Text

Contract: R&D in Area of Safety Performance Monitoring at Nuclear Power Plants, Awarded to SAIC
	ML20247Q788
Person / Time
Issue date:	06/01/1989
From:	Muzio B, Wiggins E; NRC OFFICE OF ADMINISTRATION (ADM), SCIENCE APPLICATIONS INTERNATIONAL CORP. (FORMERLY
To:	;
Shared Package
ML20247Q777	List: ML20247Q772; ML20247Q788;
References
	CON-FIN-L-11839, CON-NRC-04-89-070, CON-NRC-4-89-70 NUDOCS 8906070048
	Download: ML20247Q788 (125)
	v • d • e

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< AWARD / CONTRACT Page 1 of 2 Pages 1..THIS CONTRACT-IS A RATED ORDER UNDER DPAS (15 CFR 350) RATING 2.. CONTRACT NO. l3. EFFECTIVE DATE l4. REQUISITION / PURCHASE (Proc. Inst. Ident. ) No. l l REQUEST / PROJECT NO.

NRC-04-89-070 l 06/01/89 l RES-89-070 l l

5. ISSUED BY- Code: l6. ADMINISTERED BY Code: P-902 l (If.other than Item 5)

U.S. Nuclear Regulatory Commission l Contract Administration Branch Div. of Contracts & Property Mgmt. l Div. of Contracts & Property Mgmt.

Contract Neg. Br. No. 2; P-1042 l Mail Stop P-902 Washington, DC 20555 ' Washington, DC 20555 l

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7. NAME AND ADDRESS OF CONTRACTOR 8. DELIVERY Science Applications International Corporation

() FOB ORIGIN l (x) OTHER (See below) 311 Park Place Blvd., Suite 360 l Clearwater, Florida 34619 l 9. DISCOUNT FOR PROMPT PAYMENT l n/a Code: l Facility Code:

IO. SUBMIT INVOICES (4 copies unless otherwise specified) TO T.HE ADDRESS SHOWN IN ITEM: 12

11. SHIP T0/ CODE l12. PAYMENT WILL CODE MARK FOR l BE MADE BY l

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

13. AUTHORITY FOR USING OTHER THAN FULL AND OPEN d'0MPETITION

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

14. ACCOUNTING AND APPROPRIATION DATA B&R No. 9601920040 Fin No. L11839 APPN No. 31X0200.609 Obligate: $180,000.00 15A. ITEM ISB. SUPPLIES / 15C. QUANTITY 150. UNIT 15E. UNIT 15F. AMOUNT NO. SERVICES PRICE "Research and Development In the Area of Safety Performance Monitoring At Nuclear Power Plants"

, Provide services to perform research in accordance I

. with SAIC Proposal # 1-265-71-890-06 dtd 11-15-88, as amended 4-13-89 and 5-25-89.

8906070048 890601 $339,530.00 PDR CONTR 15G. TOTAL AMOUNT OF CONTRACT NRC-04-89-070 PDC EXCEPTION TO STANDARD FORM SF26 (REV.4-85) Prescribed by GSA FAR(48 CFR) 53.214(a)

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J AWARD / CONTRACT Page 2 of 2 Pages

16. TABLE OF CONTENTS

.X SEC DESCRIPTION PAGE(S)

PART I - THE SCHEDULE A SOLICITATION / CONTRACT FORM B SUPPLIES OR SERVICES AND PRICES / COSTS C DESCRIPTION / SPECIFICATIONS / WORK STATEMENT D PACKAGING AND MARKING E INSPECTION AND ACCEPTANCE F DELIVERIES OR PERFORMANCE G CONTRACT ADMINISTRATION DATA H SPECIAL CONTRACT REQUIREMENTS PART II - CONTRACT CLAUSES I CONTRACT CLAUSES PART III - LIST OF 00CUMENTS, EXHIBITS AND OTHER ATTACHMENTS J LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS L INSTRUCTIONS,. CONDITIONS, AND NOTICES TO OFFER 0RS M EVALUATION FACTORS FOR AWARD CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE

17. (X) CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is required to sign this document and return 3 copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or

. otherwise identified above and on any continuation sheets for the consideration stated herein. The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award / contract, (b) the solicitation, if any, and (c) such provisions, representations, certifications, and specifications as are attached or incorporated by reference herein. (Attachments are listed herein.)

18. ( ) AWARD (Contractor is not required to sign this document.) Your offer on Solicitation Number , including the additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as to the items listed.above and on any continuation sheets. This award consummates the contract which consists of the following documents: (a) the Government's solicitation and your offer, and (b) this award / contract. No further contractual document is necessary.

19A. NAME AND TITLE OF SIGNER l 20A. NAME OF CONTRACTING OFFICER (Type or print) l Betty J. 'luzio l Elois J. Wiggins Senior Contract Representative l 19B. NA ~ OF CONT ACTOR l 208. UNIT D STATES OF AMERICA Se e ce p1 tion international e by $ l by LL *O L

(Sig6ature of /PJ6on/autho ed to sign)' (Signatureof' Contra 6J1)ngOfficer) 19C. DATE SIGNED l 20C. DATE SIGNED M,t y 30. 1989 l 5 ' / 31/P/

EXCEPTION TO STANDARD FORM 26 (REV.4-85)

4 TABLE OF CONTENTS PAGE AWARD / CONTRACT'. . . . . . . . . . . . . . . . . . . . . . . . . . 1 TABLE OF CONTENTS. . . . . . . . . . . . . . . . . . . . . . . . . . 3 PART I - THE SCHEDULE. . . . . . . . . . . . . . . . . . . . . . . . 5 SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS . . . . . . . . . . 5 B.1 BRIEF DESCRIPTION OF WORK (MAR 1987). . . .. . . . . . . . . 5 B.2 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE . . . . . 5 (JUNE 1988) ALTERNATE I (JUNE 1988)

SECTION C - DESCRIPTION / SPECIFICATION. . . . ........... 6

/ WORK STATEMENT.

C.1 STATEMENT OF WORK (MAR 1987) . . . . . . ........ 6 C.2 TRAVEL APPROVALS (MAR.1987) . . . . . . . . . . . . . . . . 6 SECTION O - PACKAGING AND MARKING. . . . . . . . . . . . . . . . . . 7 D.1 PACKAGING AND MARKING (MAR 1987). . . . ......... 7 SECTION E - INSPECTION AND ACCEPTANCE. . . . . . . . . . . . . . . . 8 E.1 -NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE . 8 SECTION F - DELIVERIES OR PERFORMANCE. . . . . . . . . . . . . . . . 9 F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE . 9 F. 2 PREPARATION OF TECHNICAL REPORTS (JUNE 1988). . . . . . . . 9 F.3 TECHNICAL PROGRESS REPORT (JUNE 1988) . . . ....... 9 (OMB CLEARANCE NUMBER 3150-0112)

F.4 FINANCIAL STATUS REPORT (JUNE 1988) . . . . . . . . . . . . 10 (OMB CLEARANCE NUMBER 3150-0112)

F.5 PLACE OF DELIVERY--REPORTS (JUNE 1988). . . . . . ..... 10 F.6 DURATION OF CONTRACT PERIOD (MAR 1987). . . . . . . . . . . 11 SECTION G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . . 12 G.1 INDIRECT COST RATES (JUNE 1988) . . . . . . . . . . . . . . 12 G.2 PROJECT OFFICER AUTHORITY (JUNE 1988) . . . . . . . . . . 12 G.3 TRAVEL REIMBURSEMENT (JUNE 1988) ALTERNATE I (JUNE 1988). . 14 G.4 REMITTANCE ADDRESS (MAR 1987) . . . . . . . . . . . . . . . 15 G.5 PROMPT PAYMENT (52.232-25) (APR 1989) . . . . . . . . . . . 15 G.6 ELECTRONIC FUNDS TRANSFER PAYMENT METHODS. . . . . . . . . 20 (52.232-28) (APR 1989)

G.7 SUBCONTRACT APPROVAL. . . .. ........ .... 21 SECTION H - SPECIAL CONTRACT REQUIREMENTS. . . . . . . . . . . . . . 22 H.1 KEY PERSONNEL (MAR 1987). . . . . . . . . . . . . . . . . . 22 H.2 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987). . . . . . 23 H.3 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUNE 1988). . 23 H.4 DRAWINGS, DESIGNS, AND SPECIFICATIONS (JUN 1988). . . . . . 23 H.5 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED . . 23 (JUNE 1988)

H.6 5ITE ACCESS BADGE REQUIREMENTS (JUNE 1988). . . . . . . . . 24 H.7 ORGANIZATIONAL CONFLICTS OF INTEREST. . . . . . . ..... 24 (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988)

PART II - CONTRACT CLAUSES. . . . . . . . . . . . . . . . . . . . . 27

-TABLE OF CONTENTS PAGE SECTION I =- CONTRACT CLAUSES . . . . . . . . . . . . . . . . . . . 27 I.I. NOTICE LISTING CONTRACT. CLAUSES INCORPORATED BY REFERENCE . 27 1.2 PAYMENT FOR OVERTIME PREMICMS . . . . . . . . . . . . . . . 28 (FAR 52.222-2) (APR 1984)

I.3 CLAUSES INCORPORATED BY REFERENCE . . . . . . . . . . . . . 29 (FAR'52.252-2) (JUN 1988) .

I.4- DRUG-FREE WORKPLACE (FAR 52.223-6). . . . . . . . . . . . . 29 PART III - LIST OF DOCUMENTS, EXHIBITS . . . . . . . . . . . . . . . 32 AND OTHER ATTACHMENTS

. SECTION J - LIST OF ATTACHMENTS. . . . . . . . . . . . . . . . . . . 32 J.1 ATTACHMENTS (MAR 1987). . . . . . . . . . . . . . . . . . .. 32

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NRC-04-89-070 Section B PART I - THE SCHEDULE SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS B.1 BRIEF DESCRIPTION OF WORK (MAR 1987) l Perform research entitled "Research and Development In the Area of Safety' Performance Monitoring At Nuclear Power Plants"; Phase 2 type effort.

(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 $339,530.00, of which the sum of

$311,495.00 represents the estimated reimbursable costs, and of which $28,035.00 represents the fixed fee.

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

c. The amount presently obligated by the Government with respect to this contract is $180,000.00.

d. It is estimated that the amount currently allotted will cover performance through 11/30/89.

(End of Clause)

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~, .NRC-04-89-070 '

Section C 1 SECTION C - DESCRIPTION / SPECIFICATION

/ WORK STATEMENT l

l .' C.1- STATEMENT OF WORK (MAR 1987)

The contractor shall perform the research proposed in the Technical Proposal entitled "Research and Development in the Area of Safety Performance Monitoring At Nuclear Power Plants", dtd 11-15-88, 1; as amended 4-13-89 and 5-25-89, which are hereby

. incorporated.by reference and made a part of this contract.

(End of Clause)

Q C.2- TRAVEL APPROVALS'(MAR 1987)

a. All domestf c' travel requires the prior approval of the Project Officer.

b. All foreign travel must be approved in advance by the NRC on NRC Form 445 and shall be in compliance with 52.247-63 Preference

. For U.S. Flag Air Carriers. Such approval will be communicated in writing through the Contracting Officer.

(End of Clause)

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NRC-04-89-070' 'Section D.

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SECTION D - PACKAGING AND MARKING D.1- PACKAGING AND MARKING (MAR 1987)

The: Contractor shall package material for ' shipment to the NRC-in such a manner that will insure acceptance by common carrier and safe delivery at destination. Containers and closures shall comply with.the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or regulations of other carriers as' applicable to the mode of transportation. On the front of the package, the Contractor sna11 clearly identify the contract number under which the product is being provided.

(End of Clause) ,

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SECTION E - INSPECTION AND ACCEPTANCE l

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, E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE F- NOTICE: The following solicitation provis. ions.and/or' contract j p clauses pertinent to this section are hereby incorporated by {

l. reference: j FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1).

NUMBER DATE- TITLE

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52.246-5 APR 1984 INSPECTION OF SERVICES--

COST-REIMBURSEMENT j l

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Page 9 Section F NRC-04-89-070 SECTION F - DELIVERIES OR PERFORMANCE F.1 NOTICE LISTING CCNTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE: The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference: . ..

FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1)

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

F.2 PREPARATION OF TECHNICAL REPORTS (JUNE 1988)

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

(End of Clause)

F.3 TECHNICAL PROGRESS REPORT (JUNE 1988)

(OMB CLEARANCE NUMBER 3150-0112)

The Contractor shall provide a monthly Technical Progress Report to the Project Officer and the Contracting Officer. The report is due every four weeks from the date of contract award 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 pequired change and estimated cost impact).

c. A summary of progress to date; and

d. Plans for the next reporting period.

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. NRC-04-89-070 Section F (EndufClause)

F.4 FINANCIAL STATUS REPORT (JUNE 1988) l (OMB CLEARANCE NUMBER 3150-0112) 1 The Contractor shall provide a monthly Financ.ial Status Report to the Project.0fficer 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, tha 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. l

5) Balance of Obligations Remaining. '

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6) Balance of' Funds Required To Complete Contract.

7) Percentage of completion of work, by task.

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

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.c. Update the approved Contractor Spending Plan (CSP) if required under.this contract. If there have been no changes to the ,

projections, a certification to that effect may be provided with the i Financial Status Report in lieu of the CSP.

i (End of Clause) l F.5 PLACE OF DELIVERY- REPORTS (JUNE 1988)

The items to be furnished hereunder shall be delivered, with ;

all charges paid by the Contractor, to: !

a. Project Officer (3 copies)

U. S. Nuclear Regulatory Commission Office of Nuclear Regulatory Research Division of Systems Research Mail Stop NL/N-316 Washington, D.C. 20555

b. Contracting Officer (1 copy)

U.S. Nuclear Regulatory Commission Contract Number: NRC-04-89-070 Division of Contracts and Property Management Contract Administration Branch

_ _ _ _ _ _ _ _ _ _ _ _ _ )

Page 11 NRC-04-89-070 Section F Washington, D.C. 20555 (End of Clause)

F.6 DURATION OF CONTRACT PERIOD (MAR 1987)

This contract shall commence on 06/01/89 and will expire on 6/1/90.

(End of Clause) l I

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p. # NRC-04-89-070 Section G V -

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 co.ts as follows:

CATEGORY RATE COST BASE APPLICABLE PERIOD Labor Overhead 82.6%. Direct Labor 6/1/89-6/1/90 Fringe Benefits 39.5% Direct' Labor 6/1/89-6/1/90 Material Overhead 2.0% Subcontract Costs 6/1/89-6/1/90 General & Admin.

Expenses 10.1% Total Costs, Excluding Subcontracts

& Pur-hased Parts 6/1/89-6/1/90

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 er 52.232 Limitation of Funds ,

as applicable, if such change (s) affect (s) performance of work

.within the established cost or funding limitations.

(End of Clause)

G.2 PROJECT OFFICER AUTHORITY (JUNE 1988)

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

Name: Erasmia Lois Address: U. S. Nuclear Regulatory Commission Office of Nuclear Regulatory Research Washington, D.C. 20555 Telephone Number: 301-492-3557

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

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. - . NRC-04_89-.070' Section G work emphasis between areas of work or tasks, fills in details or L ,

otherwise serves to accomplish the contractual statement of work.

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

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,. 3) Review and, where required by the contract, approval of technical reports,. drawings, specifications and technical information to be delivered by the Centractor 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 tSe 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 cor, tract, 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 promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this clause and within such person's authority under the provisions of this clause.

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

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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. <

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h. A failure of the parties to agree upon the nature of the 1 instruction or direction or upon the contract action to be taken !

with respect thereto shall be subject to 52.233 Disputes. 1

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 supplies and services required under this contract.

(End of Clause)

G.3 TRAVEL REIMBURSEMENT (JUNE 1988) ALTERNATE I (JUNE 1988)

a. The Contractor is encouraged to use Government contract airlines, AMTRAK rail service, and discount hotel / motel properties in order to reduce the cost of travel under this contract. The Contracting Officer will, upon request, provide each additional l traveler with' a letter of identification which is required in order to participate in this program. The Federal Travel Directory (FTD) identifies carriers, contract fares, schedules, payment conditions, and hotel / motel properties which offer their services and rates to Government contractor personnel traveling on official business under this contract. The FTD, which is issued monthly, may be purchased from the U.S. Government Printing Offit.e, Washington, DC 20402.

b The Contractor will be reimbursed for reasonable domestic travel costs incurred directly and specifically in the performance of this contract. The cost limitations for travel costs are determined by the Federal Travel Regulations that are in effect on the date of the trip. These Regulations specify the daily maximum per diem rates for specific localities within the Conterminous United States (CONUS), the standard CONUS rate, the allowance for meals and incidental expenses (M&IE), the cost of travel by privately owned automobile, and the items which require receipts. A copy of the Regulations may be obtained from the Superintendent of '

Documents, Government printing Office, Washington, DC 20402.

c. When the Government changes the Feoeral Travel Regulations, it is the responsibility of the Contractor to notify 1

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.e . NRC-04-89-070 Section G 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.

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'd.' The rates for foreign travel are-established by the U.S. j Department of State and are listed in a publication entitled i

" Maximum Travel Per Diem Allowances For Foreign Areas". Copies of l this' publication may be obtained from the U.S. Government Printing u Office, Washington, D.C. 20402.

(End of Clause). .j a

L G.4 REMITTANCE ADDRESS'(MAR 1987) !

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

Name: S::1ence Applications International Corporation Address: P.O. Box 64115 j Baltimore, MD. 21264 q

(End of Clause) )

G.5 PROMPT PAYMENT (52.232-25) (APR 1989) l Notwithstanding any other payment clause in this contract, the !

