excendable Items - These are consumable materials and 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 Contracting Officer.) (6) Consultants' Fee - The supporting infomation must include the name, hourly or daily rate of the consultant and reference the NRC approval (if not specifically approved in the original contract). (7) Travel - Domestic travel is travel within the United States. l its territories, possessions, and Canada; it should be billed separately from foreign travel. Travel costs billed will provide j for individual Per Diem, and all supporting infomation for each j i trip taken. I 1 l l ___.____m m _.-_--,_.m__.___-_____-

'1 i All costs associated with each trip must be shown in the following format: (Unless the organization's travel policy has been negotiated and approved by NRC) 1 Date Traveler Destination Purpose Cost From To From To 1. Airfare j 2. Rental Car 3. Local Travel 4 Per Diem Days e = i 5 Meals: 1 Date Breakfast Lunch Dinner j If not included in Per Diem, 6. Tips, Misc. (Itemize if more tnan 510,00)- (8) Subcontracts - Include all costs paid to approved subcontractors during i billing period. This includes the details of the subcontract terms (i.e., i cost-plus-fixed-fee, direct labor. indirect costs, travel, profit, etc.) (9) Other - List all other direct costs by cost elements and dollar amount separately. (i) Indirect Costs--Overhead - Cite the formula (rate and bass) in effect *during the time the cost was incurred and for which reimbursement is claimed. (j) Fixed-Fee - If the contract provides for a fixed-fee, it must be claimed as provided for by the contract. Cite the formula or method of computation. 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, adjustment, and adjusted amounts for the period. f - _ _ _ _ _ _ _ _

i 1 (1)- Cumulative Amount from Inception to Date of this Billing - Insert the cumulattve amounts billed for the major cost elements and adjusted amounts claimed during this contract. (m) Total Amounts Claimed - Insert the total amounts claimed for the current and cumulative periods. (n) Adjustments - This inc*iudes amounts conceded by the contractor, outstand. ing suc. pensions, and disapprovals subject to appeal. (o) Grand Totals f I 4

V00CHERS FOR l'URCilASES AND SLRVICES OTHER TilAN PERSONAL I SAMPLE V0UCHER Payor's Name and Address (a) Contract Number NRC-10-81-624 The U.S. Nuclear Regulatory Comission Division of Accounting and Finance (b) Title of Project " Study of Nuclear Waste Attentioni CW/CD4 Accts Section Concepts" Washinct.cn, DC 20555 Payee's Name and Address (c) Voucher Number 003 ABC CORPORATION The National Bank (d) Date Voucher Prepared 10/18/82 l 100 Main Street or Anywhere U.S. A.,

• Anywhere. U.S.A.

Assignee for ABC CORP. (e) Total Estimated Cost of Contract Anywhere, U.S.A. 5350,000.00 (When Payments Assigned) (f) Total Fixed-Fee Indiividual to Contract Regarding This Voucner: 517,500.00 ,Name: Harry Murchy 'Tel. No.: 215-321-8654 l*(9) This voucher represents reimbursable costs from 3/1/82 thru 3/30/82 Amount Billed (k) Current Period (1) Inception to Date l(h) Direct Costs ^ l (1) Direct Labor

• S2.400

$6.800 f (2) Fringe Benefits @ l6.5 ' (if comouted as percentace) 600 1.200 i 1 (3) Direct Eouioment

• 5,000 8.000 (4) itaterials, Supplies and r

Uther Expendable items

• 2,000 4.000 (5) Premium Pay 100 150 1

(6) consultants

• 100 100

{ l i (7) Travel - Domestic

• 200 200 i

Foreten * (8) Subcontract

• 200 zuo q

l (9) Other Costs a 3.000 9.000 ] l(i) lilDIRECT COSTS I A) Overnead700' of Total Oirect Costs (Indicate Base) 513,600 529,650 i Subtotal 527.200 559.300 B) General A Administrative Expense 3.264 6.oo 12 L of Cost Elements Nos.1-9. A lotal Costs 530.464 $65.7!,o (j) FIXE 0-FEE EARNEO (Formula) 1,523 3.400 (m) Total Amounts Claimed $31.987 $69.150 (n) Adjustments Outstanding Suspensions

• 1.700 1.700 (o) Grand Totals

$30.7H7 $67.450 l

• (R10 VIRES SUI'I'OR11NG INT 001AT10N. )

) (SEE A1TACilEO.) I DC-3

'/H

'

[ t L-SAMPLE SUPPORTING INFORMATION

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

Senior Engineer I 2400 100 $14.00 $1400 975 Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 $500 320 Tf4M

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

4) Materials, Supplies & Other Expendable Items

$1100.,00 10 Radon Tubes 0 $110.00 = $900.00 6 Pairs Electrostatic Gloves,0 $150.00 = 32000.00 ./

5) Premium Pay l

Walter Murphy - 10 hours,0 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.) i

6) Consultants' Fee Dr. Carney - 1 hour 0 $100

= $100

7) Travel Date Traveler Destination Purpose Costs

T_o, From

,To From o o 3/1/82 3/6/82 William King Chicago, Wash., Meeting with

1) Airfare $80.00 Il DC Project

2) Rental Car $15.00 Officer

4) Per Diem - 2 Days 0 $50.00 = $100.00

~

6) Tips, Misc. $5.00 TOTAL:

$200 i ~. j i

.5" I e 4 5.:

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., OC. 9 $200 $400.00 = to Boston, MA Profit 9 7% $200.00 = TOTAL: 53000.00 (j) Fixed-Fee (Formula) (5%) $350,000 X 5% = $17,500 Total Fixed Fee for this Contract- $27,200 X 5% = $1360 Fee Billed for this Period (n) Adjustments $1700 - Indicates amount withheld from voucher f001, now approved by Contracting Officer letter 3/10/82. g 6 1 l ~ i ____________.__-A

7 4

g. ;

f ATTACHf1Ei1T TWO ' . )... i b PART 20-1 -- GENERAL Subpart 20-1.ii4--Contractor' Organizational Conflicts of Interest Sec. 20-1.5401' Scope and policy. 20-1.5402 Definitions. 20-1.5403 Criteria.for recognizing contractor organizational conflicts of interest.. 20-1.5404 Representation. 20-1.5405 Contract clauses. 20-1.5405-1 General contract clause. 20-1.5405-2 _Special contract provisions. 20-1.5406-Evaluation,. findings, and contract award.. 20-1.5407: Conflicts identified after award. 20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-1'.5410 Subcontractors. 20-1.5411 Waiver. 20-1.5412 Remedies. . AUTHORITY: Sec. 8,' Pub. L. 95-601, adding-Sec.170A to Pub. L. 83-703,.68 Stat. 919, as amended (42 U.S.C. ch. 14) I20-1.5401 Scope and Policy It is the policy of the U.S. Nuclear Regulatory Commission (NRC)(a)' to avoid, eliminate or neutralize contractor organizational conflicts The NRC achieves this objective by requiring all prospective of interest. 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 l to satisfy the overall public interest. -It is not possible to prescribe in advance a specific method or set of criteria which wou1d 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 The ultimate test is: Might the contracter, if awarded policy guidance. 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 4 Individuals or firms who have other to contractors and offerors only. relat'ionships with NRC (e.g., parties to a licensing proceeding) are not This rule does not apply to the acquisition covered by this regulation. of consulting services through the personnel appointment crocess NRC l _ _

.g I 7590-01 4 1 o a 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. 120,1.5402 Definitions -(a) " Organizational conflicts of interest" means that a relationship ] exists whereby a contractor or prospective contractor has present or ' planned interests related to the work to be performed under an NRC contract which: (1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a biased work product, or (2) may result in its being given an unfair ( competitive advantage. i (b) "Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation. j j ,(c) ' Evaluation activities" means any effort involving the appraisal i of a technology, process, product, or policy. 1 I -(d) " Technical consulting and management support services" means .j internal assistance to a component of the NRC in the fomulation or 1 administration of its programs, projects, or policies which normally require the contractor to be given access to information which has not ] been made available to the public or proprietary information.. Such j services typically include assistance in the preparation of program q plans; an.d preparation of preliminary designs, specifications, or statements of work. J (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, fim, unincorporated association, joint venture, co-spons.or, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC. -] (g) " Affiliates" means businecs 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 11-1.606-1(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. 1 (i) " prospective contractor" or " offeror" means any terson, firm, unincorporated association, joint venture, partnership, c:.rporation, 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 c'tain a contract. o 2 q

...c s 7590-01. ' (j) " Potential conflict of interest" means that a factual situation exists that' suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The tem " potential conflict of interest" is used to signify those situations which merit investigation-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. I 20-1.5403 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 NRC? (2) May the contractor be given an - unfair competitive advantage based on the performance of the contract?- The' ultimate determination by NRC as to whether organizational conflicts ' of interest exist will be made in light of connon sense and good business judgment based upon the relevant facts disclosed and the work' to be perfomed.. While it is difficult'to identify and to prescribe in advance-a specific' method for avoiding all of-the various situations or relationships - which might involve potential organizational conflicts of interest NRC personnel will pay particular attention to proposed contractual requirements - which call for the. rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurement, and research programs. (b) Situations or relationships which may give rise.to organizational (1) The offeror or contractor shall disclose . conflicts of interest. information concerning relationships which may give rise to organizational conflicts of interest under the following circumstances: I Where the offeror er contractor provides advice and recommendations (i) 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. j (iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offerer or contractor has been substantially involved in their development or l marketing. 1 (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 offerer or contractor. - - -

j 7590-01 l (2) The contracting officer may request specific infomation from I an offerer or contractor or may require special contract provisions such as provided.in 120-1.5405-2 in the following circumstances: (1)' Where the offerer or contractor prepares specifications which q are to be used in competitive procurement of products or services a covered by such specifications. j j (ii)Wheretheofferororcontractorpreparesplansforspecific -f approaches or methodologies that are to be incorporated into competitive l procurement using such approaches or methodologies. .l i (iii)Wheretheoffererorcontractorisgrantedaccesstoinformation-1 not available to the public concerning NRC plans, policies, or programs which could form the basis for a later procurement action. 1 (iv)Wheretheofferororcontractorisgrantedaccesstoproprietary i infomation of its competitors. ~(v) Where the award of a contract might otherwise result in placing' the offerer or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may 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 undertake certain analyses of a reactor component as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically well' qualified. In response to the inquiry in the RFP, the XYZ Corp. advises that it is currently performing similar analyses for the reactor manufacturer. Guidance. An NRC contract for that particula) work nomally 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 i NRC. Since there are other well-qualified companies available, there would be no reason for considering a waiver of the policy. (2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one i type of advanced reactor. As is the case with other technically qualified l companies responding to the RFP, the ABC Corp. is performing various projects for several different utility clients. None of the ABC Corp. i projects have any relationship to the work called for in the RFP. Based 1 l on the NRC evaluation, the ABC Corp. is considered to be the best qualified I comoany to perform the work outlined in the RFP. o 4 l l' i ) l..

.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 mentioned in the example.

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

• which its judgment could be biased in relationship to its 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 establishment of protective mechanisms -to guard against bias. (4) Example. The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's performance for the purpose of developing standards that are important to the NRC 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 for 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. Infomation which is reported to NRC by contractors will nomally 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 infomation is generally available to others. Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the L 4 i contract is proposed to be used. l 1 I 5-A

s f.. l. 1 7590-01 (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 $20-1.5403(b)(1)(i), ABC Corp. infoms the NRC that it is presently doing seismological: studies for several utilities in the Eastern United States but none of the sites are within the geographic area. contemplated by the'NRC study. 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 520-1.5405-1(c) would preclude ABC Corp. from accepting work during the term of the NRC contract which could create a conflict of interest. (d) Other considerations. (1) The fact that the NRC can identify. and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the perfomance 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 follow-on procurement is not involved, or that a contract is awarded on a competitive or a' sole source basis. 520-1.5404 Representation (a)ThefollowingproceduresaredesignedtoassisttheNRCcontracting officer in detemining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor. (b) Repr.esentation 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 toe 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 interert representation provision has.previously been submitted with regard to the contract being modified, only an updating of'such statement shall be required.

3 3 Le -. ) 1 7590-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION ~ .I represent to the best.of my knowledge and belief that: v The award to of a contract or the modification.of en existing contract does ( ) or does not ( ) involve situations or relationships ) of the type set forth in 41 CFR I20-1.5403(b)(1). -l (c) Instructions to offerers. The following shall be included in all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR - s 20-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exist, the offeror .shall provide a statement-in writing.which describes in a concise manner all-relevant facts bearing on his representation to the contracting officer. If the: contracting officer determines that organizational f (1). Impose appropriate conflicts exist..the following actions may)be taken: disqualify the offeror, or conditions which avoid such conflicts, (ii (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 120-1.5411. (2) ThA refusal to provide the representation required by I 20-1.5404(b) or upon request of the contracting officer the facts required by '120-1.5404(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 misrepresent' tion is discovered after award, the resulting contract may be terminated. The offerer may also be disqualified from subsequent.related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract. (d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offerer 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 other offerers, the proposal must be rejected as unacceptable. (e) The offeror's failure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be permitted to correct the omission. I I 20-1.5405 Contract clauses 5 20-1.5405-1 General contract clause t .i -J 7590-01 b All contracts of the types set forth in i20-1.5404(b) shall include i the following clauses.. g i (a) Purpose. The primary (purpose of this clause is to aid in1) Is not placed ensuring that the contractor: i because of current or planned interest (financial, contractual, organizational, d or otherwhe) 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 inL41 CFR 5 20-1.5402(f)-in the actitities covered by this clause.- (c) Work for others. Notwithstanding any other provision of this contract, during'the term of this contract, the contractor agrees to j 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 perfomed 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 i imediate and full disclosure in writing to the contracting officer. [ This statement shall include a description of the action which the 2 contractor has taken or proposes to take to avoid or mitigate such. i conflicts. The NRC may, however, terminate the contract for convenience l if it deems such termination t'o be in the best interests of the government. (e) ' Access to and use of information. (1) If the contractor in the perfonnance of this contract obtains access to information, such as q NRC plans, policies, reports, studies, financial plans, internal data 3 protected by the Privacy Act of 1974 (Pub. L. 93-579), or data which has j not been released to the public, the contractor agrees not to: (i) Use i l such information for any(private purpose until the information has been released to the public; ii) compete for work for the Comission based j I 1 - 1

s j 7590-01 on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public,.whichever'is first, (iii) submit an unsolicited proposal to the government based on such information until-one. year after-the release of such information to the public, or (iv) release the.information without prior written approval by the contracting officer unless such information has previously been released to the public by the NRC. (2) In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L. 93-579), or other 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 120-1.5402(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 3 terminate the contract for default, disqualify the contractor from j i subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract. (h) Waiver. A request for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in520-1.5411. I20-1.5405-2 Special contract provisions. (a) If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a j waiver in accordance with 520-1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction. These provisions include but are net limited to, i I

,$f . y, i + :.. 'j 1 7590-01 i 1 l 1 .(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. '(b) The following additional contract clause may be included as ? section;(i)Iin the clause set forth in5 20-1.5405-1 when it is determined .i 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 j -l or unsolicited) which stem directly from the contractor's. performance of 4 .. 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 ~ .1 or services of anotner firm if the contractor has been substantially~ I 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 1 shall be ineligible to perform or participate in the initia_1 contractual effort which-is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not apply. (3) Nothing in this paragraph shall preclude the contractor from offering or selling its standard commercial items to the government. i ( i 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 120-1.5404(b) 1 ' and other relevant.information. After evaluating this infomation against the criteria of I 20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror. If it has been detemined that conflicts of interest exist, then tne contracting officer shall eitner: (a) Disqualify the offeror from award, 1 s. __Ju_________i__.__.___.__.___.___

F, ~ r ,-. 4 I 7590-01 (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of 120-1.5411. 120-1.5407 Conflicts identified after award. If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting officer detemines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the contract as provided in the clauses required by 120-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 520-1.5411 neutralize the effects of the identified conflict. 120-1.5408 (Reserved) 120-1.5409 (Reserved) 120-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with 120-1.5404(b) from subcontractors anc consultants. The contracting officer shall require tne contractor to include contract clauses in accordance with 120-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection. I20-1.5411 Waiver l 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 l the contracting officer, and after consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do 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 emoloyed by NRC to neutralize the conflict. For any such waivers, the justification and approval cocuments shall be placed in the Public 4 Document Room.

• w

7590-01 520-1. 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 Washincton. 0.C this 27th day of March 1979., -For the Nuclear Regulatory Commission CCtuud\\ b:h 4 Samuel U. Cnilk Secretary oflthe Commission e l l i

) Form NRC.489 (1 76) U. S. NUCLEAR REGULATORY COMMISSION NRC M ANUAL

1' TRANSMITTAL NOTICE i

i C'6.KIR E -3202 PU51.ICATION OF ECriNICAL re.r' ORTS PEPARED BY NRC C0!CRACTORS, INCwDING EPOM'S PEPAED UNE.R OR ) FURSUA'TT T ItEERAGEN3' AGEDOES { SUPERSEDED: TRANSMITTED: l Number Date Number Date l TN 3200-21 Chapter NE2-3202 U/29/82 Chapter NRC-3202 8/29/64 Page Page W.-3202 6/29/64 Appendix 2-92 h/29/82 Appendix REMARKS: This revision cf Chapter 3202 expands the chapter from coverace of unclassified repcrts te include the trarkirs and handling of sensitive unclassified irScration (Official Use Or.ly and Limited Official Use Ir.fomatier., Safegaards Infc. Etion, Proprietary Infomation) and classified irfomatier. (Top Secret, Secret, and Confidential). A se::icn has also been added to set fonh procedures for the handling i of unclassified rep:rts en N:: cooperative programs with forei m E ve = er.:s Fr.d Orgar.izaticr.s and with U.S. industry. i t