Government will make invoice payments and contract financing l i

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. l 1

(a) Invoice Payments 1

(1) For purposes of this clause, " invoice payment" means a l Government' disbursement of monies to a Contractor under a contract or other authorization for supplies or services accepted by the )'

Government. This includes payments for partial deliveries that have been accepted by the Government and final cost or fee payments where amounts owed have been settled between the Government and the Contractor..

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

events: ]

o r.y. w NRC-04-89-070 Section G (i) The 30th day after the designated billing office has received a proper invoice from the Contractor.

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

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

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

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

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

(iii) The due dste for datry products, as defited in Section 111(e) of the Dairy Prodection 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 possibh to, b% not later than the 10th day after the date on which a proper invoice has been received.

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

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.- NRC-04-89-070 Section G subparagraph (a)(6) of this clause.

(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 perfortaed. ,

j (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 Governrent bills of lading.

(vi) Name and address of Contractor official to whom payment is to be sent (must be the same as that in the contract or in a proper notice of assignment). 1 (vii) Name (where practicable), title, phone number and mailing address of person to be notified in event of a defective ihvoice.

(viii) Any other information or documentation required by other i 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 i (a)(5)(1) through (a)(5)(iii) of this clause are met, if applicable. !

An interest penalty shall not be paid or: contracts awarded to ;

fereign vendors outside the United States for work performed outside the United States.

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

(ii) A receiving report or other Government docuncentation authorizing payment was processed and there was no disagreement over ,

quantity, quality, or contractor compliance with any contract term l 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 i between the Government and the Contractor. l (6) The interest penalty shall be the rate established by the l

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 j l

" Renegotiation Board Interest Rate," and it is published in the I

Page 18~

i % . NRC-04-89-070 Section G-Federal Register semiannually on or about January I-and July 1. The interest penalty shall accrue daily on the invoice payment amount approved by the Government and be compounded in 30-day increments inclusive from the first day after the due date through the payment date..That is, interest accrued at the end of any 30-day period will be added to the approved invoice payment amount and be subject to interest penalties if not paid in the succeeding 30-day period. If the designated billing office failed to notify the contractor of a defective invoice within the periods prescribed in paragraph (a)(4) of this clause,.then the due date on the corrected invoice will be adjusted by subtracting the number of days taken beyond the prescribed notification of defects period. Any interest penalty owed the Contractor will be based on this adjusted due date. Adjustments will be made by the designated payment office for errors in calculating interest penalties, if requested by the Contractor.

(i) For the sole purpose of computing an interest penalty that might be due the Contractor, Government acceptance shall be deemed to have occurred constructively on the 7th day (unless oti.erwise 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 teriod taker, to notify the Contractor of defects in .

invoices submitted to the Government, but this may not exceed 7 days (3 days for meat and raaat 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 I amount or other issues involving contract compliance or on amounts i temporarily withheld or retained in accordance with the terms of the ,

contract. Claims involving disputes, and any interest that may be l payable, will be resolved in accordance with the clause at 52.233-1, Disputes.

rage u 7 ,

NRC-04-89-070 Section.G~

(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 l this. clause on the amount of discount taken for the period beginning l with the first day after the end of the discount period through the ,

date when'the Contractor is paid.

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(8) If this contract was awarded on or after October 1, 1989, a penalty amount, calculated in accordance with regulations issued by the Office of Management-and Budget, shall be paid in addition to the interest penalty amount if the Contractor-i (i) Is owed an interest pt ialty; (ii) Is not paid the interest penalty within 10 days after the date the invoice amount is paid; and 1

(iii) Makes a written demand, not later than 40 days after the i 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" j '

means a Government disbursement of monies to s Contractor under a contract clause or other authorization prior to acceptance of supplies or services by the Government. Contract financing payments j include advance payments, progress payments based on cost under the clause at 52.232-16, Progress Payments, progress payments based on a 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. j (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; it not prescribed, insert 30th 1; day) day after receipt of a proper contract financing request by the designated billing offic9. In the svent that an audit or ather 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. 1 (3) For advance payments, loans, or other arrangements that do I not involve recurrent submissions of contract financing requests, j payment shall be made in accordance with the corresponding contract j terms or as directed by the Contracting Officer. 1

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

- - - - - - - i

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..: . 'NRC-04-89-070 Section G (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)

! G.6 ELECTRONIC FUNDS TRANSFER PAYMENT METHODS (52.232-28)(APR1989)-

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

(a) For payment through FEDLINE, the Contractor shall provide the.

following information:

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

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

(3) Payee's accourt number at the financial institution where funds are to be transferred.

p (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 Amarican Bankers Association identifying number for the correspondent institution.

(b) For payment through ACH, the Contractor shall provide the j 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

Page 21 i NRC-04-89-070 . Section G

" Payment Information Form," SF 3881, must be completed before

. payment can be processed.

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

(d) The documents furnishing the information required in this :

clause must be dated and contain the signature, title, and telephone number of the Contractor official authorized to provide it, as well as the Contractor's name and contract number.

(e) Contractor failure to properly designate a financial ,

institution or to provide appropriate payee bank account information ,

may delay payments of amounts otherwise properly due. i (End of Clause) ;

G.7 SUBCONTRACT APPROVAL Pursuant to FAR 52.244-2, entitled " Subcontracts (Cost Reimbursement !

and Letter Contracts)", the Contractor is hereby authorized tn an+ar 4 into a subcontract with University of Maryland on a cost # // 55 // O %I (fj).6, reimbursement basis at an estimated amount of $1C2,588.00. The j

Contractor is also authorized to subcontract for consult ng services of Dr. James Reason on a fixed hourly rate basis at an estimated )

amount of $8,000.00. ;

(End of Clause) 4 i

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..s

.,- NRC-04-89-070 Section H l: r SECTION H - SPECIAL CONTRACT REQUIREMENTS I

I H . .I KEY PERSONNEL' (MAR 1987)

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

John Wreathall Mohammad Modarres Donald Schurman Peter Appignani 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 substa tially equal ability and qualifications.

c. All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They contain'a complets 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.

1

d. If the Contracting Officer determines that:

1) Suitable and tixely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is aut reasonably forthcoming; or

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

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NRC-04-89-070 .Section H (End of Clause).

H.2 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987)

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

(End of Clause)

H.3 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUNE 1988)

.Except as specifically authorized by this contract, or as otherwise approved by the Contracting 0fficer, 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 DRAWINGS, DESIGNS, AND SPECIFICATIONS (JUN 1988)-

All drawings, sketches, designs, design data, specifications,.

notebooks, technical and scientific data, and all photographs,

. negatives, reports, findings, recommendations, data and memoranda of every. description relating thereto, as well as all copies of the foregoing relating to the work or any part thereto, are subject to inspection by the Commission at all reasonable times (for which inspection the~ proper facilities must.be afforded the Commission by the Contractor and.its subcontractors), are the property of the Government'and may be used by the Government for any purpose whatsoever without any claim on the part:of the Contractor and its subcontractors and vendors for additional compensation and must, subject to the right of the Contractor to retain a copy of the f material for its own use, be delivered to the Gcvernment, or l

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

(End of Clause)

H.5 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED (JUNE 1988)

The Government will not provide any equipment / property under this contract.

(End of Clause) l

. 'i Page 24 i . NRC-04-89-070 Section H ,

H.6 SITE ACCESS BADGE REQUIREMENTS (JUNE 1988)' l DurGng th'e life of this contract, the rights of ingress and egress !

for contractor personnel shall be made available as required. In' :

this regard, all contractor personnel whose duties under this contract require their presence on-site shall be_ clearly l identifiable by a distinctive badge furnished by the Government. l The Project Officer will assist the Contractor in obtaining the badges for the contractor personnel. It is the sole responsibility of the Contractor to insure that each employee has proper identification at all times. All prescribed identification shall be immediately delivered to the Security Office for cancellation or i disposition upon the termination of employment of any contractor ;

personnel. Contract personnel must have this identification in their possession during on-site performance under this contract. It is the Contractor's duty to assure the safeguarding of any !

Government records or data that contractor personnel may come into j contact with. Adherence with special requirements for Foreign Nationals, in accordance with NRC Manual Chapter 2101, Part VII.C is l the responsibility of the Contractor.

(End of Clause) i H.7 ORGANIZATIONAL CONFLICTS OF INTEREST l (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988) j

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 i l

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

b. Scope. The restrictions describeo apply to performance or participation by the Contractor as def ked in 41 CFR 20-1.5402(f) in the activities covered by this clause, j

c. Work for others. Notwithstanding any other provision of !

this contract, during the term of this contract, the Contractor i agrees to forgo entering hto 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. l If the Contractor believes with respect to itself or any employee J 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 i Contracting Officer prior to execution of such contractual l arrangement.

d. Disclosure after award.

__ ._ __________ ________ m

rs.ge o j.- . NRC-04-89-070 Section H-r p 1) The Contractor warrants to the best of its knowledge and L belief, and except as'otherwise set forth in this contract,-that it does not have any organizational conflicts'of interest, as defined in.41'CFR 20-1.5402(a).

2) TheLContractor. agrees that, if after award, it discovers organizational conflicts'of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the L Contracting Officer. This statement 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;

.(11) Compete for work for the Commission based on the information for a period of s1x (6) months after either .the completion of this contract or the release of the information to the public, whichever is first; (iii) Submit an unsolicited. proposal to the Government based on the information until one' year after'the release of the information to the public, or (iv) Release the information without prior written approval by the Contracting Officer unless the information has previously been released to the public by the NRC.

2) In addition, the Contractor agrees that to the extent it f receives or is given access to proprietary data, data protected by

+.he Privacy Act of 1974 (Pub. L 93-579), or other confidential or privileged _ technical, business, or finencial 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, ;

in subcontracts of any tier. The terms " contract," " Contractor,"

and " Contracting Officer," must be appropriately modified to

- Page 26

. . NRC-04-89-070 .Section H preserve the Government's rights.

For breach of any of the above restrictions or

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g. Remedies.

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 41 CFR 20-1.5411.

(End of Clause) h L

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1. ,

NRC-04-89-070 'Section I PART II - CONTRACT CLAUSES i

SECTION.I. - CONTRACT CLAUSES.

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

FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1)

NUMBER DATE. TITLE 52.202-1 APR 1984' DEFINITIONS 52.203-1 -APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 1984 COVENANT AGAINST CONTINGENT FEES

! .52.203-6' JUL 1985 RESTRICTIONS ON SUBCONTRACTOR-SALES T0 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 ORE PRICING DATA 52.215-24 APR 1985 SUBCONTRACTOR COST OR PRICING DATA 52.215-31 SEP 1987 WAIVER OF FACILITIES ,

CAPITAL COST OF MONEY 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.216-7 APR 1984 ALLOWABLE COST AND PAYMENT 52.216-8 APR 1984 FIXED FEE 52.219-8 JUN 1985 UTILIZATION OF.SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS 52.219-13 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 52.222-35 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

rage a NRC-04-89-070 Section I 52.223-2 APR 1984 CLEAN AIR AND WATER 52.227 APR 1984 AUTHORIZATION AND CONSENT 52.227-2 APR 1984 NOTICE AND ASSISTANCE REGARDING PATENT AND-COPYRIGHT INFRINGEMENT' t 52.227-3 APR 1984- PATENT INDEMNITY 52.228-7 APR 1984 INSURANCE -- LIABILITY'TO THIRD PERSONS 52.230-3 SEP 1987 COST ACCOUNTING STANDARDS 52.230-4 SEP 1987 ADMINISTRATION OF COST ACCOUNTING STANDARDS 52.232-17 APR 1984 INTEREST 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 APR 1984 NOTICE OF INTENT TO DISALLOW COSTS 52.243-2 AUG 1987 CHANGES -- COST-REIMBURSEMENT ALTERNATE I (APR 1984)

.52.244-2 JUL 1985 SUBCONTRACTS (C0ST-REIMBURSEMENT AND LETTER CONTRACTS) 52.244-5 APR.1984 COMPETITION IN SUBCONTRACTING 52.249-6 MAY 1986 TERMINATION (COST-REIMBURSEMENT) 52.249-14 APR 1984 EXCUSABLE DELAYS m

I.2 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, breakcowns of production l eeuipment, or occar'ional production bottlenecks of a sporadic b

natute, (2) Gy indirect-labor employees such as those performing duties in ccnnection with administration, protectien, transportation, maintenance, standby plant protection, operation of utilities, or accounting; (3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and

. operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherdse; or (4) That will result in lower overall costs to the Government.

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

__- _-_.--.A____ _ _ _ _ _ _ - _ _ _ _

g Page 29 y . NRC-04-89-070 Section I contract completion and shall--

(1) Identify the work unit; e.g., department or section in which the requested overtime will'be used, together with present workload, staffing, and other data of the affected unit sufficient to permit the Contracting Officer to evaluate the necessity for the overtime;

.(2) Demonstrate the effect that denial of the request will have L

on the contract delivery or performance schedule; (3) Identify the extent to which approval of overtime would affect the performance or payments in connection with other Government contracts, together with identification of each affected contract; and (4) Provide reasons why the required work cannot be performed by using multishift operations or by employing additional personnel.

(End of Clause)

I.3 Ct.AUSES 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.4 DRUG-FREE WORKPLACE (FAR 52.223-6)

(a) Definitions. As used in this clause,

" Controlled substance" means a controlled substance in schedules i

I through V of section 202 of the Controlled Substances Act (21 U.S.C. 812) and as furtuer defined in regulation at 21 CFR 1308.11-1308.15.

': "Cc,nviction" mans a fint.1ng of gt.ilt (including a p7ea of nole contendere) or imposition of sente9ce, or bota, by py judicial body charged with the responsibility to determine violations of the Federal or State criminal drug statutes.

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

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

" Employee" means an employee of a contractor directly engaged in

'i- .,

Page 30-

~< NRC-04-89-070 Section I the' performance of work under a Government contract.

" Individual" me&ns'an offeror / contractor'that has no more than one employee including the offe,or/centractor.

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

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

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

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

(i_) Abide by the terms of the statement; and (ii) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later thaa five (5) 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:

(i) Taking appropriate personnel action against such employee, up-to and including termination; or (ii) Require such employee to satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such

eage 41 NRC-04-89-070 Section I l purposes by a Federal, State, or local health, law enforcement, or other appropriate agency.

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

(c) The Contractor, if an individual, agrees by award of the contract or acceptance of a purchase order, not to engage in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in the performance of this contract.

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

(End of Clause) i l

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c. NRC-04-89-070 Sectien J i

i PART III -~ LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS f

i

'J.1 ATTACHMENTS (MAR 1987) ;

Attachment Number . Title 1 Billing Instructions j 2 NRC Contractor Organizational. Conflicts of' Interest (41 CFR Part 20)

'3 NRC Manual Chapter 3202 i

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i (REVISED - 7/88) j l

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' BILLING INSTRUCTIONS FOR NRC COST-TYPE C0!ERACTS General. The contractor shall submit vouchers for cost-reimbursement in the manner and format described herein and as illustrated in the I sample voucher. ;

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

US Nuclear Regulatory Commission Division of Accounting and Finance AT7N: GOV /COM Accounts Section i

. Washington, DC 20555 1

Frecuency. The contractor shall submit claims for reimbursement once each month unless otherwise authorized by the Contracting Officer.

Form. Claims shall be submitted in the format depicted on the .l attached sample entitled " Voucher for Purchases and Services Other Than '!

Personal." Additional copies of the form are available from the Contracting Officer. The instructions for preparation and itemization 3 of the voucher are shown on the form. )

i Task Ordering Contracts. The contractor shall provide detailed cost i information for each task order with each invoice submission. This '!

includes all appliedble cost elements discussed in paragraphs (h) i through (o) of tie attached instructions, together with 9ppropriate j supporting information. ]

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

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

1 Supersession. These instructions supersede all previous billing j instructions.

l I

VOUCHERS FOR PURCHASES AND SERVICES OTHER THAN PERSONAL

..s i

Payor's Name and Address _ (a) Contract Number !

0.S. Nuclear Regulatory Commission Task Order No. (If Applicable) ;

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

Washington DC 20555 j Pay'e's Name and Address _

(c) Voucher Number (d) Date Voucher Prepared !

(e) Total Estimated Cost of Contract Individual to Contact R:garding This Voucher:

No..

(f) Total Fixed-Fee (g) This voucher represents reimbursable costs from thru Amount Billed (k) Current Period (1) Inception to Date ;

(h) Direct Costs ;

(1) Direct Labor *

(2) Fringe Benefits 0 %

(if computed as percentage) l (3) Capitalized Nonexpendable ;

Equipment

j (4) Materials, Supplies and '

Noncapitalized Equipment *

^

(5) Premium Pay (6) Consultants

j (7) Travel - Domestic Foreign *

i (8) Subcontract *

(9) Other Costs * "

(i) INDIRECT COSTS i A) Overhead % of l

(Indicate Base) _

Subtotal B) General & Administrative Expense

% of Cost Elements Nos. _

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

(m) Total Amounts Claimed (n) Adjustments q Outstanding Suspensions i (o) Grand Totals

(REQUIRES SUPPORTING INFORMATION.)

(SEE ATTACHED.) __

7/88 f

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- - _ - _ _ _ - _ _ - _ _ _ ___ - - - - 7,.c 3

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'1 INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACT 5 Preparation and Itemization of the Voucher. The contractor.shall

. furnish.the information set forth in the explanatory notes below.

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

'Payor's Name and Address. Address the original voucher (with 3 copies) to: U.S. Nuclear Regulatory Commission,' Division'of Accounting and Finance, ATTN: GOV /COM Accounts Section, Washington, DC 20555 Any questions regarding vouchers yet to be paid by the NRC should be addressed to the Division of Accounting and. Finance

.(301-492-8010). Any questions regarding vouchers for which-payment has been received (either in full'or partially with suspensions or disallowances) should be addressed to the Contracting Officer.

Payee's Name and Address. Show the name of the contractor as it appears in the contract,and its correct address. When an approved ^

assignment has been made by the contractor, or a different payee or addressee has been designated, insert the name and address of the payee. Indicate the individual responsible for answering any questions that the NRC may have regarding the invoice.(name and' phone number).

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

Task Order No. (If Applicable) - Insert the task order number.

(b) Title of Profect - List the full title of the project being .

performed uncer this contract.

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

Contractors may also include individual internal' accounting numbers in addition to the three digit number.

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

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

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

(g) Billing Period - Insert the beginning and ending dates Iday, month, and year) of the period in which costs were incurred and for which reimbursement is claimed.

-I-

a ,

9 l

.l (h) Direct Costs - Insert the major cost elements, (1) Direct Labor - This consists of salaries and wages ,

paid (or accrued) for direct performance of the contract itemized as follows. 1 1

Labor Labor Hours Hours Cumulative l Category Negotiated Billed Rate Total Hours Billed l f

(2) Frince Benefits - This represents fringe benefits applicable to direct labor and billed as a direct cost.

Where a rate is used, indicate the rate. Fringe benefits included in direct labor or in other indirect cost pools should not be identified here. .j (3) Direct Ecuipment - For educational institutions, list each item costing $500 or more and having a life expectancy of more than one year. For contractors other ;

than educations institutions, list each item costing ;

$200 or more and having a life expectancy of more than ;

one year. List only those items of equipment for which reimbursement is requested. A reference shall be made I to the following (as applicable): (a) the item number i for the specific piece of equipment listed in the I property schedule of the contract; (b) the Contracting j Officer's approval letter if the equipment is not covered by the property schedule; or (c) be preceded by i an asterisk (*) if the equipment is below the approval 1 level. Further itemization of vouchers shall only be i required for items having specific limitations set forth !

in the contract. l (4) Materials, Supplies, and Other Expendable Items -

lhese are consumable materials, supplies, and equipment ,

other than that described in (3) above.

(5) Premium Pay - This is remuneration in excess of the !

basic houriy rate. (Requires written approval of the j Contracting Officer.) i (6) Consultant's Fee - The supporting information must 4 include the nar'e, hourly or daily rate of the )

consultant, and reference the NRC approval (if not !

specifically approved in the original contract).

^

lF, [*i

(. 'l }

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

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

L" Date Traveler Destination Purpose Cost From ~To From To $

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

(9) Other - List all other direct costs be cost element and dollar amount separately.

(i) Indirect Costs--0verhead - Cite the formula (rate and base)

.in effect during the time the cost was incurred and for which reimbursement is claimed.

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

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

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

Insert the cumulative amounts billed for the major cost elements and adjusted amounts claimed during this contract.

(m) Total Amounts Claimed - Insert the total amounts claimed for the current and cumulat've periods.

(n) Adjustments - This includes cumulative amounts billed that p

have been suspended or disallowed.

(o) Grand Totals 9

4

- - ~ - - - - - - - - - - - . - _ . ____ J

W '*-

VOUCHERS FOR PURCHASES AND SERVICES OTHER THAN PERSONAL p- -

d Payor's Name and Address ' (a) Contract Number NRC-10-81-624 0.5. Nuclear Regulatory Conunission Task Order No. (If Applicable) 002 1.

Division of Accounting and Finance ATTH: GOV /COM Accounts Section

, (b) Title of Project " Study of Nuclear Waste Washington, DC 20555 Concepts" Payee's Name and Address ABC Corporation The National Bank 100 Main' Street or Anywhere, U.S.A. (c) Voucher Number 003-Anywhere,-U.S.A. Assignee for ABC Corp.

Anywhere, U.S.A. (d) Date Voucher Prepared 10-18 '

Individual to Contac{When Payments Assigned (e) Total Estimated Cost of Contract Regarding This' Voucher: $350,000.00 Name: ' Harry Murphy .

517,500.00 Tel. No.: 215-421-6bb4 (f) Total F1xed-Fee (g) ' This voucher represents reimbursable costs from 3/1/82 thru 3/30/82 Amount Billed (k) Current Period (1) Inception to Date (h) Direct Costs $2,400 16.R00 (1) Direct Labor *

(2) Fringe Benefits 0 1b.bt 1,200 (if computed as percentage) 600 (3) Capitalized '4 nonexpendable 8,000 Equipment

5,000 ._

(4) Materials, Supplies and 4,000 Noncapitalized Equipment

2,000 (5) Premium Pay 100 150 .

100 100 (6) Consultants

200 (7) Travel - Domestic

200 Foreion

200 (8) Subcontract

200 4,000 9,000 (9) Other Costs

1 (i) INDIRECT COSTS A) Overhead 100; of Total Direct Costs $13,600 $29,650

'(Indicate Base) 527,200 $59,300 Subtotal

-B) General & Adm_inistrative Expense 3,264 6,450 12 % of Cost Elements Nos.1-9. A $30,464 Total Costs 566.760 1,523 3.400 l (j) FIXED-FEE EARNED (Formula)

$31,987 169.150 (m)_ Total Amounts claimed (n)- Adjustments 1,700 1,700 Outstanding Suspensions

$30.287 167,450 l(o) Grand Totals

(REQUIRES SUPPORTING INFORMATION.)

(SEE ATTACHED.)

7/88

-L___-----_-_-__-__

t i

SAMPLE SUPPORTING INFORMATION L 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 l Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 $500 320 15 3 %

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

4) Materials, Supplies & Other Expendable Items

= $1100.00 10 Radon Tubes 9 $110.00 6 Pairs Electrostatic Gloves,9 $150.00 = $900.00 52000.00

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

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

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

e

8) Subcontracts XYZ CORP. (CPFF)

Direct Labor: - 80 hours9.259259e-4 days 0.0222 hours 1.322751e-4 weeks 3.044e-5 months 9 $20.00 per hour = $1600.00 0/H 9 50% = $800.00 Travel - 2 Trips - Wash., DC 9 $200 = $400.00 to Boston, MA .

Profit 9 7% = $200.00 TOTAL: 53000.00 (j) Fixed-Fee (Fonnula)

(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 #001, now approved by Contracting Officer letter 3/10/82.

e 6

p y fh f p c. . c t s-(REVISED - 7/88')

BILLING INSTRUCTIONS FOR NRC COST-TTPE CONTRACTS i

General. The contractor shall submit vouchers for cost-reimbursement in the manner and format described herein and as illustrated in the sample voucher. .

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

US Nuclear Regulatory Commission Division of Accounting and Finance ATTN: GOV /COM Accounts Section 1 Washington, DC 20555 Trecuency. The contractor shall submit claims for reimbursement once each month unless otherwise authorized by the Contracting

-Officer. l

l Form. Claims shall be submitted in the format depicted on the attached sample entitled " Voucher for Purchases and Services Other Than

' Personal." Additional copies of the form are available from the Contracting Officer. The instructions for preparation and itemization of the voucher are shown on the form.

Task Ordering Contracta. The contractor shall provide detailed cost ';

information for each task order with each invoice submission. This l includes all applicable cost elements discussed in paragraphs-(h) !

through fo) c' che attached instructions, together with appropriate. -i supporting infr . nation.

'i Billing of Costs After Expiration of Contract. If costs are incurred during the contract period and claimed after the contract has expired, j 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 j invoices paid under the contract may not exceed the total U.S. dollars j authorized in tha contract. i i

Supersession. These instructions supersede all previous billing l instructions.

1. I l' j i

i 1 l )'

l

- - . _ - -_____ - _____ - __ a

~ ~ -

m.4 4

,e'.

.e

'l VOUCHERS FOR PURCHASES AND SERVICES OTHER THAN PERSONAL 1

, ,J Payor's Name and Address (a) Contract Number j U.S. Nuclear Regulatory Commission' Task Order No. (If Applicable) l Division of Accounting and Finance l e

ATTN: GOV /COM Accounts Section (b) Title of Project !

Washington, DC 20555 i Payre's Name and Address I

(c) Voucher Number !

(d) Date Voucher Prepared ;

(e) Total Estimated Cost of Contract l Individual to Contact- j R garding This Voucher:

(f) Total Fixed-Fee

(**'No.. i

-l thru .;

(g) This voucher represents reimbursable costs from .

I Amount Billed (k) Current Period - (1 ) Inception to Date !

(h) Direct Costs . 1 (1) Direct Labor *

(2) Fringe Benefits 0 % ;

(if computed as percentage)

(3) Capitalized Nonexpendable ;

Equipment *

(4)' Materials, Supplies and Noncapitalized Equi'pment * !

(5) Premium Pay !

(6) Consultants * ,

(7) W avel - Domestic Foreign *

(8)-Subcontract * )

(9) Other Costs *

(i) INDIRECT COSTS l A) Overhead _% of j (Indicate Base) i Subtot'al L1

'B) General & Administrative Expense 1

% of Cost Elements Nos.

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

-(m) Total Amounts Claimed (n) Adjustments .l Outstanding Suspensions (o) Grand Totals

(REQUIRES SUPPORTING INFORMATION.) !

(SEE ATTACHED.) :'

7/88

)

r . . _ _ _ . - . - _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _

i

e INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACIT Preparation and Itemization of the Voucher. The contractor shall furnish the information set forth in the explanatory notes below.

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

Payor's Name and Address. Address the original voucher (with 3 copies) to: U.S. Nuclear Regulatory Commission, Division of Accounting and Finance, ATTN: GOV /COM Accounts Section, Washington, DC 20555 Any questions regarding vouchers yet to De paid by the NRC should be addressed to the Division of Accounting and Finance (301-492-8010). Any questions regarding vouchers for which payment has been received (either in full or partitlly with suspensions or disallowances) should be addressed to the Contracting Officer.

Payee's Name and Address. Show the name of the contractor as it appears in the contract and its correct address. When an approved assignment has been made by the contractor, or a different payee or addressee has been designated, insert the name and address of the payee. Indicate the individual responsible for answering any questions that the NRC may have regarding the invoice (name and phone number).

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

Task Order No. (If Applicable _) - Insert the task order number.

(b) Title of Project - 1.ist the' full title of the project being performed under this contract.

(c) Voucher Nugbe,r - Insert the appropriate serial number of the voucher oeginning with 001 for this contract.

Contractors may also include individual internal accounting numbers in addition to the three digit number.

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

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

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

(g) Billing Period - Insert the beginning and ending dates (day, month, and year) of the period in which costs were incurred and for which reimbursement is claimed.

E [4- 1. -

~

b, . 6 >

'(h) Direct Costs : Insert the major' cost elements.

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

, : itemized as follows:

Labor. Labor Hours Hours Cumulative Category Negotiated Billed Rate . Total Hours Billed ,

? (2) Fringe Benefits. - This represents fringe benefits .

applicable to direct. labor.and billed as a direct' cost. ,

Where a rate is used, indicate the rate. ~ Fringe 1 benefits included in direct labor or in other indirect l

cost pools'should not be identified here. J (3). Direct Equipment - For educational institutions, list !

each item. costing $500 or more and having a-life-expectancy of more than one year. For contractors other- R than educations institutions, list each item costing

$200 or more and having_.a life expectancy of.more than y one year. List only those items of equipment for which reimbursement is requested. A reference shall be made to the following (as applicable): (a) the item number. l for the specific piece of equipment listed in the ,

i property schedule of the contract; (b) the Contracting e

Officer's approval letter if~the equipment is not i covered by the property schedule; or (c) be preceded by. y an asterisk (*) if the. equipment is below the approval -j level. Further itemization of vouchers shall only be ;

required for items having specific limitations-set forth j in the contract. q l '-

(4) Materials, Supplies, and Other Expendable Items -

These are consumable materials, supplies, and equipment .

other than that described in (3) above. j i

(5) Premium Pay This is remuneration in excess of the basic hoarly rate. (Requires written approval of the.

Contracting Officer.)

(6) Consultant's Fee - The supporting information must include the name, hourly or' daily rate of the -l

. consultant, and reference the NRC approval (if not specifically approved in the original contract).

j 1

)

L 4 e

_ . _ _ . __ __ -_-__a

-. , m;

-- .1 +

(.; .

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

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

Date- Traveler Destination Purpose Cost From To From To $

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

'(9) Other - List all other direct costs be cost element and dollar amount separately.

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

(j) Fixed-Fee - If the contract provides for a fixed-fee, it must be claimed as provided for by the contract. Cite the.

formula or method of computation. The contractor may bill fu fixed-fee only up to 85% of total fee.

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

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

Insert the cumulative amounts billed for the major cost elements and adjusted amounts claimed during this contract.

(m) Total Amounts Claimed - Insert the total amounts claimed for the current and cumulative periods.

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

(o) Grand Totals

l n . .

~"'

VOUCHERS FOR PURCHASES AND SERVICES OTHER THAN PERSONAL Payor's Name and Address (a) ' Contract Number NRC-10-81-624 O.S. Nuclear Regulatory Commission Task Order No. (If Applicable) 002 i Division of Accounting and Finance ATTN: GOV /COM Accounts Section

, (b) Title of Project " Study of Nuclear Waste Washington, DC 20555 Concepts" Payee's Name and Address ABC Corporation The National Bank 100 Main-Street or Anywhere, U.S.A. (c) Voucher Number 003 Anywhere, U.S.A. Assignee for ABC. Corp.

Anywhere, U.S.A. (d) Date Voucher Prepared. 10-18-82 IndividualtoContac{WhenPaymentsAssigned '(e) Total Estimated Cost of Contract Regarding.This Voucher: $350,000.00 Name: Harry Murphy .

517,500.00 r Tel. No.: 21b-Jzi-6bb4 (f) Total Fixed-Fee (9). ; This ~ voucher represents reimbursable costs from 3/1/82 thru 3/30/82 Amount Billed (k) Current Period (1) Inception to Date !

(h) Direct Costs $2,400 16.R00 l (1) Direct Labor *

(2) Fringe Benefits @ Ab.b; 1,200 (if computed as percentaae) 600 l (3) Capitalized Nonexpendable 5,000 8,000 Equipment *

(4) Materials. Supplies and 2,000 4,000 j Noncapitalized Equipment

100 150

-(5) Premium Pay 100 100 (6) Consultants

200 (7) Travel - Domestic

200 I

Foreion

200 I (8) Subcontract

200 3,000 9,000 (9) Other Costs *

(i) INDIRECT COSTS A) Overhead 102 of Total Direct Costs $13,600 $29.650 !

(Indicate Base) 527,200 $59,300' 1 Subtotal B) General & Administrative Expense 3,264 6,450 12 % of Cost Elements Nos. 1-9.A $30,464 565.750 l Total Costs 1,523 3.400 (j) FIXED-FEE EARNED (Formula)

$31,987 $69.150 (m) Total Amounts Claimed (n) Adjustments 1,700 1,700 Outstanding Suspensions

$30.287 167,450 (o) Grand Totals (REQUIRES SUPPORTING INFORMATION.) ;

(SEE ATTACHED.) <

7/88 j i

a_--____-_-__-

g .. .

t 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 $501 320 1NK

3) Direct Equipment Spectrometer . General Electric (as approved in Property Schedule) $5,000 4)' Materials, Supplies & Other Expendable items

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

= $900.00 52000.00

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

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

7) Travel Date Traveler Destination Purpose _ Costs From o From Tpo, 3/1/82 3/6/82 William King Chicago, Wash., Meeting with $200 It DC Project Officer

{

g - ,

ff

.y. .

8) Subcontracts XYZ CORP. (CPFF)

Direct Labor: - 80 hours9.259259e-4 days 0.0222 hours 1.322751e-4 weeks 3.044e-5 months 9 $20.00 per hour = $1600.00 0/H 9 50% = $800.00 Travel - 2 Trips - Wash.. DC 9 $200 = $400.00 to Boston, MA Profit 9 7% = $200.00 TOTAL: 53000.00 ,

(j) Fixed-Fee (Formula)

(5%)

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

$27,200 X 5% = $1360 Fee Billed for this Period (n) Adjustments

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

l e

j l

_ '.?- RT1d5 ^

v .

. PART 20-1 -- GENERAL Subpart 20-134--Contractor:0 organizational Conflicts of Interest Sec.- ' '

. 20-1.5401 Scope and policy.

20-1.5402 De.finitions.

20-1.5403 Criteria for recognizing contractor organizational

' conflicts of interest. .

20-1.5404- Representation._ .

20-1.5405 ~ Contract clauses.

.20-1.5405-1 ~

General contract clause. . .

20-1.5405-2 Special contract provisions.

20-1.5406 .

Evaluation, findings, and contract award.. .

. 20-1.5407 Conflicts identified after award.

20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-1'.5410 Subcontractors. -

20-1.5411 Waiver. -

1.5412- Remedies.

AUTHORITY: Sec. 8, Pub. L.95-601, . adding Sec.170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 520-1.5401 Scope and Policy (NRCh(a) It is the policy of the U.S. Nuclear Regulatory Commission of interest. The NRC achieves this objective by requiring all prospective l

contractors to submit information describing relationships, if aay, with l ':

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.