_ i ,7 7 1 s. U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL a Vclume: 3000 Information and Foreign Activities Part 3200 Technical Information and Document Control ADM CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 32 C '. - 01 COVERAGE This chapter and its appendix handbook establish responsibilities, basic req uiremen ts. standards and procedures for the documentation, production and dis semin a tion 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 cf un ders tan ding. These reports are hereaf ter referred to as contractor re- ' perts. Th:s chapter does not cover NRC staff-generated documents, NRC docket ma terial. or the documents generated by NRC boards, panels, f advisory committees and Offices that report to the Commission. 5 3203-02 OBJECTIVES 0 21 to assure production and dissemination of technical reports as l' required by tne Energy Reorganization Act of 1974 and the Freedem of Infor-- maar. Act 022 to assure that dissr mination of technical reports is consistent with requirements for public availability of information. 023 to assure that nathnal security, patent rights, copyrights, proprie-tary rights and right s ir other sensitive unclassified information are not compromised by the release, distribution, or dissemination of technical reports l from NRC. 024 to assure that formal NRC contractor reports will carry the regis-tered NRC designation NUREG/CR or NUREG/CP as the prime identification. 1 025 to provide for coordination of press or other media releases. 3202-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director. Office of Administration: 1 a. de elops and maintains, in consultation with Directors of offi'ces 2 and Divisions and Regional Administrators. NRC standards, proce-dures and guides for the production and dissemination of technical \\ contractor reports. l Approved : August 29, 1984

l1 4 m. q y. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSU ANT'TO INTER AGENCY ' AGREEMENTS l i b. periodically surveys report activities throughout NRC to ascertain ~ he provisions. of this chapter are adequate and are being. that t implemented; makes any changes needed. m ' 032 ' The Director. Division of Technical Information and Document Control; a. develops' and administers a central report control system for identi-fying. printing and distributing contractor reports and responding to requests for unclassified reports. b. develops and maintains guides and standards for the documentation, formattin g, printing, dissemination, and public sale of unclassified contractor reports. c. assures - that a system exists for review of unclassified contractor reports for adherence to patent, copyright and disclosure policies prior to dissemination, d-establishes and administers interagency agreements necessary for the dissemination and -public sale of unclassified contractor reports anc 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 o 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: i a. establish the contref t or Standard Order for Work

• p'rovisions.

Including those regt.. red by this chapter and its appendix; Chapter NRC-3203, Distribuuon of Unclassified NRC Staff-and Contractor-Generated Documents and its appendix; Chapter NRC-0260, Print-in g, Copying, Graphics and Photography and its appendix; and Chapter NRC-1102, Procedures for Placement of Work with the Department of Energy. In the Statement of Work: (1) specify what reports will be reviewed for policy, management. and legal issues by NRC staff in draft prior to printing and distribution. If the report is to be reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the 'draf t, including the type of disclaimer to be used in addi-tion to the standard government disclaimer (see Exhibit 6). "In the case of DOE work, this is NRC Form 173, Standard Order for DOE 4 Work. See Chapter NRC-Il02. -l Approved: August 29, 1984 j

7 t< PUBLICATION OF TECHNICAL REPORTS' PREPARED BY' NRC CONTRACTORS, INCLUDING REPORTS PREPARED - UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-034 (2) provide for the reviews necessary to insure. that the national security, patent rights, copyrights, proprietary rights and 1; 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-i ing plant (see Appendix. Parts 11 and IV). (5) specify that all formal reports required by NRC shall be distributed by NRC. (6) establish the number of copies the contractor may retain or ( request for internal and external distribution and charge e, against NRC. Written justification must be provided, and approval obtained of the NRC JCP representative (the Director. Division of Technical Information.and-Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reports. (7) assure the protec tion of classified and sensitive unclassified informa tion, if a r y,. in contractor reports (see Appendix. Part V). adh,erence to instructions. and authorizations regardMg the b. assure reproducti:n and dis ibution of reports. c. recommend standard distribution category (ies) for contractor reports to the Division of Technical Information and Document Control. i d. provide changes to the official standard distribution lists to the Division of Technical Information and Document Control. i establish procedures for review of contractor's proposed press and 1 e. other media releases. 034 The Office of the Executive Imral Director provides legal ls review and advice to NBC staff on questions regarding inventions, patents, I proprietary information, use of copyrighted material, national security, and [ other sensitive unclassified and classified information. 3 035 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 i o _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _. _ _ _ _ _

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-036 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS 03E 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 thar. 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 rcperts required frca the government for performance of the ecntract. prevides contractor with copies of NRC Chapters 0260, 3202, 3203, c. 3207, and 3210, when appropriate. d. determines when requests for proposals and invitations for bids, as well as subsequent contracts, should include statements requiring contractor compliance with Chapters NRC-3202. 3207, and 3210 and the Government Printing and Binding Regulations. ensures that appropriate. clauses are included in contracts regarding e. the private use and protection of classified, proprietary and other i sensitive unclassif2ed in ormation. f 3202-04 DEFINITIONS

• 54 camera-ready com - aages ready for printing by the offset printing process. This is a colloquial t erm used even though the printing process may not involve the so-called copy camera (see also reproducible masters).

042 central report control system - means for developing and maintaining the pohcies, procedures and guides needed to identify and prodvce regulatory and technical reports and to assure adherence to requirements and standards l for documentation. formatting. printing and dis,tribution. l l record of work done (a report) prepared in I 043 contractor report accordance with the provisions of a contreet or under or pursuant to an l interagency agreement. Words underscored in definitions are also defined in list. I ) Approved: August 29, 1984 l 1 l i

t PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED 1 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS N RC-3202-044 l 044 copyright - a form of protection provided by the laws of the United . States (Title.17. U.S. Code) to the authors of " original works of authorship" t including literary, drama tic, musical, artistic, and certain other intellectual 't 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. to dispense reports to specific organizations and indi-046 distribute 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. classification and associated markings required for 047 documentation cla s sified cr sensitive unclassified documents, the NRC report number unique to the report, title (and subtitle, if any), author or correspondent (if any). organization identification and contract number (or FIN number), date and availability. [ 048 draft or final material for inclusion in " Safety Evaluation Reports" written material requested for input to ( or " Environment! Statements' tES) SEks or ESs to be issued as NUREGs. Such material may be edited or modi-fied at the discretion of the NRC staff. formal technical rep,or_ts - the final product of research, an original 049 t inve s tiga tic n. c: a significy..t compilation of information. This product is a formal technical report for puMication 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, 4 ~ 0410 NRC project mani.ier - the NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement. l 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. 1 information (reports and references) l 0413 pylicly available documents ( which is available in the NRC Pubbe Document Room (PDR) for public inspec-tion and copying or available in the public domain. l Approved: August 29, 1984

s PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED N R C-3202-0414 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS 0414 reproducible masters - camera-ready copy which includes (1) origi-nals of line drawmgs (or prmis that can be copied), (2) glossy prmts of black and white photographs (colored photographs cannot be reproduced). '(3) original typed or printed text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (1), (2) and (3) that a printer can reproduce. 0415 technical reports.- information on the technical aspects of contract work. These may be interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP series, or draf t or fmal material for inclusion in SERs or ESs. 0416 technical letter reports (also called technical evaluation reports ) interim or fmal letters that provide information on the technical aspects of contract work. Interim technical letter reports may be required at various stages of a project. These reports usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and eval-uation of work of others or work to be used by the staff in the licensing and regulation. process. Interim letter reports may include, but are not limited to, informal (interim) progress reports, quick-look reports, data reports. l status summary reports, project descriptions, pre-tested predictions, model verifications, experiment safety analyses, experiment operating procedures. f acility certification reports, and test result reports. 0417 unique identification - NRC identification used on a report and its i attachments, revision s, and supplements that is not used on any other report. 3202-05 B ASIC REQUIREMENTS 0 51 Applicability. The previsions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those working under interagency agreements, whose contracts require the prepara-tion of technical reports. BecNse of the unique requirements of NRC boards, L panels, advisory committee and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the Commission. These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be given l wide public dissemination. 052 Forms. NRC Form 426A, " Publication Release for Unclassified NRC Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-graphic Data Sheet" (Exhibit 7), and NRC Form 190, " Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided in the appendix. 053 Appendix 3202. This appendix contains standards and procedures ,l 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 I contract requirements or interagency agreements. Approved: August 29, 1984

3 u l .= ' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED 1 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NRC-3202-054 1 054 Preparation Requirements. 1 a. Reports to be Printed by NRC. All contractor reports to be printed .E 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, agreem ent, 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 Centrol, accompanied by completed NRC Form 426A, signed by the authorrzed 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 NUREG-0650 (ref. is are available from the Division of Technical Informa-tier. and Documen: Con t rol. The other publications are available from the Government Printing Office. a. Chapter NRC-0260. " Printing. Copying. Graphics and Photography." t,. Chapter and Appendix NRC-2101. "NRC Security Program." 1 i c. Chapter NRC-3203. " Distribution of Unclassified NRC Staff-and Contractor-Generated Documents." d. Chapter.N RC-110". " Procedures for Placement. of Work with the Department of Energy " Chapter NRC-3206. "NRC Contractor Speeches, Papers and Journal e 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 l on Printing. Congress of the United States No. 24, April 1977 (JCP Regulation s ). Government Printing Office. j i. Title 5. U.S. Code. " Government Organization and Employees." l Government Printing Office it l Approved: August 29, 1984

i PUBLICATION' OF TEC}!k'lCAL REPORTS PREPARED BY ' NRC CONTRACTORS. INCLUD]NG REPORTS PREPARED' UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NRCa3202-055 l et l " Technical Writing Style Guide." A, W. Savolcinen et al., compilers. j. U.S. : NRC Report NUREG-0650, November 1979, and Supplement: 1. February 1982. 'l ' Protection of Unclassified Safeguards ~ Information," D. J. Nasun. k. USNRC Report SUREG-0794, October 1981, Chapter NRC-0255, " Mail Management'." and Appendix 02'55, Part V. 1. Annex A. l) s 1 i I' 4 F.. i Approved: August 29. 1984