^

I (b) Contractor conflict of interest' determinations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied so as to srtisfy the overall public interest. It is not possible. to prescribe l

in advance a specific method or set of criteria which would serve to

' identify and resolve all of the, contractor conflict of interest situations which might arise; however, examples are provided in these regulations to guide application of the policy. NRC contracting and program officials must be alert to other situations which may warrant application of this

' policy guidance. The ultimate test is: Might the contractor, if awarded

-the contract, be placed in a position where its judgment may be biased,

,k_

or where it may have an unfair competitive advantage?

e (c) The conflict of interest rule contained in this subpart applies to contractors and offerors only. Individuals or firms who have other relat-ionships with NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment orocess, NRC l;

L _ _ _ . _ _ _ . . _ _ . _ . _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ J

r 7590-01 agreements with other govbrnment agencies, international organizations.

. or state, local or foreign governments; separate procedures for avoiding 1 conflicts of interest will be employed in such agreements, as appropriate. -

. 520 ,1.5402 Definitions

-(a) " Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or .

planned interests related to the work to be perfonned under an NRC !

contract which: (1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a

biased work product, or (2) may result in its being given an unfair -

competitive advantage.

(b) "Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation.

(c)

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

(d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the formulation or administration of. its procrams, projects, or policies which normally

, require the contractor to be given access to information which has not been made available to the public or proprietary information. Such services typically include assistance in the preparation of program plans; an.d preparation of preliminary designs, specifications, or statements of work. .

(e') " Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401(c).

(f) " Contractor" means any person, firm, unincorporated association, joint venture, co-spons,or, partnership, corpor.ation, affiliates thereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC.

(g) " Affiliates" means business concerns which are affiliates of ~

each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR 51-1.606-1(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.

A (i) " prospective contractor" or " offeror" means any person, firm, ,

unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract. -

2_

p b '%

--.- ,g t-7590-01 j

. -(j) Potential conflict of interest" means that a factual situation i exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The term " potential conflict of interest" is used to signify those situations which merit investigation prior.to contract award in order to ascertain whether award would give c'

rise to an actual conflict or which must be reported to the contracting.

officer for investigation if they arise during contract perfomance.

t 520-1.5403 Criteria'for recognizing contractor organizational conflicts of interest .

(a) General. Two questions will be asked in determining whether actual or potential organizational conflicts of_ interest exist: (1)Are there conflicting roles which might bias a contractor's judgment in relation to its work for the'NRC7 (2) May the contractor be given an unfair competitive advantage based on the performance of the contract?

The ultimate determination by NRC' as to whether organizational. conflicts of interest exist will be made in light'of common sense _ and good business judgment based upon the relevant facts disclosed and the work to be performed.~ While it is difficult to. identify and to prescribe in advance a specific method-for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call- for the rendering of advice, consultation or evaluation

~

activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurement, and research programs.

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

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

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

(iii) Where the offeror or contractor evaluates its own products or

services, or the products or services of another entity where the offeror or contractor has been substantially involved in their development or marketing.

3 (iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor.

- - - ------___..___m________________ ___

y k

!7590-01

, (2). The contracting officer.may request specific infomation from an' offeror or contractor or may require special contract provisions _such -

.as provided in 5 20-1.5405-2-in the following circumstances:-

(i) 1 Where the offeror or contractor prepares specifications which- .

are. to be.used in competitive procurement of products or services' f covered by such specifications.'

(ii)Wheretheofferororcontractorpreparesplansforspecific_

approaches or methodologies that are to be-incorporated into competitive procurement using such' approaches or methodologies, b '

(iii) Where the offeror or contractor is granted access to information not available to the public.concerning NRC plans, policies, or programs which could form the basis for a later procurement action.

(iv) Where the offeror or contractor is_ granted access to proprietary infomation of its competitors.- ~

& (v)- Where the award of a contract might otherwise result in placing i the offeror or contractor in a conflicting role in which its judgment may be biased'in relation to its work for the NRC.or may otherwise

' result.in an unfair competitive advantage for the~ offeror or contractor.

(c). Policy ~ application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational ' conflict of _ interest situations. -(1) Example.

The XYZ Corp., in response to a request for proposal (RFP), proposes to i

undertake certain ' analyses of a reactor component as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically well qualified.- In response to the inquiry in the RTP, the XYZ Corp.

advises that it is currently performing similar analyses for .the reactor manufacturer.

Guidance.'AnNRCcontract'for.that:particularworknormallywould not be awarded to the XYZ Corp. because it would be placed in a position

_ in which its judgment could be biased in relationship to its work for NRC. Since there are other well-qualified companies available, there

. would be no reason for considering a waiver of the policy.

(2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one.

. type of aavanced reactor. As is'the case with other technically qualified companies responding to the RFP,.the ABC Corp. is performing various ,

. projects for several different utility clients. None of the ABC Corp.-

projects have any relationship to the work called for in the RFP Based on-the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP. s

_..----:.---_ a-- - -_. -:>_--- ---__a-----.n---_---- ---___n_-- _--

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7590-01 Guidance. An NRC contract normally could be awarded to the ABC L

Corp. because no conflict of interest exists which would motivate bias c 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.

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(3) Example. As a result of operating problems in a certain . type of. commercial nuclear facility, it is imperative that NRC secure specific data'on various operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer has extensive experience with that type' of plant. Consequently, thatL 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 terms of NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be_ warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.

. (4) . Example. The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's performance for the purpose of developing standards that are important to the NRC 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 stip9lates that no information produced under the contract will be used in the contractor's private activities unless such information

.has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC

furnishes information to the contractor for the performance of contract-work, it shall not be used in the contractor's private activities unless such information is generally available to others. Further, the contract l c will' stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the '

contract is proposed to be used. i

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 5 20-1.5403(b)(1)(i), ABC Corp. informs the NRC that it is presently doing seismological studies for several utilities in the Eastern United .

States but none of the sites are 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 5 20-1.5405-1(c) would preclude ABC Corp. from accepting work during the term of the NRC contract.which could create a conflict of interest.

(d) Other considerations. (1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the perfonnance of a contract is not relevant to a determination of the existence of such conflicts prior to the award of a contract.

(2) It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational 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) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor.

(b) Representation procedure. The following organizational conflicts of interest representation provisio.n shall be included in all solicitations and unsolicited proposals for: (1) Evaluation services or activities; (2) technical consulting and management support services; I (3) research; and (4) other contractual situations where special organizational

) conflicts of interest provisions are noted in the solicitation and would l be included in toe resulting contract. This representation requirement i

shall also apply to all modifications for additional effort under the

) contract except those issued under the " changes" clause. Where, however, l

a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with .

regard to the contract being modified, only an updating of such statement shall be required.

I

L 7590-01

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ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I_ represent to the best of my knowledge ~ and belief Lthat:

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

. existing' contract.does ( ) or does not (-) involve situations or relationships of.the. type set forth in 41 CFR I20-1.5403(b)(1).

(c)-~ Instructions to= offerors. The following shall be included in all NRC solicitations: -(1) If the representation as completed indicates -

that situations or relationships of the type set forth in 41 CFR

. 5 20-1.5403(b)(1) are involved, or the contracting officer' otherwise 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

.(1) Impose appropriate conflicts. exist, the following conditions which avoid.such conflicts, (ii actions may)be taken: disqualify the offeror, or (iii) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of' 520-1.5411.-

-(2) The' refusal to-provide the representation. required by 520-1.5404(b) or upon request of the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of the offeror for -

award. The nondisclosure or misrepresentation of any relevant interest may also result in~the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other-remedial- actions provided by law or the resulting contract.

(d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of. work contained in a RFP unless the RFP. specifically prohibits such exclusion. Any such proposed exclusion by an offeror will; be considered by 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 e

of the competitive posture of the other offerors, the proposal must be rejected as unacceptable.

(e) The offeror's failure to execute the representation required

.by subsection (b) above with respect to invitation for bids will be

. considered to be a minor informality, and the offeror will be permitted to correct the omission.

I 20-1.5405 Contract clauses i 20-1.5405-1 General contract clause C - _ _ -

7590-01 All contracts of the types set forth in i 20-1.5404(b) shall include the following clauses: -

(a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor: (1) Is not placed in a conflicting role .

because of cuwent or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) !

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

(b) Scope. The restrictions described herein shall apply to performance or participation by the contractor as defined in 41 CFR I s 20-1.5402(f) in the actitities covered by this clause.

(c) Work for others. Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract.

The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.

(d) Disclosure after award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a).

(2) The contractor agrees that if after . award it discovers organizational i conflicts of interest with respect to this contract, it shall make an imediate and full disclosure in writing to the contracting officer.

This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract for convenience if it deems such termination to be in the best interests of the government.

(e) Access to and use of information. (1) If the contractor in the performance of this contract obtains access to information, such as '

NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has i not been released to the public, the contractor agrees not to: (1) Use -

such information for any private purpose until the information has been released to the public; (ii) compete for work for the Comission based l

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7590-01 on such information for a period of six (6) months after either the completion of this contract or the release of such infomation 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 1 placed on use of the information.

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

(f) Subcontracts. Except as provided in 41 CFR 520-1.5402(h), the contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms " contract," " contractor," and

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

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

(h) Waiver. A request for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 5 20-1.5411.

520-1.5405-2 Special contract provisions.

(a) If it is determined from the nature of the proposed contract

- that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a waiver in accordance with 520-1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction. These provisions include but are not limited to:

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-7590-01 -

1 E

(1). Hardware exclusion clauses which prohibit the acceptance-of production contracts following a related nonproduction contract previously.

Derformed by the contractor;

'(2) Software exclusion clauser; (3) Clauses which require the contractor (and certain of his key -

personnel) to avoid certain organizatio nal conflicts of interest; and (4) Clauses which provide'for protection of confidential data and guard against its unauthorized use.

(b) The following additional contract clause may be included as-section-(1) in the clause set forth in 5 20-1.5405-1 when it is.determinea that award o' a follow-on contract would ccnstitute an organizational conflict of interest.

(i) Fcllow-on effort. (1) The contractor shall be ineligible to

. participate.in NRC contracts, subcontracts -or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of work under this. contract. Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perform any technical consulting or management support services work or evaluation. activities !

under this contract on any of its products or services or.the products or services of another firm if the contractor has been substantially involved in the development or marketing of such products or services.

(2) If the contractor under this contract prepares a complete er essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial contractual effort which is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not apply.

(3) Nothing in this paragraph shall preclude the contractor from offering or selling its standard commercial items to the government.

5 20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of !20-1.5404(b) and other relevant .information. After evaluating this information against the criteria of120-1.5403, a finding will be made by the contracting

officer whether organizational conflicts of interest exist with respect to a particular offeror. If it has been determined that conflicts of interest exist,-then the contracting officer shall eitner: -

(a) Disqualify the offeror from award, l

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7590-01 (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of 520-1.5411.

520-1.5407 Conflicts identified after award.

If potential organizational conflicts of interest are identified after award with respect to a. particular contractor, the. contracting officer determines that such conflicts do, in fact, exist and that.it would not be in 'the best interests of the government to terminate the contract as provided in the clauses required by 520-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict.

520-1.5408.-(Reserved) 520-1.5409 (Reserved) 520-1.5410 Subcontracts

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

520-1.5411 Waiver In the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and after consultation with the Office of the General Counsel, the ED0 may waive the policy in specific cases if he determines that it is in the best interest of the United States to do 50.

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

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

t a

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7590-01 1

l:_ 520-1. 5412 Remedies i

In addition to such other remed'ies 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.

Lated at Washinoton. D.C this 27th day of March 1979.

For the Nuclear Regulatory Commission c$tuoA 0:h-A

. . Samuel-). Chilk ' '

Secretary of the Commission i

af

Form NRC 459 (1 76)

U. 5. NUCLEAR REGULATORY COMMISSION l NRC MANUAL l,. !

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TRANSMITTAL NOTICE

-p CM :2 h h30-3202 PUE2 CATION OF WfriNICAL REPORTS PREPAnw BY NRC CO?CRACTORS, INCLUDING REPORPS PREPARED UNIER OR PWSM'r 70 It?TERAGENN A3*EEMOTPS SUPERSEDED: TRANSMITTED: .

Number Date Number Date TN 3200-21 i h/29/82 Chapter NRC-3202 6/29/64 l Chapter NRC-3202 .

Page Page ,

l I

IE-32 2 h/29/82 Appendix E -3202 6/29/M Appendix REMARKS:

I This revision cf Chapter 3202 expands the chapter from coverace cf )

unclassified reports to include the markirs and handling of sensitive unclassified irfomation (Official Use Only and Limited Official Use Inicmatier., Safeguards Infomatier., Proprietary Infomation) and classified irtomation (Top Secret, Secret, and Confidential). A section has also beer, added to set forth procedures for the handling of unclassified reperts en h?: cooperative programs with foreign EcVerr.er.ts U.d c.T ar.izaticr.s and with U.S. industry.

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U .S . N1' CLEAR REGULATORY COMMISSION NRC MANUAL Volume: 3000 Information and Foreign Activities Part 3200 Technical Information and Document Control ADM CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 32C 2 COVERAGE This chapter and its appendix handbook establish responsibilities , basic requiremen t s . standards and procedures for the documentation, production and dissemination of technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, including reports prepare d under or pursuant to interagency agreements or memorandums of understanding. These reports are hereafter referred to as contractor re-port s . This chapter does not cover NRC staff-generated documents, NRC docket material. or the documents generated by NRC . boards, panels .

/

advisory committees and Offiets that report to the Commission.

3203-02 OBJECTIVES 0 21 to assure production and dissemination of technical reports as required by the Energy Reorganization Act of 1974 and the Freedom of Infor-maticn Act 022 to assure that disse mination of technical reports is consistent with requirements for public availability of information.

023 to assure that national security, patent rights, copyrights, proprie-tary righ t s anc right s ir other sensitive unclassified information are not compromised by the release , distribution, or dissemination of technical reports from NRC.

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

025 to provide for coordination of press or other media releases.

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3202-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director, Office of Administration:

a, de elops and maintains , in consultation with Directors of Off2' ces f and Divisions and Regional Administrators, NRC standards, proce-l

\ dures and guides for the production and dissemination of technical contractor reports.

Approved: August 29, 1984 1

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' PUBLICATION Of TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS periodically surveys report activities throughout NRC to ascertain b.

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

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

a. develops and administers a central report control 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, formatting, printing, dissemination, and public sale of unclassified contractor reports.

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

d. establishes and administers interagency agreements necessary for the i dissemination and public sale of unclassified contractor reports and controls duplication and printing of contractor reports to assure adherence to the Government Printing and. Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the 1*nited States.

e. m response to requests of Directors of Offices and Regional Admmistrators, establishes distribution data banks, maintains official-standard distribution lists for automatic distribution of unclassified contracter reports. and controls distribution to assure adherence to the Government Printing and Binding Regulations. the Privacy Act.

I and the Freedom of Information Act.

033 Directors of Offices and Regional Administrators:

a. establish the contreft or Standard Order for Work

provisions, meluding those regt red by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff- and Contractor-Generated Documents and its appendix; Chapter NRC-0260, Print-in g , Copying , Graphics and Photograp' y 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 Work. See Chapter NRC-Il02.

Approved: August 29, 1984 j-L . _ _ - _ - __- - -

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY

. NRC. CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS NRC-3202-034 l (2) provide for the reviews necessary to insure that the national security , patent' rights, copyrights , proprietary rights and rights ~ in other sensitive unclassified information are not compromised by the release or dissemination of the reports.

If DOE contractors are to be authorized to make the reviews, designate the contractor officials' who are authorized to sign NRC Form 426A prior to ' NRC distribution of reports (see Appendix , Part I V ) '. Assure that sensitive - unclassified and classified reports are marked and handled properly (see Appendix, Part V).

(3) specify that au formal reports carry NUREG/CR or NUREG/CP numbers as the prime identification , as illustrated in the appen dix .

.(4) specify whether formal reports shall be printed by NRC or 'ne contractor if the contractor has a JCP-authorized federal print-ing plant (see Appendix, Parts 11 and IV).

(5) specify that all formal reports ' required by NRC. shan be distributed by NRC.

(6)- establish the number of copies the contractor may retain or

(

g request for. internal and external distribution and charge against NRC. Written justification must be provided , and approval obtained of the NRC JCP representative (the Director.

Division of Technical Information and Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reports.

(7) assure the protection of classified and sensitive, unclassified information . if ar y , in contractor reports (see Appen dix.,

Part V).

b. assure adherence to instructions and authorizations regarding the 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 .

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

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

034 The Office of the Executive Leral Director provides legal review and advice to NRC staff on questions regarding inventions, patents, proprietary information, use of copyrighted material, national security, and

[ other sensitive unclassified and classified information.

t 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

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L PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED

- - NR C-3202-03C UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 030 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.

L. advises staff of NRC Offi:es ' and Regions . on the preparation and-handhng of reports containing classified, proprietary and other sen-sitive unclassified information.

037 The Director. Division of Contracts:

a, coordinates the flow of all reports to and from contractors (other than DOE contractors) where such reports may result in alterations -

in the . terms and conditions of applicable . contracts as they pertain to report production and distribution.

b- advises the contractor as to the source and method for obtaining s reports required from the government for performance of the contract .

c. provides contractor with copies of NRC Chapters 0260, 3202, 3203.

3207, and 3210, when appropriate.

d. determines when requests for proposals and invitations for bids, as well as subsequent contracts, should ~ 1nclude statements requiring contractor compliance with Chapters NRC-3202, 3207, and 3210 and

' the Government Printing and Binding Regulations.

e. ensures that appropriate clauses are included in contracts regarding the private use and protection of classified, proprietary and other sensitive unclassified information. .

3202-04 DEFINITIONS

04; camera-ready copy - ; ages ready for printing by the. offset printing process. This as a colloquial 1trm used even though the printing process may not involve the so-called copy camera (see also reproducible masters).

042 central report control system - means for developing and maintaining the policies, procedures and guides needed to identify and produce regulatory and technical. reports and ~ to assure adherence to requirements and standards for documentation formatting. printing and dis,tribution.

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

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

"Words underscored in definitions are also defined in list.

Approved: August 29, 1984

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j PUBLICATION OF TECHNICAL REPORTS PREPARED B2 j

. NRC CONTRACTORS. INCLUDING REPORTS PREPARED . i UNDER OR1 PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-044 !

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044 copyright - a form of protection provided by the laws of the United -

States -(Title l'. U.S. Code) to the authors of " original works of authorship" '

o including literery, dramatic, musical, artistic, and certain . other intellectual .

works. This protection is available to both published and unpublished works.

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

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

t 046 distribute - to dispense reports' to specific organizations and indi-viduals to assure their participation in the regulatory process and support of research and technological investigations. Such distribution may be accom-

.plished - by the use of standard distribution data banks established and main- l

[ trined by the Division of Technical Information and Document Control based on the. requests of the originating Office or Region.

047 documentation - classification and associated markings required for classified or sensitive unclassified documents. the NRC report number.

unique to the report, title (and subtitle, if any), author or correspondent (if any). organization identification and contract number (or FIN number), date and availability.

[ .. 048. ' draft or final material for inclusion in "Cafety Evaluation Reports" l or " Environmental Statements" (ES) written material requested for input to ,{

(- SEhs or ESs to be issued as NUREGs. Such material may be edited or modi- j

fied at the discretion of the NRC staff. -l 049 formal technical reports - the final product of research, an original ';

- investigation . or a significant7ompilation of information. This product is a j formal technical report for publication in the NUREG/CR series. For extensive j 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 ;

j may be requested for comment prior to preparation of the camera-ready copy. J 0410 NRC project manujer - the NRC staff member responsible for the I work performed by consultants or contractors and their subcontractors, or ;

for work performed under or pursuant to an interagency agreement.

0411 patent review - examination by legal sthff to assure protection I rights in inventions.

0412 proprietary information - trade secrets; privileged or confidential )

. research, development, commercial or financialinformation, exempt from manda- l j

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 i j

to the NRC by a foreign source and determined to be unclassified by the NRC. !

0413 publiels available documents - information (reports and references) !

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

l Approved: August 29, 1984 .

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PUBLICATION OT TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NR C-3202-0414 UNDER OR PURSUANT 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 prints of black and white photographs (colored photographs cannot be reproduced). *

(3) original typed or printed text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (1),-(2) and (3) that a printer can reproduce.

0415 technical reports - information on the technical aspects of contract work. There may be interim or fmal 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 caDed technical evaluation reports)

- interun or fmal letters that provide infor1 nation 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-untion of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, informal (interim) progress reports, quick-look reports, data reports.

status summary reports, project descriptions, pre-tested predictions, model verifications , experiment safety analyses, experiment operating procedures.

facility certification reports, and test result reports.

0417 unique identification - NRC identification used on a report and its attachments , revisions , and supplements that is not used on any other report .

3202-05 BASIC REQUIREMENTS 0 51 Applicability . The 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. Becrose of the unique requirements of NRC boards, panels , advisory committee! and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the Commission . These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be given wide public dissemination.

052 Forms. NRC Form 426A, " Publication R&ase for Unclassified NRC -

Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-graphic Data Sheet" (Exhibit 7), and NRC Fona 190, " Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided in the appendix. ,

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

Approved : August 29, 1984

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l PUBLICATION OF' TECHNICAL REPORTS PREPARED BY-

" NRC CONTRACTORS. INCLUDING REPORTS PREPARED 1*NDER OR Pl'RSl' ANT TO INTER AGENCY AGREEMENTS NRC-3202-054 054 Preparation Requirements -

L

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

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

b. Reports Printed bv Authorized Federal Printine Plants. All contrac-tor reports to be printed by the contractor (as specified by the contract, agreement, or standard order for work) shall be. prepared according to Appendix 3202, and a reproducible master and suffi-cient copies for- standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control.

accompanied by completed NRC Form 426A, signed by the authorized

~

contractor official. Each such report shall include, as the last pa;;e.

a completed NRC Form 335.

055 References. The NRC chapters referenced and NUREG-0794 (ref, j) and Nl' REG-0650 (ref ij are available from the Division of Technical Informa-tion and Document Control. . The other publications are. available from the Government Printing Office.

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

V b; Chapter and Appendix NRC-2101. "NRC Security Program."

c. Chapter' NRC-3203. " Distribution of Unclassified NRC Staff- and Contractor-Generated Documents."

d. Chapter NRC-1102. " Procedures for Placement of Work with the Department of Energy."

e Chapter NRC-3206, "Nhc Contractor Speeches. Papers and Journal Articles on Regulatory and Technical Subjects,"

f. Chapter N R C-3207, ' Conferences and Conference Proceedmgs . "

g. Title 44. U.S. Code. "Public Printing and Documents." Government Printing Office.

h. Government Printing and Binding Regulations of the Joint Committee on Printing. Congress of the United States. No. 24, April 1977 (JCP Regula tions ) . Government Printing Office.

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

Government Printing Office.

i 5

Approved: August 29, 1984

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-s PUBLICATION.OF TECHN] CAL REPORTS ' PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED --

. NRC-3202-055 UNDER OR' PURSUANT ~ TO* INTER AGENCY AGREEMENTS

j. " Technical Writing . Style' Guidt ;" A . W. Savolainen et al. .. compilersl '..

- Y .. $ . . NRC , Report: NUREG-0050, November 1979, and. Supplement

. February 1982..

7 D~. J. Kasun.

k. " Protection of Unclassified L Safeguards . Information,"

l' USSRC Report NUREG-0794, October 1981.

V.

1. . Chapter NRC-0255 " Mail Management." and Appendix.0255. Part Annex A;

'i'..

4 l.

1 i

Approved: August 29. 1984 .

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PUBLICATION 'OF TECHNICAL REPORTS PREPARED BY. '

e NRC, CONTR ACTORS. INCLUDING. REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS - NRC Appendix 3202 ,

CONTENTS i i

12 p .

PART 1- -PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS OF WORK FOR-CONTRACTS. GRANTS AND STANDARD ORDERS FOR DOE WORK A. LIST OF TECHNICAL REPORT REQUIREMENTS.........................- 1 B. REQUIREMENTS FOR FORMAL. REPORT 5............................... 2 C. REQUIREMENTS FOR DRAFT REPORT 5................................ 2 D. PUEil5HING UNCLASSIFIED. NON-SENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPER 5...................... 3 q E. TYP0GRAPHi................. .................. ................ 4 F. REPORTS CONTA]NING SENSITIVE UNCLASSIFIED AND

-CLA551F]ED INFORMATION......... ..... ....................., . . ;4 'j G. . PUBLISHING UNCLA551FIED. PROCEEDINGS OF CONFERENCES AND WORN 5 HOPS... ..... . .................................. . 4

.g.

. H. WRITING AND PUBL]SHING UNCLASSIFIED B00K5..................... S'

!. DI STRIBUT ION OF RE PORT S T O CONTRACTOR 5. . . . . . . . . . .. . . . . . . . . . . . . . 5 .;

J. COORDINATION OF PRESS OR OTHER MEDI A RELEASES E OF UNRA551FIED INFORf1AT10N............ ..... ............... 5 ,

PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC...

'7

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

. ..... ... 7 l

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

l F ront Cove r e id T i t l e Page . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . 7 2.

Availability-information................................. 9

3. ,

4. Disclaimer. .. ......... ......... ............. ...... 9 )

9 i

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

9 o 6. Abstract.. ............ ....... . ................ ... .

7. References and Bibliographies............................ 9' 10 i

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

l 4' 10 B. P AT E NT AND SE CURIT Y REVI EW5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10 L 1. Patent Review. ..........................................

10

2. Security Review. ....... . ..... ................... ... l i

.{. ..

)

l l

i Approved: August 29, 1984 4

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

FAGE C. PROCEDURES FOR PRINTING AND DISTRIBUTING. . . . . . . . . . . . . . . . . . . Il

2. Printing.............. ............................... . 11

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

3. Distribution of Reports.................................. 11

. EXHIBITS

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

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

2. Sample Title Page forl Unclassified Formal Contractor-Prepared Reports. Excluding Those Printed by DOE Laboratories with JCP Authorizea F ede ral Printing Plants. . . . . . . . . . . . . . . . . . . . . . . . . . 14

~ 3. Sample Cover for Unclassified Formal Reports Printed by. DOE Laboratories with JCP Authorized Federal Printing Plants.......... 15

4. Sample Title Page for Unclassified Formal Reports Printed by DDE Laboratories with JCP Authorized Federal Printing Plants.. ..... ..... .... .......................... ... . . . 16

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

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

7. NRC Form 335, Bibliographic Data Sheet. ......................... 19 PART 111 UNCL ASSIFIE D TECHNIC AL 1 ETTER REPORTS. . . . . . . . . . . . . . . . . . . . . . 21 A. FORMAT. ...... . . .. .... . ........ ....... ...... .. . 21

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

2. Requirements.... ....................................... 21

. B. PATENT AND SECURITY REVIEWS...... ... .................. .. 21

1. Patent Review.......................................... 23

2. Security Review. ......... ......................... 22 PART'!V UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE 0F NUCLEAR F.EGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANT 5...................... 23 A. DOCUMENTATION.. . ...................... ... . ........ . 23 9

23

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

Front Cover and Title Page.. 23

2. . . . . .. .. .. . ..

Approved: August 29. 1984 ii

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, PUBLICATION OT TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS.1NCLUDING REPORTS PREPARED -

UNDER OR PURSU ANT TO INTER AGENCY AGREEI.iENTS NRC Appendix 3202 0

[B :

@ l.

CONTENTS (Continued)'

o

{?

PAGE Availability and Price 25-l 3.

4.

Information.....................

Disclaimer.. .. ....................................... 25

5. Previous 1 Reports in 5eries............................ 25-E

6. Abstract................................................. 25

7. References and Bibliographies. ...................... . 26i

8. Bibliographic Data 5heet................................ 26 5................................. 26 B. PATENT.AND SECURITY' REVIEW Patent Review......... .............................. . 126 1.

2; . Security Review.. ................. .................... 26-27 C. PROCEDURES FOR PRINTING AND DISTRIBUTING......... ..........

1. Printing....................... .................... 27-2; Reprinting........ .............. ....... ............. 27 Distribution of Reports........ .. ............. ...... 27 3

PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND

........ 29 C L A5 5] F I ED ' INF O RMAT 10N . . . . . . . . . . . . . . . . . . . . . . . . .. . . .

29 T ~A. APPLIC ASILIT Y. .... ........ .......................... ....

.f 29 E4 0FFICIAL.USE ONLY'AND LIMITED Off!CIAL USE INFORMATION......

301 C. ; PROPRIETARY 1NFORMAT10N........... ........ .............. .

.......... ...... ....... . 3)

.t. 5 AF EGUARDS INFORMATI0f . . . . . . . . . .

31 ,

E. CLASSIFIED INFORMATION. ....... ............ ...............

EmIBIT5

8. Sample Cover f or a Contri.; tor Report Containing Of ficial Use 33 Only Information. ....., ................................

9. Sample Title Page for a Contractor Report Containing Official 34 Use Only Information. .. . .. . .. .. .....................

10. Sample Back Cover for a Contractor Report Containing Official 35 Use Only Information. .. . ... ...............................

11. Sample Cover for a Contractor Report Containing Limited 36 Official Use Information. .. ........................ ............

12. Sample Title Page for a Contractor Report Containing Limited 37

,r

.- Official Use Information..... .... . .................... .....

t' I-iii Approved: August 29, 1984

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' PUBLICATION OF TECHNICAL REPORTS PREPARED BY

- NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 -UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENT 5'(Continued) ,

P,,A G,[

13. -Sample Back Cover for a Contractor Report Containing Limited ..

Official Use Information.......................................... 38.

Sample Cover for a Contractor Report Containing Proprietary

~

14.

Inf ormation Octained f rom a U. S. Organization. . . . . . . . . . . . . . . .*- . . . 39

15. _ Sample Cover Page for a Contractor Report Containing Proprietary Inf ormation Obtained f rom a Foreign Source. . . . . .. . . . . 40

- 16. Sample Title Page for a Contractor Report Containing Proprietary Information.0btained from a U.S. Organization.... . 41

. 17. Sample Title Page for a Contractor Report Containing Proprietary Information. Obtained from a Foreign Source..... .. 42 1E. Sample Eack Cove- for a Contractor Report Containing Proprietary Inf ormation. . ... . .. ... . . . . . . . . . . . . . . . . .... 43

19. Cover Sheet fer Reports Containing Proprietary Information....... 44

20. . Sample Cover for a Contractor Report Containing Unclassified Safeguards Information.... .. ... . . . . . . . . . . . . . .... 45

21. Sample Title Page for a Contractor Report Containing Unclassified Safegueros.Information.. ... .... ..... . . . . . . . . ... 4E

22. Sample Back Cover for a Contractor Report Containing Unclassified Safeguarcs Information............ ....... ..... .... 47

23. Cover Sheet for a Contractor Report Containing Unclassified 4E Safeguards Information.. . ... . .. . ............. . . . . . . . ....

PART VI. HANDL}N3 Of UNCLA551FliD INFORMATION ON NRC COOPERATIVE PROGRAMS Wilh FOREIGh GOVERNMENTS AND ORGANIZATIONS AND WilH INDUSTRY........... . ................................. ... 49 A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT......... 49 B. DIST RIBUT ION BY NRC PROJECT MANAGER 5. . . . . . . . . . . . . . . . . . . . . . . . . 50 COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT.......... .. 50 C.

REPORT }DENTIFIERS. . . . . . . . . . . . . . . . . . ..... 50 D. . .. ..... .

51 E. MAIL}NG TO PROGRAM PARTICIPANTS. . ... . . . . . . . . . . . . . . . . .

51 F. SECURilY....... ... .............. ...... . . . . . . . . . . .. ..

Approved: August 29. 1984 iv

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~PI'BLICATION OF TECHN] CAL REPORTS PREPARED BY-SRC CONTRACTORS. INCLUDING. REPORTS PREPARED

'USDER OR - PURSU ANT TO INTER AGENCY AGREEMENTS - NRC Appendix 3202.

, (- .

.'- CONTENTS (Continued)

( .

PAGE

. E Xti1E115

- 24 ' Sample' Cover!for a Draft Preliminary Report (Code) for Comment... 52

25. .Transfrittal' Letter f rom Contractor to NRC Project Manager for Dra f t -Pr el imi na ry Report ( Code ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

26. Transmittal Sheet f or Requesting Mailing to Cooperative' Program Participants.. ... . ..... . ,,,,,,,,,,,.,,,,,,,,,,,,,,,,,, ,,,,,, gp t

N

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k-.

v Approved: August 29, 1984

~ - " - - - - - - - - - - . - - _ _ _ _ _ . _ _ _ _ _ _ ____ _

w. -- --

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202-PART1 PREPARATION OF REPORTING REQUIREMENT PORTIONS OF STATEMENTS OF WORli FOR CONTRACTS. GRANTS AND STANDARD ORDERS FOR DOE WORN A. LIST OF TECHNICAL REPORT REQUIREMENTS List the technical reports required from each project, task or subtask, as applicable . State when and to whom they should be submitted and what they should contain. These reports may be unclassified, sensitive unclassified or cla ssified . 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, draf t or final formal technical reports for publication in the NUREG/CR or

-NUREG/CP Mrses , or draf t or final material for inclusion in SERs or ESs (see definitions below).

technical letter reports (also called technical evaluation reports) -

interim or final letters that provide information .on the technical

(

g aspects of the contract work. Interim technical letter reports may be required at various stages of a project. These interim letters usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations .where the technical work is review and evaluation of work of others or work to be used by the staff in the licensing and regulation proc (ss. Interim letter reports may include, but are not limited to, ini >rmal (interim) progress reports , quick-look reports, data reports, status summary reports, project descriptions, pre test prediction s , model verifications, experiment safety anal-yses. experiment operating procedures, facility certification reports , and test result reports. These reports must be identified with the financial number (FIN) assigned to the project. They are not to be identified with DOE registered report codes. The num-ber of copies to be prepared and the distribution of those copies will be specified by the project manager.

formal technical reports - the final product of research, an original investigation. or a significant compilation of information. This pro-

- duct is a formal technical report for publication in the NUREG/CR or NUREG/CP series. For extensive long-term projects. formal monthly, quarterly or semiannual and annual periodic technical reports may be require d . A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy l t

\

l 1 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

.NBC Appendix- 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Fart I- UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS draf t or final material for publication or inclusion in SERs. ESs.

letters . er beense amendments - wratten material requested fr r use in the NRC bcensing 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 f ull management review of this material by the performing organiza-t)cn . This material is to be submitted to NRC as a technical letter

. report addressed to the project manager and identified by the FIN

< number.

For purposes of this Part, contractor'means a private contractor, con-sultant . grantee. another State or Federal' Agency working under an intera gency agreement . or a DOE / facility or National Laboratory - (con .

tractor) and subcontractors.

B. REQUIREMENTS FOR FORMAL REPORTS v

. If the contractor is to prepare a final formal technical report for publi-catien, state that it will be printed and distributed by NRC from camera-ready copy submitted by ?.he contractor, unless the work is being done for the Office of Nuclear Regulatory Research by aThe DOE facihty or camera-ready Laboratory with a JCP-authorized printing plant .

copy is to be prepared in accordance with the provisions of this appen- or dix. . Parts 11 and V (for contractors other then~ DOE contractors).