- 7 -j 4 z i i, PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING-REPORTS PREPARED

f.,

l'NDER OR Pl'RSt' ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202 l.;. CONTENTS i' PAGE PART 1 - PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS OF WORr, FOR CONTRACTS. GRANTS AND STANDARD ORDERS FOR DOE WORK 'A. LIST OF TECHNICAL REPORT REQUIREMENTS........................ 1 B. REQUIREMENTS FOR FORMAL REPORTS......,....................... 2 C. REQUIREMENTS FOR ORAFT REPORTS............................... 2' C. PUE.15HING UNCLASSIFIED, NON-SENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS....................... 3' E. T Y P 0 G R A P en................................................. 4 F. REPO TS CCNT AININ3 SENS!TIVE UNCLASSIFIED AND CuAS$1FIEC INFORMATION............ 4-G. PUBLI$HINO UNCLASSIFIED PROCEEDINGS OF CONFERENCES - ANC WORKSH0FS................................................. 4 _f 5 H. WRITIN3 ANC PUELISHING UNCLASSIFIED B00KS.......... 1. DISTRIBUTION Or DEPORTS TO CONTRACTORS........................ 5 J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UN;. ASSIFIED INrord1AT10N. 5 PART II UNCLASSIFIED FORMAL C3NTRACTOR REPORTS TO BE PRINTED BY NRC.. 7 7 A. DOCUMENTATION. 1. Applica::ility. 7 2. Front Cover ead Title Page............................ 7 3. Availability Information................................. 9 9 4. Disclaimer-. 5. Previous Reports in Series............................... 9 9 6. Abstract............. 7. References and Bibliographies............................ 9 10 6. Bibliographic Data Sheet........................... B. PATENT AND SECURITY REVIEWS......... 10 1. Patent Review............................................ 10 10 2. Security Review. i Approved : August 29, 1984 __-_________.m____E____...m____m_ __m...-. .s__ _m,

4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NBC CONTRACTORS. INCLUDING REPORTS PREPARED .NRC Appendix 3202 l'NDER OR PURSUANT TO INTER AGENCY AGREEMENTS . CONTENTS (Continued) PAGE C. PROCEDURES FOR PRINTING AND DISTRIBUTING.................... 11 1. Printing................................................. 11 2. R e p r i n t i n g,........................................... 11 3. Distribution of Reports................-................ 11 EXHIBITS 1. Sample Cover for Unclassified Formal Contractor-Prepared Reports. Excluding Those Printed by DOE t. laboratories with JCP Authorized 13 Feceral Printing Plants... 2. Sample Title Page for Unclassified Formal Contractor-Prepared Reports. Excluding Those Printed by DOE Laboratories with JCP Authorizec federal Printing Plants.................... 14 3. Sae;1e 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 Forr 426A, Publications Release.............. 17 6. Disclaimer and Availability 5tatements.................... 18 7. NRC Form 335 Bibliographic Data 5heet................. 19 ~~ PART 111 UNCLASSIFIED TECHNICAL lETTER REPORTS...................... 21 A. FORMAT..................,......................... 21 1. Applicability....................................... 21 2. Requirements........................................... 21 B. PATENT AND SECURITY REVIEW5................................ 21 1. Patent Review. 21 22 2. Security Review........................................ PART IV UNCLASSIFIED FORMAL REPORT 5 TO BE PRINTED FOR THE OfflCE OF NUCLEAR F.EGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANT 5...................... 23 A. DOCUMENTATION............ 23 1' 1. Applicability. 23 23 2. Front Cover and Title Page.. Approved : August 29, 1984 ii

q 77 % 's; w~;, y ~ ~ PUBLICATION OF TECHNICAL REPORTS PREPARED BY n NBC CONTRACTORS. INCLUDING REPORTS PREPARED

UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 a ~

-CONTENTS (Continued) PAGE 3. Availability and Price Information..................... 25' 4. Disclaimer..................... 25c 5. Previous Reports in 5eries.............................. 25' 25 6. Abstract.............................................. 7. References and Bibliographies.......................... -26 26 S. Bibliographic Data Sheet...... 'B. PATENT AND' SECURITY REVIEWS............................... 26 26 1. Patent Review.............. 26 2. Security Review........................................ C. PROCEDURES FOR PRINTING AND DISTRIBUTING,........... 27 27 -1. Printing..................... 4..................... '27 2. Reprinting........................-............. 27 3. Distribution of Reports...... ) PART y ~ REPORTS CONT AINING SENSITIVE UNCLASSIFIED AND 29 L CLA551FIED INFORMATI0h... 29 -(- A. APPLICABILITY., E. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 C 30 ,C. PROPRIETARY INFORMATION. 31 5t.rEGUARD5 INFORM:.TI0t. 31 E. CLA551FJED INFORMATION., EulE115 B. Sample Cover for a.Contrt; tor Report Containing Official Use 33 Only Information. 9. Sample Title Page for a Contractor Report Containing Official 34 Use Only Information. Sample Back Cover for a Contractor Report Containing Of'ficial 10. 35 trse Only Information. 11. Sample Cover for a Contractor Report Containing Limited 36 Official Use Information........................................ 12 Sample Tit b Page for a Contractor Report Containing Limited 37-Official Lae Information........................................ t iii Approved: August 29, 1984

Pl'BLICATICN OF TECHNICAL REPORTS PREPARED BY NRC'CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appenda 3202 l'NDER OR Pl'RSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued) PAGE 13. Sample Back Cover for a Contractor Report Containing Limited Official Use Information.......................................... 38 14. Sample Cover for a Contractor Report Containing Proprietary Information Octainec from a U.S. Organization.................... 39 15. Sample Cover Page for a Contractor Report Containing proprietary Inf ormation Octained f rom a Foreign Source... 40 16. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization. 41 17. Sample Title Page for a Contractor Report Containing Proprietary Information Obtainec from a Foreign Source. 42 IE. Sample Eack Cove-for a Contractor Report Containing Prop n e ta ry Information., 43 19. Cover Sheet f or Reports Containing Proprietary Information. 44 20. Samole Cover for a Contractor Peport r. aining Unclassified Safeguards Information. 45 21. Sample Title Page for a Contractor Report Containing Unclassified Safeguares Information. 46 22. Sample Back Cover for a Contracter Report Containing Unclassified Safegueros Information. 47 23. Cover Sheet for a Contractor Report Containing Unclassified Safeguards Information. 4E PADT VI. HANDLING OF UNCLASSIF11D INFORMATION ON NRC COOPERATIVE 1 PROGRAMS WITH FOREIGb GOVERNMENTS AND ORGANIZATIONS AND WITH I INDUSTRY........ 49 I l A. PREPARATION OF DRAF7 PRELIMINARY REPORTS FOR COMMENT........ 49 j B. DISTRIBUTION BY NRC PROJECT MANAGERS......................... 50 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT... 50 ) D. REPORT IDENT!FIERS. 50 E. MAILING TO PROGRAM PARTICIPANTS........ 51 F. SECUR11Y. 51 l Approved: August 29. 1984 iv

~ 1 i l Pl'BLICATION OF TECHNICAL REPORTS PREPARED BY l NRC CONTRACTORS. INCLUDING REPORTS PREPARED l'NDER OR Pl'RSl' ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202 l I CONTENTS (Continued) PAGE EXHIB1TS i 24 Sample Cover for a Draft Preliminary Report (Code) for Comment... 52 25. Transtrittal Letter f rom Contractor to NRC Project Manager for Draf t Prelirrinary Report (Code). 53 26. Transmittal Sheet for Requesting Mailing to Cooperative Program p Participants. ( I 1 (. i y Approved : August 29, 1984 1

i. g i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3200 PARTI PREPARATION OF REPORTING REQUIREMENT PORTIONS OF ST ATEMENTS 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. applicable. State when and to whom they should be submitted and aswhat 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 or final formal technical reports for publication in the NUREG/CR c: draf t or final material for inclusion in SEhs NUREG/CP se ries, or or ESs (see definitions below). technical letter reports (also called technical evaluation reports) Interim or final letters that provide information on the technical i [ aspects of the contract work. Interim technical letter reports may e be required at various stages of a project. These interim letters usually are followed by a final technical letter report or a formal i technical report. Final technical letter reports are usually specified l I 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, inf >rmal (interim) progress wports. quick-look reports. data reports, status summary reports, project descriptions, pre-test p rediction s, model verifications, experiment safety ana!- yses. e xpe'riment operating procedures. facility certification report s. and test result reports. These reports must be ide ntified with the financial number (FIN) assigned to the project. They are to be identif'.ed with DOE registered report codes. The num-1 not I ber of copies to be prepared and the distribution of these copies will be specified by the project manager. formal technical reports - the final product of research, an original invesugauen, or a significant compilation of information. This pro-duct is a formal technical report for pt.blication 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 req uire d. A draf t of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy t.i 1 Approved : August 29, 196-1

t PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS. INCLUDING REPORTS PREPARED Fart 1 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS draf t or final material for publication or inclusion in SE R s. ESs. letters. or heense amendments - written material requested for use in the NRC heensing process. Such material may be (1) abstracted in a NUREG report or attached to a NUREG report. (2) attached to a letter or an amendment to the license. or (3) abstracted and used as necessary by the NRC staff. NRC requires patent review and full management review of this material by the performing organiza-This material is to be submitted to NRC as a technical letter tion. report addressed to the project manager and identified by the FIN number. For purposes of this Part, contractor means a private contractor, con-sultant grantee. another State or Federal Agency working under an - in t era gen c y agreemen t. or a DOE / facility or National Laboratory (con-tractor) and subcontractors. B. REQUIRENESTS FOR FORMAL REPORTS If the contractor is to prepare a final formal technical report for publi-catien state that it will be printed and distributed by NRC frem camera-ready copy submitted by the contractor, unless the work is being done for the Office of Nuclear Regulatory Research by a DOE facihty or La boratory with a JCP-autherized 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 alsc available free, upon request (NUREG-0050). If the report is to be printed by NRC and it is unclassified, the camera-ready copy is to be submitted by the contractor to the Director Division of Technical Mormation 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 DRJFT REPORTS If a draf t is desired prior to completion of a final technical letter report, formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-ernments and organizations and with U.S. industry, state that require-ment and the time frame for delivering the final camera-ready copy after l 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 draf t material for comment prior to the preparation of the final report, state that f there are NRC program and/or participant comments the contractor wil! ' asked to make changes. If agreemtnt on the changes is reached, the b r.C manager will authoriae ] i 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 Directer. Division of Technical Information and Document Control, if it is l l l Approved: August 29, 1984 2

u .s PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS Part 1 .f (- 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 cavea'.s were agreed to and the project manager wishes to check the final document for their presence. he/she should inform TIDC of that desire. In that case, upon receipt of the camera-ready copy by TIDC, the project manager will be informed and requested to prepare and sign the NRC Form 426A. Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC project manager may request the contractor to pTe~ pare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Exhibit 6), any caveats deemed necessary to cover NRC objectior.5 Such caveats may range from the "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commis sior. ' tc the addition of a preface sening 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 i I refuse to pubbsh the report. ln the case of DOE / National Laboratory reports, the DOE Operations Office Manager responsible for that labora-tory should be informed by the NRC Office Director or Regional Adminis-trator of the decision and the reasons therefor, with a copy to the [ Laboratory Director. In the case of another Federal agency, a State, or g a private contractor, the person who executed the contract should stmi-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 apper. led to the NRC Executive Director for Operations. D. PUBLISHING UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND l PRESENTING PAPERS I If the contractcr's principal investigator is to be allowed to publish in the open literature insidad of submitting a final report and/or present papers at public or as:ociation meetings during the course of the work. 1 add the following stateuent to the Statement of Work: The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or present paper:, 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) maj publish the results of this work in the open literature instead of submitting a final report and/or pre-( sent papers at public or association meetings at interim stages of the work, if the article or paper has been reviewed by the NRC project 3 Approved: August 29, 1984

.g 1 l 1 PUB' LICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS j 1 manager in draf t form and agreement has been reached on the con- ~ tent-The applicable procedures set forth in Chapters NRC-3206 or NRC-1102 must be followed - 1 If agreement is not reached, NRC may also ask that the' paper include l in addition to the standard statement " Work supported by the U.S. Nuclear' Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be' covered in this manner, NRC can refuse to authorize publication in the'open litera-ture and/or presentation of papers. In the latter case, NRC will inform the contractor of the decision, as stated - above for formal reports (see Section C, paragraphs 3 and 4). l The contractor is then free to publish without NRC identification of the l inf orma tion. This will.not affect payment of the contract work costs. l Project manager or higher level decisions may be appealed to the NRC l Executive Director for Operations. 4 If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required tech- ] nica! reports, approval of the proposed article or presentation should be obtained from the NRC project manager. The NRC project manager shall either approve the material as submitted, approve it subject to. NRC-l 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 l travel costs for presentation of papers.) E. TYPOGRAPHY The text of reports must be single spaced on 8\\ x 11-in, paper, unless otherwise specifically authorized. Occasionally. reports with many sym-bols and mathematical exp'essions may require one and one-half spacing to provide for su persc ~1 pts and subscripts. This spacing should be allowed where needed, but should be considered an exception, not the standa rd. F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION Details of the marking of reports designated Official Use only. Limited Official Use, Proprietary Information, Safeguards Information, and j classified (Confidential, Secret, and Top Secret) are provided in Part V 1 { of this appendix and in NRC Appendix 2101. G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOT5 NRC publishes or assists in the publication of compilations of papers presented at meetin gs, conferences, and symposiums in which NRC Approved : August 29, 1984 4

+. - s,s t -t L PL'BLICATION OF' TECHNICAL: REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSl' ANT TO INTERAGENCY AGREEMENTS Part 1 '1 . participates as a sponsor or cosponsor. Chapter NRC-3207, " Conferences and Conference Proceedings," provides general information.and guidance- ~ ' for this. More detailed guidance is avaDable' from TIDC upon request. H. WRITING AND PL'BLISHING UNCLASSIFIED BOOKS l L 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." DISTRIBUTION OF REPORTS TO CONTRACTORS 1. Up to 50 copies of unclassified formal technical reports may be retained by or will be bulk shipped to the contractor by NRC for internal use. lf. 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 N RC/TIDC. If the additional distribution is approved by the NRC project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by NRC. to NRC/TIDC, where the' distribution will be made along with the standard distribution. Distribution of sensitive unclassified and classi- . ( fled reports will be made by the project manager on a case-by-case basis. J. COORDIN ATION OF PRESS OR OTHER MEDI A RELEASES OF UNCLASSl-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. Tne contractor may not issue a press release on nonroutine information without this prior coordination. This coordination may be accomplished by telephone, with the NRC project manager respon-sibh for expeditious h?nd!.ing. Decisions not to release information or delays in handling by. tae project manager may be appealed to the NRC l Executive Director for Operations. 5 s I 5 Approved : August 29, 1984 f

l_ .n Pt'BLICATION OF TECHNICAL -REPORTS-PREPARED BY l NRC CONTRACTORS, INCLUDING. REPORTS PREPARED l'NDER OR PURSl' ANT TO INTERAGENCY - AGREEMENTS NRC Appendix 3202 PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC 2 1 A. DOCUMENTATION l 1. Applicability a. The requirements of this part apply to contractor and inter-agency agreement reports that are to be printed by NRC. j Contractors may not print reports prepared for NRC except i those DOE laboratories with JCP-authorized printing plants and then only those reports prepared for NRC's Office of Nucl.ar Regulatory Research. b. With respect to sensitive unclassified and classified reports. the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101. 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. T 2 Front Cover and Title Pace Separate covers and title pages are required (see Exhibits 1 i a. and 2 fer contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements ).

• b.

The items shawn in Exhibits 1 through 4 and discussed below shall appear on the title page and cover, as appropriate.** (1) NRC Reoort Number Each report 'shall be identified by an NAC-controlled alpha numeric designation as the prime designation unique to that report. The centralized report control system for uniq': e identification is maintained by. the Division of Technical Information and Document Control. Numbers may be obtained by calling the Division of Technical Infor-mation and Document Control or by submitting a copy' of NRC Form 426A (Exhibit 5) with a request for a number. Reproducible cepy of the cover of the performing organization may be sub-mitted; however, the data elements shown in Exhibit I must be included. i~ These requirements meet the specifications of American National Standard ANS) 209.18-1974, Guidelines for Format and Production of Scientific and ( Technical Reports. and ANSI Z39.23-1974. Technical Report Numbers. ~ 7 Approved: August 29, 1984 I

c,' I PUBLICATION OF TECHNICAL REPORTS PREPARED BY y

NRC Appendi.s 3202 - NRC CONTRACTORS, INCLUDING REPORTS - PREPARED Part 11 UNDER OR Pl*RSUANT TO INTER AGENCY AGREEMENTS.

The NRC identification number will.have the form: SUREG/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 'l through 4, if desired by the. contractor. When a report censists of more than one volume or bind-q ing or is issued in more than one edition, an appropriate 1 volume, s upplemen t, part or revision designation shall .) appear immediately below the report number. 1 (2) Title and Subtitle (a) Use a brief ' title that indicates clearly the. subject -j matter covered in the report. (b) When a report is prepared in more than one volume. repeat the primary title on each volume. (c) If appropriate, show the type of report (e.g.. annual report, final report, thesis, etc.) and the period. covered as part of the subtitle. 4 (~$- Personal Author ( s i' Name(s) j l Authors' names should be given on the title page and j cover unless this is impractical, as in the case of annual 1 reports which have many contributors. If authors' contri- -] butions are as editors, compilers, etc., so indicate on the-1 title page following the names. In addition, list affiliation d of each auther only if affiliated with an organization other than the organization generating the document. ( 1) Organizatier Identification On the tide page and cover, provide information of the type illustrated in Exhibits 1 through 4. (5) Basis for Report Date(s) (a) The basis for dating may be shown along with the j date on the title page. Various bases for dating are 1 possible; e.g., date report completed, date reviews completed, date published, date distributed, etc. (b) More than one date, with the basis for each, may be shown where this is necessary Approved : Au gu st 29, 1984 8 i