Parts IV and V of this appendix and Chapter 1302 (for DOE contrac-tors). A style guide is also available free, . upon request (NUREG-0050). If the report is to be printed by NRC and it is unclassified, the camera-ready copy is to be submitted by the contractor to the Director.

Divisien of Technical 2rformation and Document Control, NRC. Washington.

D C . -20555. by first class mail. For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101.

Unclassified reports printed for.the Office of Nuclear Regulatory Research should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102 C. REQUIREMENTS FOR DRAFT REPORTS If a 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 f rame for delivering the final camera-ready copy af ter receiving NRC and/or participant comntents on the draft. State that all draft material should be submitted to the cognir. ant project manager.

When the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program and/or participant comments the contractor will be asked to make changes.

If agreemtnt on the changes is reached, the NRC manager will author 22eto the pr the contractor to pret tre the final copy and submit it manager, if it is a letic- report or input to an SER or ES. oi to the Director. Division of Technical Information and Document Control, if it is Approved: August 29, 1984 2

V '

4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NBC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 1

- camera-ready copy for printing and distribution. .This is to be done to assure proper publication, handling, and distribution' and, among ~ other things. - to preclude further changes that might nullify the agreement. 'If

'- caveats were agreed to and the project manager wishes to check the final document for 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 in. formed and requested - to prepare and -sign the NRC Form 426A.

Also state that if agreement on changes to a formal technical report to be issued - in the NUREG/CR series is n,io_t reached, the NRC project manager may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Exhibit 6), any caveats deemed necessary to cover NRC objections . Such caveats may range from.the The views expressed '

in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text

. State that if NRC objections cannot be covered in this manner, NRC can refuse to pubbsh the report, in 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 simi-larly be informed by' the NRC Contracting Officer The contractor is then free to publish without NRC identification of the report. Project manager or higher level' decisions may be appealed to the NRC Executive Director for Operations.

D. PUBLISHING UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS If the contractor's principal investigator is to be allowed to publish in the open literature insiead of submitting a final report and/or present papers at public 'or association meetings during the course of the work.~ 1 add the following statement to the Statement of. Work:

The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or present papero at public or association meetings at interim stages of the work.

If the project manager wants to review the paper or journal article prior to presentation or submission for publication, state this in the Statement of Work, as follows:

The principal investigator (s) may publish the ruults 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

. . PUBLICATION OF TECHNICAL REPORTS PREPARED BY l E NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS ' PREPARED L Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS !

a l

manager in draft form and agreement has been reached on the con- '

tent. The applicable procedures set forth in Chapters NRC-3200 or NEC-1102 must be followed.

If agreement is not reached, NRC may also ask that the paper include in addition to the standard statement " Work supported by the U.S.

Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC can refuse to authorize publication in thp'open litera-ture and/or presentation of papers.

In the latter case. NRC will inform the contractor of the decision,- as stated above for formal reports (see Section C, paragraphs 3 and 4).

The contractor is then free to publish without NRC identification of the information . This will not affect payment of the contract work costs.

Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.

If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required tech-nical reports, approval of the proposed article or presentation should be obtained from the NRC project manager. The NRC project manager shall either approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, a project manager

~

may disapprove or delay presentation or publication of papers en infor-mation that is subject to Commissioner approval that has not been ruled upon or which has been disapproved.

(See Chapter 3206 for provisions relating to payment of page charges and travel costs for presentation of papers.)

E. TYPOGRAPHY The text of reports must be single spaced on 8 x ll-in. paper, unless otherwise specifically authorized. Occasionally, reports with many = sym-bols and mathematical exp'essions may require one and one-half spacing to provide for supersempts and su bscripts . This spacing should be allowed where needed, but should be considered an exception, not the standard, F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION Details of the marking of reports designated Official Use Only, Limited Official Use, Proprietary Information, Safeguards Information, and -

classified (Confidential, Secret, and Top Secret) are provided in Part V of this appendix and in NRC Appendix 2101.

G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOT 5 NRC publishes or assists in the publication of compilations of papers presented at meetings , conferences, and symposiums in which NRC Approved : August 29, 1984 4 .

4 . _ .. . ,

,o .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING- REPORTS PREPARED NRC Appendix 3202 L . . UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 1

. participates as a sponsor or cosponsor. Chapter NRC-3207, " Conferences and Conference Proceedings," provides general information and guidance for this . More detailed guidance is available from TIDC upon' request.

i H. ' WRITING AND PUBLISHING UNCLASSIFIED BOOKS NRC. may. under certain circumstances, publish books prepared by grantees. or contractors. For general information and guidance on book

. publishing, see Chapter NRC-3210. " Book Writing and Publishing."

1. DISTRIBUTION OF REPORTS TO CONTRACTORS Up to 50 copies of unclassified formal technical reports may be retained by or will be bulk shipped to the contractor by NRC for internal use.

If fewer than 50 copies are needed, indicate the desired quantity on NRC -

Form 426A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in-the distribution-requested .by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justifi-cation, should be addressed to the NRC project manager, with a copy to NRC/TIDC. If; the additional distribution is approved by the NRC-project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by NRC. to NRC/TIDC, where the distribution will be made along with the

, standard distribution. Distribution of sensitive unclassified and classi-(l fled reports will be made by the project manager on a case-by-case basis.

J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSI-FIED 1NFORMATION A contractor may request permission to issue a press or other media release on the work being done. Such request shallL 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-sible for expeditious h9ndling. Decisions not to release information or delays in handling by t ie project manager may be appealed to the NRC Executive Director for Operations.

f k

5 Approved: August 29, 1984 i

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PUBLICATION OF 'iECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A. DOCUMENTATION

1. Applicability

a. The requirements of this part apply to contractor and inter-agency agreement reports that are to be printed by .RC .

Contractors may not print reports prepared for NRC except those DOE laboratories with JCP-authorized printing plants and then only those reports prepared for NRC's Office of Nucl ar Regulatory Research.

b with respect to sensitive unclassified and classified reports, the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.

c. The requirements of this part do not apply to consultants and contractors of the NRC boards, panels, and advisory commit-tees which report directly to the Commission.

\ 2. Front Cover and Title Page a Separate covers and title pages are required (see Exhibits 1 and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreement s ) .*

b. The items shawn in Exhibits 1 through 4 and discussed below shall appear on the title page and cover, as appropriate **

(1/ NRC Runort Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that report. The centrali;:ed report control system for unig' e identification is maintained by the Division of Technical Information and Document Control. Numbers may be obtained by calling the Division of Technical Infor-rr,ation and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.

" Reproducible cepy of the cover of the performing organization may be sub-mitted ; however, the data elements shown in Exhibit 1 must be included.

u These requirements meet the specifications of American National Standard

[ ANSI Z39,16-1974, Guidelines for Format and Production of Scientific and

' Technical Reports , and ANSI Z39.23-1974, Technical Report Numbers.

7 Approved: August 29, 1984

.~. . .. . . .

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_ PUBLICATION OF TECHNICAL REPORTS PREPARED Bi NRC Appendix 3200 - NBC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 PNDER OR PURSUANT TO INTERAGENCY AGREEMENTS The NRC identification number will' have the form: .

- NUREG/CR-XXXX or NUREG/CP-XXXX

where CP indicates conference' proceeding; _ The contrac- -

tor's report - number, if: any, may be inserted below the NUREG . number on the title page and cover, as shown in Exhibits 1 through 4, if desired by'the contractor.

. When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume , supplement , part or revision designation shall appear immediately below the report number.

(2) Title and Subtitle (a) Use a brief title that indicates clearly the subject matter covered in the report.

(b) ~ When a report is prepared in more than one volume.

repeat the praary title on each volume.

show the type of report (e.g..

(c) Ifannual appropriate report ,, _ final report: thesis, etc. ) and the.

period covered as part of the subtitle.

(3) Personal Author (s r Name(s)

Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contri-buuons are as editors, compilers, etc. , so indicate on the title page following the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document.

( -1 ) Organizatier Identification On the title page and cover, provide information of the type illustrated in Exhibits 1 through 4.

(5) Basis fe.r Report Date(s)

(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g. , date report completed, date reviews .

completed , date published, date distributed , etc.

(b) More than ore date, with the basis for each, may be shown where this is necessary I

Approved: August 29, 1984 8

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e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NLC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11

3. Availabihtv Information All formal reports will be made available for< sale by NRC and by the National Technical Information Service (NTIS). Exhibit 6 will 4 -

be inserted on the inside of the front cover by the Division of Technical Information and Document Control.

4. Disclaimer The following notice will be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by an. agency of. the United States Government . Neither the United States Government nor' any agency thereof, or any of their employees, makes any warranty, expressed 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 cwned right s . " The following additional statement, "The views expressed in this report are not necessarily tnose of the U.S.

Nuclear Regulatory Commission" will be printed below the standard disclauner , if appropriate . Other qualifying statements may be added, if needed (see Part I.C. , Requirements for Draft Reports).

fa . Previous Reports in Series

(

+ If the report being prepared is one in an ongoing series, list all.

\ previous reports in the series. Include report numbers and issu-ance dates. Place this list on the back of the title page.

6. Abstract An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*

7. References and' Biuiographies Reports or other documents referenced in text, reference sections, l 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 Nati:nal Technical Information Service, or at other reference or sales outlets) or in the NRC 4 Public Document Room . This means that references should not be made to personal communications and interviews , unpublished N l This preferred positioning of the abstract in the report need not be followed

< if the style manual of the originating organization requires a different

.(,

location .

9 Approved: August 29, 1984

y l

PUBLICATION OF TECHN] CAL REPORTS PREPARED BY I NRC Appendix 3202 NRC CONTRACTORS. -lNCLUDING REPORTS PREPARED i Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ) i information and information with restricted distribution (e.g. "I proprieta ry , national security official use only, etc.). 'If the unretrievable information is important and unrestricted it can be quoted in the. text. in footnotes, or in appendixes. If credit is dae '

to indivicNals, they can be mentioned in Qe text or in an acknow- .

^ ledgement section . Availability may be stated collectively for all entries (see Exhibit 6).

Guidelines for developing and preseriting reference,. material are provided in NUREG-0650, " Technical Writing Style Guide '

published . in November 1979 (see Appendix A, pp . 19- 23. for specific guidance) and Supplement I dated February 1982.

8. Bibliographic Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor, If the work being reported is contractually managed through another government agency (e g. .

DOE laboratories), that government agency should be requested by the contractor to perform the patent review . The result of such review shall be reported on NRC Form 426A in item 11 (Exhibit 5).

If NRC directly administers the contract or the contractor is unable to cbiain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted , and the r sponsible NRC project manager shall consider the patent - implications . If there is no need for patent review because of the certi.inty that the report contains no description of novel technical devdopments which may be of an inventive nature.

NRC Form 426A msy be completed with the statement "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature. lf there is a possibility that there is disclosure of developments of an inventive natu re , 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 ci' sensitive unclassified or classified work be required, however, the NRC project manager must work with the NRC Division of Security to edablish the appropriate procedures and infor:a the contracter of such procedures through the contracting officer . The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.

Approved : August 29, 1984 10

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_ PUBLICATION OF TECHNICAL REPORTS; PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED' NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II .

C. PROCEDURES FOR PRINTING AND DISTRIBUTING

1. ~ Printing Reproducible masters prepared in accordance with ' this appendix shall be transmitted to the Division o! Technical Information and

. Document Control, accompanied - by completed NRC_ Form 426A (Exhibit 5). NRC Form 426A must be signed by the NRC project -

manager or a contractor official authorized by the project manager.

Such authorization shall be reported in writing to TIDC.

The Division of Technical Information and Document Control will review the masters for adherence to the standards set forth in -this chapter and appendix and will arrange for printing and distributing the report. Unsatisfactory masters will be reported to the NPC project manager for appropriate contractual action by the contract-ing officer or, in th+ case of government agency or interagency agreement work, the publications manager of the performing organization..

2. Reprinting Requests for reprinting any report subsequent to the initial print-ing require approval of the Division of Technical Information and Document Control. Each request shall include a written justification and _ the project manager's approval for reprinting along with~ ad-

dress labels for the recipients.

3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Divisicn of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). The Division of Technical Information and Document ~ Control will also arrange automatic distribution of these reports to the NRC Docu-ment Control System, the _ NRC Public Document Room, the National Technical Information Service (NTIS), _ the Government Printing Office and the Depository Library Service.

If any distribution is to be made other than, or in addition to, the ,

standard distribution established for the report, written justification and the project manager's approval' for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the additional distribution must be supplied.

Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis.

i.

11 Approved: August 29, 1984

$ . p L- R PUBLICATION OF TECHN] CAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix- 3202 UNDER ~OR PURSUANT TO INTERAGENCY AGREEMENTS 'r .

p. (< .

EXHIBIT 1

l. SAMPLE COVER FOR UNCLASSIFIED FORMAL' CONTRACTOR PREPARED l'- DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY ACREEMENTS NRC Report No. NUREG/CR 1676 Contractor Report No. (if any) NUSAC-556 Vol., Part, Rev., etc. (if any) Vol.1

1. tie Using Advanced Process Monitoring to improve Material Control.

\

Subtitle and Type of Report Final Report (Annual, Topical. etcj September 1979 - September 1980 Author (s) Fier,a e: t,. E i He*nms A L Lynce. A F Let Contractor svuSAC ince consted NRC {,ygesw E' Reevistor, comm....on 23 Approved: August 29, 1984

_ _ . _ _ _ _ _ _ _ . _ .__.________________._______m_ _ _ _ _ _ _ _ _ _ . _ _ . _ . _ _ . _ _ _ _ _ _ _ .

1 .

5 PUBLICATION OF TECHNICAL REPORTS PREPARED BY '

NRC Apper. dix .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

- NUREG CR 1676 NRC REPORT No.

Contractor Report No. (if any) (u,Spt-5%

Vol, Port, Rev., etc. (if any)

Distribution Category No. (if any)

T,ue -

Using Advanced Process Monitoring

.to Improve Material Control subtitle and Type of Report Ana>Repe.

Septemoer 1979 September 1980

( Annual, Topical, etc.)

Report Dates and Bases .,,.. co- . (s.r.-o.. ie.:

Author (s), Editor (s), .......ei.

'"'"'""'"~'

Compiler (s), etc.

. Contractor Name uu: . er r -

and Address -

Ul 7'jds.:;

NRC Sponsorship pr.p...d tv s..... . . s...e ...

kr.*;.'.,.'.'.s'.t"a.'.,'a u s wr c ,c - -...,e-n.gui Ndb5 *a24f7 l NRC Contract No, I

f l

'l l

14 Approved: August 29, 1984

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.: 'a PL'BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NPr Anne.naiv a9no

.l'NDER OR Pl* riSL' ANT TO INTER AGENCY AGREEMENTS ;. ars, :t f.

EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No NUREG 'CR 1952 -

Contractor Report No SAND 810151 Vol., Part, Re ., etc LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks

! independent Verification Testing Program t Type of Report or Subtitle Independent Verification Test 1

' ' " * " ' k 'n*Tj0,',ioio 5 "e"$*,$i[Unt ~~## # '

Author'ts) Editor (sl Contractor s.no , s.,,o . t.co......n Sponsorship *'*

u s ' i.

' die.' meni.to ,

Cow 'isssion 15 Approved: Augast 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Append:x 3202- NRC CONTRACTORS. INCLUDING REPORTS PREPARED ,

- Part 11 _

l'NDER OR PURSUANT TO INTER AGENCY AGREEMENTS EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCL'ASSIFIED FORMAL REPORTS PREPARED '

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

- NRC Report No.

Contractor's Report No.

vot.. Pert. Rev.. etc. gees.o3p Distribution . Rd Category -

Triis LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal

- Blocks Subtitle ineeoeneeni vee f.cet.or Tesong Program in0epenOent Ve'ifiCaison Test 1 Report Dates u, .g. r;,<. . .g,, . +

Author (s), Editor (s) . ..a .-~ e .

L, 'e 'a~~C.E.It , 'eU **. .' ./ [ ~" ' ' '**' ' * "'

Contractor's 5+lc;,yftg,*p;;;*+

Name and Address NRC Sponsorship ge .,ey,c' ,,, , ,,, , ,

ore... .,io.......,. ,e......... ..e in..e . . ,

v s ~a ....p ...

NRC FIN No. NcM5101 Approve d August 29. 1964 I f>

c _ _ _ _ _ _ _ _ _ _ _ _ _ _ -

. 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREP.AhED NR (' Anpendix- 3202 UNDER OR PURSIT ANT TO INTERAGENCY AGREEMENTS Pa -: 1-EXHIBIT 5 NRC FORM 42SA, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS .

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17 Approved: August 29. 1964

r PL'BLICATION OF TECHNICAL REPORTS PREPARED BY NRC- Apptmdix 3202 NRC CONTRACTORS INCLUDING REPORTFi PREPARED l'a t t M UNDER OR PL'RSUANT TO INTERAGENCY AGREEMENTS .

EXHIBIT 6 .

DISCLAIMER AND AVAILABILITY STATEMENTS (SACK OF COVER)

Ge0ToCE ,

Tsus suport au propered as on esswn ei was scenewed er en apssisy of as Ltdud humus Genernment Isorteur see Ussted testas Geasessusnt est any guisy esosast, se any of guer emissevass. makes any userventy, sepasard er esigiad. er sessus essy test auGAny of 80 agensstnisty for any thwe ertv's ans, or tsis reestus of essh ene, of any guessumeri, spempeus.

prestert er freessa destuned an seus egert, or egressnes West 43 m by aspi M M M not anhwage orweisey eased eghts NOTICE Ave 6enini, of Retrence testrels Cited in WRC Pubinetens Wost encwmeno citec m hRC supacetions enn be eenske kom one et the toitsens swum 1 Trw h AC Puenc Document Room 1717 H Street.h w Washmpton. DC 2565

2. The hRC/GPO Esses Program. U.S h.staser Repletery Commeen Washmpton. DC 30655 3 Tne hetionsi Technesi informstea leves. Eermy' eld. Y A 27161 Aethsuph the hetin0 that tehows espressan the moperity of eseumonis ease en NRC seds6sesseru, et es not eawnese to se enheurtive Rebeenssa encumeno ewiebie for isusseten ow sapinns ter o tse t'em the NRC Pum6e Desu.

ment Room ncewee NRC serrassonerre one miernet NRC menorenas.NRC Omen of Isuusstson she Enforcement bwlietms terculers satermsten notasse, ensarteen e'el eWtsen #Isteem.

Lcenere IvFt Reoorts vensor veporS s'id Correpo8iSrice. Com8hanson pers, esW Wesent evid 6ceense esconene end astresseensonc a Tew tohowias escunwan m tew NORf G erm ere e@DWe 99 SWefuse trem the NRC/$pO $eems proyem formal NRC sett one sen, setor essors. NRCguesuores eeneerense panssasip6. sad NMC teouets one Wochuess Asse eveinot6e see Aspstessry Guses. WRC reguestens en Wie Case of

, Feesres hopwenons, enc 4.scesor Aspierary Commason desassues Documemo esoitatiie from the torensi Toshnir,e onearmsten Servee Wir6uee NUREG era ve;mru one tecn ncei reports press, ee D, other teorel ops' ire end remre pesares by she Atome Ensegv Commimeon, teserunrir et,sney to the leissener Repstenary Qassmenon Downsne sedatse esem putit and sessel smoleesst libreras tuhsee eN seen housesse tuneis, asch es test.s. soumet one perseemsei orteress, ens tuyametesse. Asshner Asessor aseems, esprei ssW sete leggeten, end eenyeess,est repers een amushy to stensied esem em hereries.

Desumsms such as theme samuristens. toregn supers and trasmessissa.end sondeRC sunisseus possessign ave eeuesses tw pusehen esem the asymmessen esosaursig We puestesamen elsed.

$mele cooses of NRC ditt reports are eveetetrie free.no the estwit of mopiv.aoen wrnerisensest to the Dmson of Technical entormaten and Document Comrol. U.S esissesor hessissary Com-mesmon.Washwipton DC 30665 ,

Coom of mousers caem end senere used in e suomentne meiner en uns WRC sussesary passa are nemomac et the NRC Lehreer, 7820 fuertsch Ausstse. Bethouds. tenrytrie, esas ese esensene there for ev'rence use by the public. Casm and susnaph are amushy espyrigPund mig seer to puechoed from the ongwetsnp ygsemastaen er. tf towy ye Amersson Gustumist gennaye, tyyn the Amec.s* Notenst $senescos eventute.1430 Besseumy. tese Verk. NY 15)10 Cso Peense ses, ense Apprcwd - Augita1 ?4, 1981 18

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY l NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Annendix 3202 ]

UNDER OR PURSU ANT TO INTER AGP)'CY AGREEMENTS t-en

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EXHIBIT 7 i NRC FCRM 336 - BIBLIOGRAPHIC DATA SHEET g

t.'".;;i' smuo0RAPHIC DATA SMEET

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19 Approved: August 29. 1984

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'9 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 7 (Continued)

BACK OF NRC FORM 335 DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT INSTRUCTIONS Nm #0mW 3;g gigt:0Ga A*MIC DATA SMitT.18 SA$tD ON CutDEL4 Nil FOR 80mWAT AND Pm0 DUCT 0N 08 ScetNTs8ic AND TECHNIC AL mtP0mTS. ANS4 Z3918-19)e AVAILASLt FROM Auf meCAN WATIONAL stateDAmD$ eWST8TUTE.1830 Sm0AD**v.hte vo*E NY 10018 E ACM 5teamATE Lv Souwc alp 0mt.F0m t EAM*Lt.t Aca v0LUME sN A MvLTev0LUME SET +5aALL hav! ITS UNIQui StBLICGR A*MIC DAT A SMEtT.

t atPORT Nuessim. toe, ac vieven, nowne eece., emesi 10 sp0essoms40 Om0ANi2Afe04 L.s. Nag o.wisee. 0's.c.

so", e v aove s'eneau mee.c ses.gaeno. (NumtGi em gnee v & Necear megvistoe, Commies oa. nesamotoa. DC 20665 e, the Divis,o* o' Tecamico entoemetea one Documeat Coav+o ADM. sa acco oence with Amc.cea Net.o'ei 11. e TYPE OF mtPORT. 5teio see't. f.ne'.pessimme .. seo.ce ,

Steace's AN$i 239.23-1914 Techa.ce' moport Numne- ucmaicei. esevisto... ove'vene etc . eac d nooiese's (STav Use voce*cere serie s, Aeonic a mees u s. sissaen sac eacius.ve meios a v emeas pa , en r the sono..as enemp es Num t G OtDC NumtG!CP.00tD. NUREGeCR Ot00. eae hunt G ren.0cie > Ptat0D COvanto F oe espoeis .a e ser.es eco vo . Swoo . Rev.s.o* eae Aeoease amea necesse , Aoc coat

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I 8 Pressated et conference o' To f*e publ smec i Doc ksi No whe* e espeet es revised shoecate sehethe' the new 2 TITLE AlvD SUttiTLt T,t.e saov c mo.cate coso, saa e espoes n.pe'esces o'suppeemeats the oise. espo+t b**% the svDect trove spe' et the reco t mc va as ea, svet te te the me a s.t.e wae* e eepoet es sespe ec m mo e 13 Am8T R ACT sacivos a b o' (200 noves oe west escive su a thea one voewme eeput one p.ime , ous.eco voivme av mine mee, of the most ega.8 scent ea'oemenoa coaw.aee + vae ean mc voe s.et.i e see the saec Ac voivme use voce eae esport s' tae resoet cease +s e s.gaet.ces e.o.og< spas o' soar cose stie's bei coortei.n comovw cooe name. Oc e s mes meat ea et siete Aest'oc+

act use ocecavas aan met.o .se ,e t.viei me. en sooec .a one es toetvto ep'eoe'ec av ve, e',mu t pie e evino o, voiv peosect menape.

pe renes i 14 DOCUMENT ANALYSIS 3 Lt AVE SLANet e Kev We0m06/DESCRIPTOR5 Seect 'to* the t ae s e a' Daf t af p0mf C0uettTED. toca reco'i eme" ce", e i sie Date Sees Senect Thesev va. 001fTic 700m m 5 tae e

ino.catme moete eas ves* peciectitosa competse peope' evtnoe.eec seems that aseatd, the ais:o' conceot of the esseseen ene see ne'fseativ esec Ac eas p'ocaw tc

& AUTM0miSL G..e name s' .* coa eat cas oeor to e Jo** De veri es .aoss entres cor coteeg.a6 m Doe. J memori Doel Lest evince e eniist.oa e' it .e c.**c .

eat t e* tae pe toem.as e se,senea t IDENTtFilms AND 0*th INDED TimMS use ice *t-fiers fo' protect nomes geos nomes, sovipmeal oes.gaeto's S. DAff REPORT IS8utD. Est* eeoo t shel co"e e sete etc use ocea enees taevoocesi teems we ttea e .a sseenp'ot enescatmg monin one ves, evenshee 8o= ttesi est snow see,ecu so son.cn no seecnpio.

emets sa ene sneenve vs T. StatomulWC Om0A412Aff0N NAME AND 14AILiseC ADDRE&& Give nome, etteet, eit,. state. ene lie cooe 15. AVAILASILff Y STATSMENT. Deaote pupac resonacihte.

Lest no more thea eno seveis o' ea cepea setet hiseeech, to* esempie "vahmnee", or semitatee to, ensoas evne.

Daois, the name o' the oepeainenoa easet., es tonoas thea escue t, Divis oa. Off ce. Dessmastea se Goverame n eseacv. ene ese'ess 98. SICumlTY CLASBIF8CAf t04. Eawe U $ Seevnev Cessh setea em acroesence meta u s Secuni, meevoteas t e .

& PRO *tCT/TASKfwomK UNt? NuessFR. use gne pesiect, vacisseduc t test eas wo a wait numeets vase, wasch the eeport o,es presseed 64 east 17. OfuMSIa 09 Pacts Leeve beak Aeoee es NTisi 1

1 9 FIN OR GR ANT NUMSim. lasen the FIN oe gesat numer' 18 PalCE. Leeve Dient (A8eed Dv NTI$l I s,*oet . asea ,epon vesi pesocee i

Approved : August 29, 1964 20 i

i .

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

Gya .

l:e .

PUBLICATION OF TECHNICAL' REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 -

PART 111 UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT

1. Applicability

a. The requirements of this part apply t'o unclassified contractor t.echnical 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.

roust be identified with the financial number (FIN) assigned to the project . The number of copies to be prepared and the distribution f of those copies will be specified by the project manager. If unclas-

~{ sified and nc.1-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 .. FATENT 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 MRC. If the wek being reported is contractually managed through another governuent agency (e.g. , DOE labora-tories), that government agency should be requested by the con-tractor to perforn 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 considir the patent implications.

If there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall request asristance from the NRC Patent Counsel, Office of the Executive Legal Director.

{

21 Approved: August 29, 1984

_.. ___.____.__m__.____m. .___..._______._______m_ _ _ . _ _ _ ~ _ . _ _ _ _ _ _ _ _ _ _ - _

g - - -- - - - - - - - - -

i-

-PUBLICATION OF TECHNICAL REPORTS , PREPARED BY g NRC ' Appendix .3202 NBC CO.NTR ACTORS. INCLUDING REPORTS PREPARED l,7, . Part 111 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 9

t 2. Security Review In mott ceses, contractor technical letter reports will be unclassi-

fle d . Should a report- of sensitive ' unclassified or classified work

~ be ~ required, however; the project manager must work with. the -

pc Division of Security to. establish the appropriate security procedurei

"- and inform ~the contractor of such procedures. The standards ,for marking and handling such . reports are given in Part V of .this l . appendix and NRC. Appendix 2101, i

[

Q I

Approved: August 29, 1984 22

.sw

V ..- , _ _

~

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

PART IV l

l UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC L 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.

c. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels and advisory committees which report directly to the Commission.

f t-

2. Front Cover and Title Page

a. Separate covers (of different paper than that of the text) and title page are required.*

b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-priate .** While layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the items shall appear in approxi-mately the locations indicated and with the same relative prominence .

(1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that document. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may The cover stock of the performing organization may be used; however it must include the data ehements shown in Exhibit 3. ,

I- These requirements meet the specifications of American National Standard ANSI Z39.18-1974, " Guidelines for Format and Production of Scientific and Technical Reports," and ANSI Z39.23-1974, " Technical Report Numbers . "

23 Approved: August 29, 1984

l , .-

PUBLICATION OF TECHNICAL REPORTS. PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS be obtained by caDing the Division of Technical Informa-tien and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.

The NRC identification number will have the form:

NUREG/CR-XXXX or NUREG/CP-XXXX, The contractor's report number, if any, wiD 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 shaU be shown entirely on one line to facilitate computer processing.

(2) Title and Subtitle (a) Use a brief inle, 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)

(r.) Authors' names should be given on the title page and cever unless this is impractical, as in the case of ar nual reports which have many contributors. If authors' contributions are as editors , compilers ,

etc. so indicate on title page and cover foDowing the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the report.

(b) Authors may be identified*

on backstrips (spines) of bound volumes. .

(4) Organization Identification (a) On the cover, provide the name of the contractor responsible for preparing the report, fobowed by

" Prepared for the U.S. Nuclear Regulatory Commis sion ." ,

/pproved: August 29, 1984 24

_ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _}

i .

. i

.-t, PUBLICATION OF TECHNICAL REPORTS PREPARED BY .

NRC CONTRACTORS,' INCLUDING REPORTS PREPARED- NRC Appendix 3202 1

.a. L UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV '

L k~

] (b) On the title page, provide information of the type

.iUustrated in Exhibit 4.

+ (5)- Basis for Report Dates (s). l (a) The- basis for dating mayf be shown along with the- i date on the title page. Various bases for dating are c possible; e.g. , date report completed, date reviews l completed , . date . published, date ' distributed,~ etc. '

(b) ' More than one date, with the basis for each, may be shown where this is necessary.

3. Availability 'and Price Information l 1

All formal reports will be made available for sale by. NRC and NTIS. .

The: statement shown in Exhibit 6 is required on the inside of the .l front cover-

4. Disclaimer The following notice shall be added during the printing step on the l inside front cover (Exhibit 6): '"This report was prepared as an ;

account of work sponsored by the United States Government . 1

./- Neither the United States Government nor any. agency thereof; or ,

l any .of. their employees, makes any. warranty, expressed or implied. l or assumes any legal liability or responsibility for any third party's '!

use, or the results of such use, of any -infomation, apparatus, '

product or process disclosed, or represents that- its use by such i third party would not infringe' privately owned rights." The follow- -!

ing. additional statemer.t, "The views expressed in this. report are i 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., -l Requirements for Draf t Reports). i 3

5. Previous Reports in Series j If the report being prepared is one in an ongoing series, list au j

, previous reports in the series. Include report numbers and issuance j I dates. Place this list on the back of the title page j a

6. ' Abstract An abstract of 200 words or less shall be prepared for each formal \

report. Within the report, the abstract shaU appear on a separate 3 page between the list of previous documents in the series and the j contents page.*

(s, This preferred positioning of the abstract in the document need not be fol- )

i lowed if the style manual of the originating organization requires a different location .

25 Approved: August 29, 1984 )

I. __. _ _ _ . _ _ _ _. -

__.__.__....__.___.m_ _ _ _ _ _ _ _ _ _ _ _ _ _ _.____ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED P_ art IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

~

References and Bibliographies Reports or other documents referenced in text, reference sections, '

bibbographies , and appendixes of unclassified . regulatory and technical reports in the NUREG series must be available to the pubhc either in the public domain (as in a public library, at the Government Printing Office, at the National Technical information Service , or at other reference . or sales outlets) or in the NRC Public Document Room . 'This means that references should not be made to personal communications ' and interviews , . unpublished information and information with restricted distribution (e.g.,

proprietary , national security , . official use . only, etc.). If the unretrievable information is important and unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section . Availability may be stated collectively for all entries (see Exhibit. 6).

Guidehnes for developing and presenting reference material are provided in NUREG-0650, "'~echr.ical Writing Style G uid e ," pub-lished in November 1979 (see Appendix A', pp.19-23, for specific guidance) and Supplement I dated February 1982.

E. Bibliographic Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The DOE Operations Office responsible for the contractor should perform the patent revie w The results of such review shall be reported by.the contractor on NRC Fonn 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 are given in Part V of this appendix and NRC Appendix 2101.

l Approved: August 29, 1984 26 t

b _ _ _ _ . _ _ _ _ _ _ . _ _ _ _ _ . _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ . _ . _ _ _ _ _ _ _ _ _ _ . _ _ _

l: ,

j gm .

j l' r

' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NBC CONTRACTORS, INCLUDING REPORTS PREPARED . NRC Appendix ~ 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Part IV C. PROCEDURES FOR PRINTING AND DISTRIBUTING

,- 1. Printing Contractor ~ reports -may be printed only by a-JCP-authorized print-ing plant' and. then only if prepared for the' NRC Office of Nuclear

' Regulatory Research. Reports printed by thei contractor and one reproducible master shall be submitted to the Division of Technical Information and Document Control, with completed' NRC' Form 426A.

The number of copies specified by the Statement of Work for stand-ard and -incidental distribution shall be provided. The : 4ppropriate .

identifying number (NUREG/CR _) may be obtained as discussed in Section. A .2.bL. (1) .

2 .' Reprinting Requests for- reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of Technical.

Information and Document . Control .. The request shall include 'a .

written justification and the project managers approval for the re-printing, along with address labels for the recipients.

3 ' Distribution of Reports f . All copies of unclassified formal contractor reports will be distrib-uted by the . Division of Technical Information and Document Control .

in accordance with instructions on NRC Form 426A (Exhibit 5).

NRC Form 426A must be signed by a contractor official authorized by the project manager. Such authorization shall be reported;in writing to the Division of Technical Information and Document Control .

If. any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Address Division of Technical Information and Document Control.

labels for the auditional 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 Documt.nt 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

m PUBLICATION OF TECHNICAL REPORTS PREPARED BY

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

-(.

PART V ,

REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION A. APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi-fied and classified reports prepared by NRC contractors . These reports include those designated:

Official Use Only Limited Official Use Proprietary Information

Safeguards Information Confidential Secret Top Secret Only sufficient information is presented here to aid in the preparation of the properly marked covers, title pages, back covers, and text pages.

Details of the: NRC Security Program and specific provisions for deter-I mining ' when to use the markings exhibited are contained in NRC Appendix 2101.

s The reports covered are defined as sensitive unclassified or classified.

unclassified information refers to information designated Sensitive Official Use Only , Limited Official Use, and Proprietary Information.

Sensitive unclassified information 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 w2thheld from public dissemination under the Freedom of Information Act or Privacy Act, and information not to be exported to or disclosec to foreign countries.

Classified information as used in this part includes Restricted Data, Formerly Restricted Data or National Security Infonnation that requires protection in one of the three classification categories described in Executive Order 12350: Top Secret, Secret or Confidential.