E

,1

' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARZD 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 the National Technical Information Service (NTIS). Exhibit 6 will be inserted on the inside of the front cover by the Division of Technical Information and Document Control. 4.- Disclaimer I-The following notice will be added duringL the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied. or assumes any legal liability or responsibility for any third party's use, or the results of.such use, of any information, apparatus, product or process disclosed in this report, or repre-sents that its use by such third party would not infringe privately owned righ ts. " 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 disclatme r, if a pp rop ria te. Other qualifying statements may be added, if needed (see Part 1.C., Requirements for Draf t Reports).. 5. Previous Reports in Series I i, if the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issu-N ance dates. Place this list on the back of the title page. 6 Abstract An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page." i. References and BiMiographies Reports or other documents referenced in text, reference sections, bibliographies, end appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information S e '"Jee, or at other reference or sales outlets) or in the NRC Pub 4ic Document Room. This means that references should not be made to personal communications and interviews, unpublished This preferred positioning of the abstract in the report need not be followed (-- if the style manual of the originating organization requires a different loca tion. 9 Approved : August 29, 1984

w t PUBLICATION OF TECHN] CAL REPORTS PREPARED BY . NRC ' Appendix 3202 - NRC CONTRACTORS. INCLUDING REPORTS ~ PREPARED Part 11 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS information and information with restricted distribution (e.g., proprietary, national securit y, 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-i ledgement se ction. Availability may be stated collectively for all entries (see Exhibit 6). Guidelines for developing and preserting 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. Bibliographies 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 publfe release so that disclosure will not adversely affect. the - patent rights of NRC or the contractor. If th'e 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 obta:r. a patent clearance from' the government agency administer-ing the contract, the responsible NRC contracting officer shall be con sulted, and the responsible NRC project manager shall consider the patent implication s. If there is no need for : patent review because of the certLinty that the report contains no description of novel technical developments which may be of an inventive nature.' NRC Form 426A m..y be completed with the statement "N ot 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, however, the NRC project manager must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of such procedures through the contracting officer. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101. i Approved : August 29, 1984 10

4"" .r . PUBLICATION OF TECHNICAL REPORTS. PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PliRSU ANT TO INTERAGENCY AGREEMENTS Part 11 C-PROCEDURES FOR PRINTING AND DISTRIBUTING 1. Printin e 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 l manager or a contractor official authorized by the project manager. I 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 performin g - l organization. { 2. Reprintin e Requests for reprinting any report subsequent to the initial print-ing require approval of the Division of Technical Information and-Document Control. Each request shall include a written justification and the. project manager's approval for reprinting along with ad-dress labels for the recipients. 3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Davisicn of Technical Information and Docurnent Control in accordance with instructions on NRC Form 426A (Ex!ibit 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 Inform nion Service (NTIS), the Government PrinMng Office and the Depository Library Service. If any distributhn is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the additional distribution must be supplied. Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis. 1 i j 11 App roved : August 29, 1984 i 'I

L. 1 1 L l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR Pl?RSl' ANT TO INTER AGENCY. AGREEMENTS 'c i ,[ ^ j EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NUREG/CR 1676 NRC Report No. NUSAC 556 Contractor Report No (if any) VOI. I Vol., Part. Rev., etc. (if any } Using Advanced Process Monitoring 1, tie to improve Material Control i Subtitle and Type of Report Final Report ( Annual, Topical, etc.) Septembe* 1979 September 1980 Author (s) Seeca e: e,5. me...no 5 L Lvace.. A F Lomt I Contfactor NU$ AC ince toratec NRC us"j',,,., meewistorv [ ~. w 13 Approved : August 29, 1984

t PUBLICATION OF TECHNICAL REPORTS PREPARED BY . NRC, Appendi.x 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR. PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i NRC REPORT No. NUREG CR 1676 Contractor Report No. lif any) QSfC 5% Vol., Part Rev., etc. (if any) Distribution Category No. (if any) Using Advanced Process Monitoring ~ rme to Improve Material Control-Subtttle and Type of Report Fina, Rece.t (Annual. Topical, etc.) Septemoe' 1979 + Septemee* 1980 Report Dates and Bases u 7,u,.e. c,.-e e;,see e-e. tw Author (s), Editor (s), e,

• ' **~ * ' ""* * ' ~'

- Compile t(s), etc. Contractor Name 6.s : at e. end Address UE,7'OE NRC Sponsorship preos,ed av Deveseen.sf Safeguards Office of reestese Meteriet Gefety sad Seteews'ds V $ hwe.. s' Re wtator, Commissica NRC Contract No. NUS 's"H37 Approved : August 29, 1984 14

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NPr Annandiv 3?O? j UNDER OR PURSL' ANT TO INTERAGENCY AGREEMENTS ra. ;L ~ EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS b NUREG CR 1952 NRC Report N - contractor Report No S ANO810151 Vol., Part, R ev., e t: ) LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks / Independent Verification Testing Program Type of Repor: independent Verificatic. Test 1 or Subtitle l. "'0"~ ''' ' (.,',*l3f,',,,7,*4 e j'!,^,,,Y ' * ' # # Authorts), Editor to contreet:- 5.,,,s,...,,,t,e.,,,..... 7 7',,;'c.'/,, n,g.,,,, sponsorship Cem sessioe 15 Approved: August 29, 1984 - - - - _ - - _ - _ - - _ _ - _ _ _ _ _ - - ^ " - - ~ - - - - - _. _ _ - _ _ _______ ____

.) O f 1' . PUBLICATION OF TECHNICAL REPORTS PREPARED ' BY NRC Appendix 3202 NRC CONTRACTORS. ' INCLUDING REPORTS - PREPARED Part !!' ~ l'NDER OR Pl'RSU ANT TO INTER AGENCY AGREEMENTS i EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS j NRC Report No. Contractor's Report No. Vol.. Part, R ev., etc. yhhlf Distribution R4 - Category Titie LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Subtitle ledeDendent Ve'.ificatio* Testing Program 0 incepencent Ve tisCat'OP. Test t Report Dates c....r....,..,,c.,- v,. Author (s), Editor (s) .r..,. Contractor's s.- e

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4 i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 - NRC CONTRACTORS, INCLUDING REPORTS PREPARED l'a f t !! UNDER OR PL'RSUANT TO INTER AGENCY AGREEMENTS EXHIBIT 6 DISCLAIMER AND AVAILABILITY STATEMENTS IBACK OF COVER) i NOTICE 4 Th s resort ou yeered as en emment of wert samured by si essney of tem uudend Resem Genernment 80erther the Unrted $4ste GenerreswHE ner spey guery Umweef, or spur of Wust eenges,ess make say warrenty. essresnel er usefied, or ensues soy lessi alueesty of M-sonreedsty for any therti party's ads, or tw tendes of assh too, of easy esseressese'i. esprette. predwet er presess desessed in tows report, or empressnes that He ene by assh Ward m unsed not enfrings oriseiesy prud rspht NOTICE Aniubehty of Reforwice Meterish Cated in NRC Pwheesteru edovi ocewwa cited m N RC owei.cavere it ne ewileame kom ero of the muisens suuress

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7, .7 ; m.,. e.. a t PUBLICATION OF TECHNICAL REPORTS PREPARED BY .NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 7 (Continued) BACK OF NRC FORM 335 d DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT insTauefiohs Nec somy 335 yigiicce A*Mit DATA SMstT. IS BASED ON CU10tLIN88 80m 90AMAT AND Sm00VCTION 08 SCitNTisic AND YtCMNtCAL mt#0mT5 ANSI 23918 1974 AVAILAOLt am0W AWimiCAN NAf f0NAL STANDARDS INSTffUT4.1430 pm0A0wav. Ngn vonE Nv 10018 t ACM steam Af tLv 30gNO at*0mt.o0m a m AMPLt. S ACM VOLuwt IN A Mv6Tev0Luwt StT-8m ALL Mavt its vNiovt sis 6:0Gnaanic OATA smt ET 1. AIP0mi Nueegin feca.ac goea, novas esseet sa.ea 10 880esSomleec Om0 Ass 12AT108: L.e, NaC 0,,...oa, C#ege we, awa.o,e e.earw-e. c et...aei.e iNva tG i s...aee v s Nwe.w meew.co,, Comm...e wei~asie. 0C ro6ss s Dv tae C +i.ca e' Tecaa.co sateemet ea one Documeat Coateo ADV sa acto oeace wita Amencea Natiew

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m. l ,c....... ) s.. J PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC, CONTRACTORS,' INCLUDING REPORTS PREPARED -UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 (- PART !!! t ~ UNCLASSIFIED TECHNICAL LETTER. REPORTS 1 FORMAT A. 1. - Applicability a. The' requirements of this part apply t'o. unclassified ' contractor. l technical letter reports. (See. Part I. A for definition.) b. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory commit-tees which report directly to the Commission. 2. Requirements Technical-letter reports are prepared, duplicated and distributed in-accordance with - the' requirements of the Statement of Work in the' contract or in the Standard Order for DOE Work. Each such report - must be identified with the financial number (FIN) assigned to the projec t..The number of copies to be prepared and -the distribution of.those copies will be specified by the project manager. If unclas-y 1 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 .l 1. Patent Review l Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of.iRC. If the work being reported is contractually managed through another government agency (e.g., DOE labora-tories), that government agency should be requested by the con-tractor to perform the patent review. If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing-the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications. If there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall request j a s.eistance from the NRC Patent Counsel, Office of the Executive j 1 Legal Director. { l 21 Approved: August 29, 1984 L i l

f g,w, 4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 ~NRC CONTR ACTORS,. INCLUDING REPORTS PREPARED ' Part 11!' UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS l! '2. Security Review in most cases contractor technical letter reports will be unclassi-fled. 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 ' l 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. ) l l l h l l l i i e i s i Approved : August 29, 1984 22

~~ l l PUBLICATION OF TECHNICAL REPORTS' PREPARED BY i NRC CONTRACTORS. INCLUDING REPORTS PREPARED J UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 1 i 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 l which report directly to the Commission. ~ t 2. Front Cover and Title Page Separate covers (of different paper than that of the text) and a. l title page are required.* b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-p ria t e. ** While layouts and typefaces need not be exactly the same as in Exnibits 3 and 4, the items shall appear in approxi-mately the locations indicated and with the same relative promin ence. (1) NRC Rt. port Number r 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 l 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. the specifications of American National Standard 'l. These requirements meet ANSI Z39.18-1974, " Guidelines for Format and Production of Scientific and Technical Reports," and ANSI Z39.23-1974, " Technical Report N um bers. " 23 Approved: August 29, 1984

~ PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS i be obtained by calhng the Division of Technical Informa-I tion and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number. The NRC identification number will have the fom: NUREG/CR-XXXX or NUREG/CP-XXXX, The contractor's report number, if any, wiB be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4, if desired by the contractor. When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation shall appear immediately below the report number (s). NRC report numbers on covers and title pages shall be shown entirely on one line to faciutate 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 cever unless this is impractical, as in the case of ar sual 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 I (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by " Prepared for the U.S. Nuclear Regulatory Commis sion. " Approved: August 29, 1984 24

PUBLICATION OF TECHNICAL REPORTS PREPARED BY j NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV ( (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. i (b) More than one date, with the basis for each, may be shown where this is necessary. 3. Availability and Price Information f 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 shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government. Neither the United States Government nor any agency thereof, or i any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, appa ratu s. product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow-ing additienal statement, "The views expressed in this report are not necessarily 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 Draf t Reports). 5. Previous Reports in Series If the report being prepared is one in an ongoing series, list au previous reports in che 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 shaU 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

.g y. f PUBLICATION OF T5CHNICAL REPORTS - PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part IV UNDER OR. PURSUANT TO INTERAGENCY AGREEMENTS l T. References and Bibliographies l - Reports or other documents referenced in text, reference sections. " u bibbographies, and appendixes of unclassified regulatory and l_ technical reports in the NUREG series must be available to the i public either in the public domain (as in a public library, at the Government Printing Office, at - the National Technical Information Service, or at oth,e r reference or sales outlets) or in the NRC Public Document Room. This means that references should not be L made to personal communications and interviews, unpublis,, information and information with restricted distribution (e.g., E 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 l-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, " Tert.r.ical Writing Style Guid e," pub-lished in November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement I dated February 1982. 6 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 contracto.r. The DOE Operations Office responsible for the contractor should perform the patent revie w The results of such review shall be reported by.the contractor on NRC Form 426A in item II (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 l are given in Part V of this appendix and NRC Appendix 2101. l Approved: August 29, 1984 26

v..

. ~....... w PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS-Part IV C. PROCEDURES FOR PRINTING AND DISTRIBUTING 3 Printin g Contractor reports may be printed only by a JCP-authorized print-ing plant and then only if prepared for-the NRC Office of Nuclear Regulatory Research. Reports printed by the contractor and one reproducible master shall be submitted to the Division of Technical Information and. Document Controli with completed NRC Form 426A. The number of copies specified by the Statement of Work for stand-ard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR _) may be obtained as discussed in Section A. 2.b. (1) 2. Reprinting Requests for reprinting of any report at NRC expense subsequent to the initia1' printing requires approval of the. Division.of Technical Information and Document Control. The request shall include a- - written justification and the project managers approval'for the re-printing, along with address labels for the recipients. 3. Distribution of Reports if All copies of unclassified formal contractor reports will be distrib-uted by the Divisien of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). NRC Fonn 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 manag,er's approval for printing additional copies shall accompany the reproducible inasters when submitted to the Division of Technical Information and Document Control.

Address labels for the aaditional distribution must be supplied. The Division of Technical Information and Document Control will arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service. Distribution of sensitive (unclassified) and classified reports will be made by the NRC project manager on a case-by-case basis. I. 27 Approved: August 29, 1984

O e .. + . a,. y PUBLICATION OF TECHNICAL REPORTS PREPARED BY S NRC CONTRACTORS, IFCLUDING REPORTS PREPARED

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'UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 J .f I i PART V 1 REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION A. APPLICABILITY J 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 Informeion 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. The reports covered are defined as sensitive unclassified or classified. Sensitive unclassified information refers to information designated Official Use Only, Limited Official Use, and Proprietary Information.. Sensitive unclassified inf ormation also includes Safeguards Information that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 and Sectien 147 of the Atomic Energy Act of 1954, as amended. information withheld from public dis semination 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 Fxecutive Order 12350: Top Secret, Secret or Confidential. l The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and exhibited in the foDowing sections. All sensitive unclassified and classified reports are i to be sent directly to the project manager. B. OFFICIAL USE ONLY AND LIMITED OFFICI AL USE INFORMATION. / ' NRC regulations require an Official Use Only marking to be placed on a t report only when the originator or other holder believes the marking is l \\ i 29 Approved: August 29, 1984

I L PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS essential' to ensure proper handling. Reports designated Official Use Only will, contain only unclassified information originated by or furnished to an NRC contractor which is to be withheld from public disclosure. The report on which the marking appears must be reviewed at the time a request for release is received to determine its releasability. The Official Use Only marking is notice of the originator's determination of the applica-bility of an exemption under the Freedom of Information Act or Pr2Vacy Act or both at the time of origination. Official Use Only NRC contractor reports shall be marked as shown in Exhibits 8 through 10. Limited Official Use information is information originated by the U.S. Department. of State. A report originated by an NRC contractor that contains Limited Official Use information shall be marked as shown in Exhibits 11' through 13. Procedures for reproducing, transmitting g, 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 21C1. 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 fore.ign source. which has been detrmined 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 withou t proprietary information may be marked Official Use Only Approved : August 29, 1984 30 a_-___-____-___-_____-_-

+., l-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 Safeguards information may be of three types: (1) classified informa-tion, which is marked and hand %d as indicated in Section E, (2) un-classified information restricted under Section 147 of the Atomic Energy Act, which is marked and handled as described in this Section, and (3) uncla s sified information, which is publicly available and handled as indicated in Parts 1 through IV The safeguards information that is to be protected as described he e is uncla s w a d information used in a report which specifically ide:.t fies certain licensee's or applicant's detailed: 1. security measures for the physical protection of special nuclear materia! 2. security measures fer the physical protection and location of certain plant equipment v2tal to the safety of production or utilization ( facilities Unclassified NRC contractor reperts containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through 22 Procedures fer reproducing. transmitting, protecting, and handling safe-guards information reports and removing them from the safeguards information categer are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to >e placed on each hard copy of a report containing safeguards L. format. r. E. CLASS!FIED INFORMATIO'.i Classified information is. limited to Restricted Data, Formerly Restricted Data and National Sec urity information. The procedures for making classification determinations and for marking, reproducing, transmitting, prctectin g, and handling reports containing classified information and removing such reports from classified categories are detailed in NRC Appendix 2101. These procedures are too complex for summarizing here. Classification determinatier.s 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 cf NRC Appendix 2101. l ( 1 31 Approved: August 29, 1984 I l t i 1 ) l 1 _____ _________ _ ______ d

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

......... ~.. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 ' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa.t V l EXHlBIT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG'CR XXXX (Si Title Subtitle and Type of Report Autnonsi. Ec.toris; Contractor 5 wclear Aeguid.. y Commessica / a '--.: e nov e e,< o.5:,cs..i u l l OFFICIAL USE ONLY ( 33 Approved: August 29, 1984

j 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY 'l NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V t'NDER OR PURSU ANT TO INTER AGENCY AGREEMENTS 1 EXHIBIT 9 4 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING f OFFICIAL USE ONLY INFORMATION l l l i OFFICIAL USE ONLY j 4 NUREG'CR xxxx (Si I f \\ Title Suetme one Type e' Recon u...,w.e. ce. ..e.... o... e e..e m-, 7 am... se,e... . c.. .c., ..e.... Propered ter Devision Ott c e U.S. Nweles' Regulatory Commission i Wes'unston. D C. 31866 NT C Fih No ] l q .l ~ \\ \\ ^) OFFICIAL USE ONLY eq l i Approved : August 29. 1984 34 l I O

.4 L PUBLICATION OF' TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSl' ANT TO INTERAGENCY AGREEMENTS Par Y EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY I k, i OFFICIAL USE ONLY i( I k 35 Approved : August 29, 1984 i l l J

a PUBLICATION OF T5CHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part Y UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREG'CR XXXX (Si l Title Subtitle and Type of Report AvtPt0*f S 1 fdttoets Cont' acto' Prepared for U.S Nweiser Regulatory Commission

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l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS Pet V EXHIBIT 12 ' SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREG/CR XXXX (S) Title SutnJoe anc Type of Repon I u.auncapi car as.e seese Y, Contrectoe re-w sae soceess Prepared for { DMeson Offic e .(* u.s. sweim Regwisten Corr mission WeeNngton. D.C. 20656 Nac rin se l LIMITED OFFICIAL USE 37 Approved : August 29, 1984

0' a PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED ' Part Y UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE LIMITED OFFICIAL USE \\ ~ Approved. August 20, 1984 38

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o p PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 15 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINEO FROM A FOREIGN SOURCE l PROPRIETARY INFORM ATION NUREGICR XXXX (P Title Subtitle and Type Of Report Autme*tst. Edno ts' Comtescto-Prepered for U.S Nwcieer Ae0wletory Commission poetiGN ins 0Aw&*:0% tne see ep.a. e,me,.. o Na-e o Co sr. e-: sa-o c 6.e-ao E.M"5F..?PM - - w'T==060 # #0w *Vt.i 01:605s t a .sc,., i..-: o :, e... 1 i l ? .i i PROPRIETARY INFORM ATION 1 I l Approved: August 29, 1984 40 i

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/ Division i ON co U S Nweiser Regulatory Commission Waertington, D C. 2eE66 NRC FIN No taaet s. iter ce en vi,gst; ce c0%rctst.a. CDwvg : a. C8 8'% A%:ia. i%5o*vaM f tais ooc.-e=t coai. m. v 'o.m.iea om n.c a to %8: c. I .N. c' co-oe,.ae %.-e o' soo%ne- ~ I 2..m.-,; ',?-'la...'!.;..T.. L. ",'. A.W. ro*l,'* ,;.,7;,;;, o:...., . no: i.<.....v. ut otoeaoueveueoisetosuc 5.. i .,o o...c. io., i PROPRIETARY INFORM ATION i {, 41 Approved: August 29, 1984

]- .e 4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part Y UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS ' EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREGICR XXXX (P) Title svennie anc Type of Repor',

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i e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU AST TO INTER AGENCY AGREEMENTS Fn V l- .h i EXHIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION l e i } PROPRIETARY INFORMATION ( 43 Approved: August 29, 1984

i-PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS l EXHlBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION. PROPRIETARY INFORMATION NOTICE tal AN ACMIO 000VMI%t CONT A'%5 "pa0eapas, ins 0s. sh a A ch 'Sa VDh Of 0 5 1 10

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PUBLIC TION-OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annandiv 3907 'UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Pm V ( EXHlBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEQUARDS INFORMATION NUREG'CR XXXX (SG) Title Subtitle and Type of Report AWthor(s). Editorial Contractor Freceren for U.S Nuclear Regulatory Commission i s L7.l';';??%% 'O'.'OT,' "'" ,~.-.ao...,,,,,..o... 4 MU!tL*'?c#!"e74' 0*Il " 2 SAFEGUARDS INFORM ATION \\. ~. 45 Approved : August 29, 1984

4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION \\ l.. SAFEGUARDS INFORMATION NUREGICR XXXX (SGI Title Svetme one Type of Recon ".*?fi!:, *.". '",l !T.,7.';t *s!....... jP.'0' '*' s el,g.g g comm.....n S AFEGU ARDS INFORM ATION Approved : August 29, 1984 46 -_---------._____m.

PUBLICATI'ON 0F TECHNI' CAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Anoendix 3202 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS Pa.~. Y i EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION l SAFEGUARDS INFORMATION l f. SAFEGU ARDS INFORMATION k l J 47 Approved : August 29, 1984

[- PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS,* lNCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY ' AGREEMENTS EXHIBIT 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION-1 b T 6 .f. 4 Ss,' e SAFEGUARDS INFORM ATION -h l T"G v. 1 / >) '~ 4 sy ../.U [' THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM ,1,y .. ~. UN AUTHORIZED O!SCLOSURE.10 CFR 73.21 AND SECTION 147. ATOMIC ENERGY ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO civil OR CRIMINAL PENALTIES. iD THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED PERSONS. WHEN NOT IN USE. IT MUST BE STORED IN A LOCKED SECURITY STORAGE r CONT AINER. IT IS YOUR RESPONSIBILITY TO P'LOTECT THE INFORMATION CONTAINED IN THIS DOCUMENT FROM COMPROMISE. THEFT OR UNAUTHORIZED DISCLOSURE. f l d i 'l SAFEGUARDS INFORMATION 1 . s h 1 Approved: August 29, 1984 48

g o. at ~- - PUBLICATION OF TECHNICAL REPORTS PREPARED BY .NRC CONTR ACTORS. INCLUDING REPORTS PREPARED (~ UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 ? lJ PART VI l l HANDLING OF UNCLASSIFIED INFORMATION 'ON NRC COOPERATIVE l PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH U.S. INDUSTRY ' The ' Nuclear. Regulatory Commission has requested that. its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs that involve either or both U.S. industry and foreign governments and orga-nizations. Such involvement in.cludes monetary contributions, information exchange, and comments on program plans and results. This is authorized in 42 U.S.C. 5801. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified information from NRC to participants. These procedures apply only to NRC-managed work not programmatically funded by DOE. The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment of informa-tion on these programs -developed for NRC by NRC contractors. This can.be accomplished by distribution of "Draf t Preliminary Reports (or Codes)" for f comment 'for a specified period of time, followed by issue as formal NUREG/CR \\ reports, with the concurrence of the participants. Specific procedures for accomplishing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the following sections. The procedures de-tailed here have been agreed to by DOE and have been provided to the responsible DOE Operatiens Officers and NRC Program and Project Managers as guidance. A. PREPAR ATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT l i The first issuance of mformation by a contractor shall be. designated " Draft Prehminary Rep rt (or Code)," and shall include the cover sheet shown in Exhibit 24. The following notice :s to be printed on the bottom of the cover sheet (Exhibit 24); i NOTICE THIS DR AFT PRELIMIN ARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED. COOPERATIVE PROGRAM f This report was prepared in contemplation of Commission ac tion. It has not have received patent review and may con-tatn information received in confidence. Therefore, the con- [ tents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report. 49 Approved: August 29, 1984

' <R a ) L il ? PUBLICATION OF TECHNICAL REPORTS PREPARED BY d 3 NRC Appendix 3202.NRC CONTRACTORS, INCLUDING REPORTS PREPARED 1 Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This' notice 'has been agreed to by the legal staffs of both NRC and DOE. and is not to be added to or changed. Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult with the NRC legal staff. The "Draf t. Preliminary Report (or. Code)" shau be. submitted by first class or express mail by.the contractor to the. NRC project manager, d 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-3 tractor) may retain copies only - for internal use. DOE facilities and .l contractors and their subcontractors shall not distribute copies.of this { draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices Subsequent issues of the information shall also be designated "Draf t : Prehminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report. "D raf t Preliminary Reports (or Codes)" shall not be identified as NUREG/CR reports or carry any. contractor report number or NRC dis-tribution codes. l 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 (2) others authorized by the program or project manager. Trans-l mittal ~ to participants shall be by first class or express mail, including 1 air mail to foreign participants. If premium cost mail services are to i be used, a Division Director or comparable or higher authority must certify to the need on. NRC Form 420, " Request for Premium Cost Mail J S e rvic e. Premium cost maa is: 1. Express Mail, Pr:.ority Mail (First Class weighing more than 12 ounces). 2 International.E. press Mau ( Air Mail weighing more than 10 ounces) (See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A) l 1 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six months will be aUowed for comments and resolution of commen ts. At the end of the comment, period, the NRC project manager shau, 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 1 DENT!FIERS n The "Draf t Preliminary Reports (or Codes)" will be uniquely identified only by the Financial Identification Number (FIN) assigned by NRC and Approved: August 29, 1984 50

3 i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC ' CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI i 1 the appropriate periodic ' netation, if any, included in the title ~ (Ex-hibit 24). They.sh B not be given standard report nomenclature untu ' the NRC project manager authorizes publication as a NUREG/CR report. At that time, the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4. E. MAILING.TO PROGRAM PARTICIPANTS The physical transmission of reports from NRC to program participants shall be handled by the Document Management Branch (DMB), Division of Technical Information and Document Control (TIDC), based on address labels of participants supplied by. the project manager. The transmittal sheet shown in f.xhibit 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 detennined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may ng be classified solely for the purpose of limiting distribution to the partici-pants f i ( l l. .t' I i s 51 Approved: August. 29, 1984 I

G-PUBLICATION OF TECHNICAL REPORTS PREPARED BY l NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT I DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT 1 FIN NO. Title of Program Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1) d Prepared by (Name of 00E Facility, Contractor and/or i Sube.antractors, if any) ] l for j U.S. Nur. lear Regulatory Commission NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO i PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM j This report was prepared in contemplation of Comission action. It has not received patent review and may contain information received in confidence, j 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 j been obtained from the appropriate USNRC office. The recipient is requested i to take the necessary action to ensure the protection of this report. i Approved: August 29, 1984 52 l

I U-. . p. PUBLICATION OF-TECHNICAL REPORTS-PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix'3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part VI l EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT TO: NRC Project Manager

SUBJECT:

ORAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMMENT The enclosed " Draft Preliminary Report (Code)" is being submitted for comment. It is our understanding that the comment period shall extend six months from the-date of reailing of the draf t to the participants. Upon resolution of the comments after that period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this f report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202. l DOE f acility or Contractor Representative 1 T 53 Approved: August 29, 1984 I 1 u______________

4 ~ PilBL1 CATION OF TECHNICAL REPORTS PREPARED BY 'NRC CONTRACTORS. INCLUDING REPORTS PREPARED .NRC Appendix 3202 ~ UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Part VI EXH1 BIT 26 TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients : Addresses on attached labels Method of Mailing: C/ First. Class Postal Service to U. S. addresses C/ Express mail to U. S. addresses

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

THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER ' SENSITIVE UNCLASSIFIED INFORMATION Special Instructions. Individual Requesting Mailing: Project Manager or High Authority Enclosu,res. 1. Address labels 2. Documents to be maUed

• 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 Forrn 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) 9 (See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, Annex A) 54 Approved: August 29, 1984 _ _ = _ _ _ _}}