The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discust.ed and exhibited in the following sections. AB sensitive unclassified and classified reports are to be 'sent directly to the project manager.

. B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.

NRC regulations require an Official Use Only marking to be placed on a report only when the originator or other holder believes the marking is l

(

29 Approved: August 29, 1984

.. l l

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 wiU 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 Infomation Act or Privacy Act or both at the time of origination.

Official Use Only NRC contractor reports shan 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 I contains Limited Official Use information shall be marked as shown in

- Exhibits '11 through 13.

Procedures for reproducing , transmitting, protecting and handling reports containing Official Use Only and Limited Official Use information 1 and removing such reports from those categories are . detailed in NRC l Appendix 2101. j C. PROPRIETARY INFORMATION !

i Proprietary information 'is a specific type of Official Use Only informa- !

tion . Proprietary information meludes:

q

1. trade secrets. J

2. privileged or confidential research, development , commercial or :

financial information exempt from mandatory disclosure under i 10 CFR Part 2. " Rules of Practice for Domestic Licensing Proceed- !

ings," Sections 2.740 and 2.790 and under 10 CFR Part 9, "Publie !

Records," Section 9.f,, " Exemptions."

3. information submitted in confidence to NRC by a foreign source. j which hhs been detsmined by NRC to be unclassified. !

Unclassified NRC contractor reports containing proprietary information j shall be marked as shown in Erhibits 14 through 18. In each instance.

the optional wording that describes the material being presented should j be selected. !

C If a report contains both Official Use Only information and proprietary information, the front cover shall be niarked as proprietary information ,

l and may also be marked as Official Use Only information, if necessary.

Pages in the report that contain proprietary information may .be marked accordingly , including, marginal or other indicators of the specific wording that is proprietary. Similarily, the pages that contain Official Use Only information without proprietary information may be marked Official Use Only Approved : August 29, i d4 30

_ - _- _ - _- - _ __ _ _ _ _ _ _ _ O

~ , . . . .

. A -

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS,-INCLUDING REPORTS PREPARED . NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V

('- Procedures ' for reproducing. - transmitting, protecting and handling pro-prietary information reports and removing them from the proprietary information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 19) is to be placed on each hard copy of a report containing proprietary information.

D. SAFEGUARDS INFORMATION Safeguards information may be of three types: (1) classified informa-tion, which is marked and handled as indicated in Section E, (2) un-classified information restricted under Section 147 of the Atomic Energy Act, which is marked and handled as described in this Section, and (3) unclassified information , which is publicly available and handled as indicated in. Parts I through IV.

The safeguards information that is to be protected as described here is unclasuned information used in a report which specifically identifies certain licensee's or applicant's detailed:

L security measures for the physical protection of special nuclear material

2. security measures for the physical protection and location of certain plant equipment vital to the safety of production or utilization

( f acilitie s .

t Unclassif 2ed NRC contractor reports containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through 22.

Procedures for reproducing. transmitting, protecting, and handling safe-guards. information report s and removing them from the safeguards -

information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to be placed on each hard copy of ' a report containing safeguards information.

E. CLASSIFIED INFORMATION Classified information it. limited to Restricted Data, Formerly Restricted Data and National' Security Information. The procedures for making classification determinations and for marking, reproducing, transmitting,

. protecting, and handling reports containing classified information and removing such reports from classified categories are detailed in NRC Appendix 2101. These procedures are too complex for summarizing here.

Classification determinations regarding NRC information may be made solely by authorized classifiers designated by NRC or DOE. Authorized classifiers are responsible for insuring that reports they determine to

, be classified are marked and protected in accordance with the provisions of NRC Appendix 2101.

k..-

31 Approved: August 29, 1984

.i.

... -)

PUBLICATION OF TECHNICAL REPORTS PREPARED BY .)

NRC' Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED l Part V- UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ;

i It is important to note that information may not be classified in order to ' prevent or delay ~ the release of information that .does not require protection in the interest of national security. Basic' scientific research .

infonnation not clearly related to national security may not be classified.

1

. 1 1 l

i i

i I

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1 1

l

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1 1

i 1

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Approved: August 29, 1984 32 i i

l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTt' PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa'. t V EXHIBIT 8

' SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG'CR XXXX ($1 Title Subtitle and Type of Report h0s'n,"*"

ucteet Reguietory Commission f

's W'aaD.D 880V Pv80: D'50LO5V*l OFFICIAL USE ONLY

( -

33 Approved: August 29, 1984 0

~

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 -'NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V PNDER OR PPRSP ANT TO INTERAGENCY AGREEMENTS '

EXHIBIT 9 '

SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING .

OFFICIAL USE ONLY INFORMATION OFFICIA,L USE ONLY NUREGeCR xxxx (S)

Title Subtme and Type o' Repen u.s.,w r co- .e ... .

o.......e.....-

4-. i..ir s.

c.~..ne ~ .e. ....

Pt.pse.efor o,... .n on c.

u. . huei.., m.

w.s.mnsion. oausse 8vi.i.n comm....on NRC Fih ho OFFICIAL USE ONLY Approved : August 29. 1984 34

l- 1 j

' i

l. .

l PUBLICATION OF' TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Par V EXHIBIT 10

- SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION

.1 OFFICIAL U$E ONLY l

k.

OFFICIAL USE ONLY i

\.

35 Approved : August 29, 1984

..(

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION

r. LIMITED OFFICIAL USE NUREG'CR XXXX (S1 Title Subtitle and Type of Report

^O*;L "*"'

Ei"C '.*', a..s. ., com,o...i.e e ,--c. c ..:~ ..:..,: e.s c cs s.,

LIMITED OFFICIAL USE i

i Approved August 29, 1984 36 -

______-_.--_-_-_._m. _ _ _ _ _ _ - _ - - - - . - - - - - - _ -

+

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

, NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202

- UlDER OR PURSUANT TO INTER AGENCY AGREEMENTS ret Y

. (- .

. EXHIBIT 12 I

SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE

+ .

NUREG/CR XXXX (S)

Title-Sdmue and Tme of Report

u. . w.o .-

2'%7%.,'7" con - .= ".

99 edtot

-( oe,i ug commi.. ion

- LIMITED OFFICIAL USE

?

37 Approved : August 29, 1984

____m._ . _ _ _ _ _ . _ _ _ ___ ___ _ . . _ _ , _

PUBL] CATION 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 UMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE 1

LIMITED OFFICIAL USE Approved . August 29, 1981 38

)

' i 4,

I I

j PUBLICATION OF TECHNICAL REPORTS PREPARED BY. NRC Appendix 3202 !

NRC CONTRACTORS, INCLUDING REPORTS PREPARED I UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Per: Y

. (.

\

EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING {

PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION.

I PROPRIETARY INFORMATION NUREGICR-XXXX (P)

Title Subtitle and Type of Report Authoetsi. Edito4si Cont a:to-Propered for U.S. Nuc6eer Regulatory Commission Ta ADI $t 8t* os en ag;g; os cow.totNT.Ag

( CouwgaciA5 on fi%aN;,A. msoavatios

.':,'OCin'?"C' '"'**"*"**

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T!l,,*oi17;,**T ** ****" "

w --c,: ov ess. : o s:tes.,*r

+;a. . e-: O~ :e :Lre PROPRIETARY INFORMATION C.

s 39 Approved : August 29, 1984 l

[ __ _ __ __-___-__ ___________ ______ _ _

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS.-INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i

f EXHIBIT 15 SAMPl.E COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE l

PROPRCARY INFORMATION NUREGtCR XXXX (Ps Title Subtitle and Type of Report Autherl8!, (Ortortst '

Contracto' Frepared for V $ hweteor Regulatory Commission i

soagico, s%sciva'ics

r;;ure-'~"

<ha~e s Low c. . s : %.~r c s.t- ne

: .**';~l .*.'.".','

......-,.u.. .. ?,',M i,;.....,

w *- o.e snow . ..ie o.s:tes s :

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e a

PROPRIETARY INFORMATION Approved: Augu st 29. 1984 40 ,

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC . Appendix 3202 i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa-* V l EXHIBIT 16 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING .

PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREGICR XXXX (Ps Title Subtrt1e and Type of Report M.%.

o.. .. .ece.o.

,e amom i C.omossi.e. to. .

A om .. ..i.. .

Com.ui.. a.~ .e. . .

./ Propered for f Dwision t Off *c e ,

U 5. Nuclear Regulatory Commission th eshington. D.C. 20004 hRC FIN No i

i TR CDyggADE $.lt.gosospisagtva,

,a, pawitgGt0 issoavavira os CONflD(%T.A, '

ta.: .oc vmeat to,i..es eatoa, ien sobaim.c to hec c.

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WlTMMoiD FROM PUBLIC Of$CLOSU34F

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I PROPRIETARY INFORMATION s

41 Approved: August 29, 1984 i

(

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1. _ _ _ _ _ _ _ _ _ _ _ . _ - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ - - - -

' PUBLICATION OF TECHNICAL REPORTS - PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part \' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING '

PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREGtCR.XXXX (Ps Title s o . .,o r ,e R. -

t:. :1' r .'*:

Authe' e le10< s t ,tr1,'.re;;. */ .

A mrtn0*'s ( O'tc "t Coarveeto no e e-o eco esi

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PROPRIETARY INFORMATION !

l Approved August 29, 1984 42

.i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS,1NCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS kru

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EXHIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION l't 4

PROPRIETARY INFORMATION

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i 43 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix. 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION.

PROPRIETARY INFORMATION NOTICE tal AM ACMfD DOCUMENT C0h1 AIN5 "Peopacaev shs0s.

888 0 A 60h 1 M VLD C St D $ $ Da A TME C0hD CT 088 C AL BJ N $$ $ MOULD et 4A Ahhtm w tw wi t a t at &C t $ at hCT WADE Awh486110 whAUTM0412ED PimSONS COPY.

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L Approved. August 29, 1984 44 L________..-__-_____

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annanriiv s'>n'/

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pe tJ' l

EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPOriT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEOUARDS INFORMATION NUREG'CR XXXX (SG) -

Title Subtitle and Type of Report Author (sl. Editorf s)

Contractor Frepared for

. U.S. Nuclear Reguletory Commission 4

s L7 *:r%L','*.";;.'OT ***'

. . , u. . .o..., . -o...

Wil:Z,*.'*L'".CT' F Z 4

, SAFEGUARDS INFORM ATION is

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45 Approved : August 29, 1984

_--___________--__--_-___.--_-___.--_2- _ - - - - - - _

. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED- .

Part Y UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS <

EXHIBIT 21 '

SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEQUARDS INFORMATION NUREGICR-XXXX (SG)

. Title Subtitie end Type of Repoat arrmht.'".T 207.L'4 t. ......

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SAFE GUARDS INFORM ATION Approved : August 29, 1984 46

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED WRC Anoendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa.m Y EXHIBIT 22

. SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEOUARDS INFORMATION

. SAFEGUARDS INFORMATION ,

l' 47 Approved : August 29, 1984

~

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 23 .

COVER SHEET FOR A CONTRACTOR REPORT CONTAINING ~

UNCLASSIFIED SAFEGUARDS INFORMATION t

e f y

s, E%' l.

1 SAFEGUARDS INFORMATION y '

A'Qi

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'M 4, gf6 ~ -j s THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM ,1 y-UNAUTHORIZED OtSCLOSURE.10 CFR 73 21 AND SECTION 147, ATOMIC ENERGY ,

', ('/,

' ACT OF 19fA APPLY. VIOLATIONS ARE SUBJECT TO civil OR CRIMINAL PENALTIES.

1 THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED OCKED SECURITY STORAGE r

. q PERSONS. WHEN NOT IN USE. IT MUST BE STORED IN A L c CONT AINE R.

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IT IS YOUR RESPONSIBILITY TO P'lOTECT THE INFORMATION CONTAINED IN THIS DOCUMENT FROM COMPROMISE. THEFT OR UNAUTHORIZED DISCLOSURE.

t.

1 SAFEGUARDS INFORMATION Approved : August 29, 1964 48

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" 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY l NRC CONTRACTORS. INCLUDING: REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 4

PART VI HANDLING OF UNCLASS!FIED INFORMATION ON NRC COOPERATIVE

' PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs that involve either or. both U S. industry and foreign governments and orga-nizations . Such involvement includes monetary contributions, information exchange, and. comments on program plans and results. This is authorized in

~

42:U.S.C. 5801. . To this end, international and'. U.S. industry agreements have been signed that' provide for transmitting unclassified information from

.~ NR C . to : participants . These procedures apply only to NRC-managed work- not programmatically funded by DOE.

The interests .of all . NRC cooperative nuclear safety research program partici-pants are served. best by early, rapid dissemination for comment of informa-tion on. these programs ' developed 'for NRC by NRC contractors. This can be accomplished by distribution of "Draf t Preliminary Reports (or Codes)" for

( comment for a specified period of time, followed by issue as formal NUREG/CR i- reports , with the concurrence of the participants. Specific procedures for accomphshing thu e goals and for transmitting information prepared by the -

NRC and dor facilities and contractors and their subcontractors working on these programs are presented in the following sections. The procedures de-tailed - here- have been agreed - to by DOE . and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers as guidance.

A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of mformation by a contractor shall be designated

" Draft Prelminary Reprt (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):

r NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO 4: PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission

^

action . It has not have received patent review and may con-tam mformation 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 20, 1984

i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appencix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED t

.. Part V1 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS This notice l.as. been agre.ed to by the legal staffs of both NRC and DOE and 21 not tc be added to or changed. Any problem in this regard shall be brcught to the attention of the NRC project manager, who will consult with the NRC legal staff.

The " Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of copies, specified by the project manager (in most instances this will be fewer than 20 copies).

The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall not distribute copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be designated " Draft Prehminary Report (or Code)" until the NRC proj+ct manager authorizes preparation of a NUREG/CR report.

" Draft Preliminary Reports (or Codes)" shall not be identified as NUREG/CR reports or carry any contractor report number or NRC dis-tribute codes .

B. DISTRIBUTION BY NRC PROJECT MANAGERS .l 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. l and (3) others authorized by the program or project manager. Trans-miv to participants shall be by first class or express mail, including air mail to foreign participants. If premium cost mail services are to be used, a Division Director or comparable or higher authority must cert 2fy to the need on NRC Form 420, "Reque.st for Premium Cost Mail Sea cace. Premium cost maa is.

i 1 Express Mail, Pr;ority Mail (First Class weighin;; more than 12 ounces) 2 International E spress Mail ( Air Mail weighing more than 10 ounces)

(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A)

C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT I A minimum of six months will be allowed for comments and resolution of comments . At the end of the comment period, the NRC project manager j shall, with the concurrence of the participants, authorize the contractor ,

to issue the information as a NUREG/CR report in accordance with the l l

provisions of this Chapter. l D REPORT IDENTIFIERS l

The "Draf t Preliminary Reports (or Codes)" will be uniquely identified 1 only by the Financial Identification Number (FIN) assigned by NRC and 50 )

Approved: Augur.1 29, 1984

< -. r .. .

- . I

~

PUBLICATION OF TECHNICAL' REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix- 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V1 m

..(-

the appropriate periodic notatico, if any, included in the title (Ex-hibit 24). They shall not be given standard report nomenclature until

. the NRC . project manager authorizes publication as a NUREG/CR report.

At that time , the contractor may , add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4.

E. MAILING TO PROGRAM PART!CIPANTS-The physical transmission of reports from NRC to program participants shall be handled by the Document Management Branch (DMB), Division of.

Technical Information and Document Control (TIDC). based on address labels of participants supplied by the project manager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the docunients and the labels to DMB.

F. SECURITY If information included in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may not be classified solely for the purpose of limiting distribution to the pariici-pants.

f

.\

4 l~ (e x

51 Approved: August .29, 1984 m

~

PUBLICATION OF TECHNICAL REPORTS - PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V1 UNDER'OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE)

FOR COMMENT ,

DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT FIN NO. -

Title of Program

h Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1)

Prepared by (Name of DOE Facility, Contractor and/or Subuntractors, if any) for U.S. Nuclear Regulatory Commission i

NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM .

This report was pre;,ared in contemplation of Comission action. It has not received patent review and may contain information received in confidence.

Therefore, the contents of this report should neither be disclosed to others .

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 er.sure the protection of this report.

Approved: August 29, 1984 52 .

! 3 ..

e .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202

. UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT

~

T0: NRC Project Manager

SUBJECT:

DRAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMMENT The enclosed " Draft Preliminary Report (Code)" is being submitted for comment.

It is our understanding that the comment period shall exte,nd six months from the date of mailing of the draft to the participants. Upon resolution of the comments after that period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this

'f report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202.

DOE Facility or Contractor Representative l

l f

53 Approved : August 29, 1984

I ,4-

+

T PUBL] CATION OF TECHNICAL REPORTS IPREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED- .NRC Appendix 3202. ,

L - UNDER OR PURSPANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 26 TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients : Addresses on attached labels Method of Mailing:

C/ First Class Postal Service to U. S. addresses C/ Express mail to U. S. addresses

_/ Air. mail to foreign addresses *

-/

/-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 er High Authority Enclosures :

1. Address labeh

2. Documents to be maDed

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

1. Express Mail, Priority Mail (First Class weighing more than 12 ounces)

2. International Express Mail (Air Mail weighing more than 10 ounces)

(See Chapter NRC 0255-058 and NRC Appendix 0255. Part V, Annex A) 4 5t Approved: August 29, 1984

_________________-_________________O

ML20247Q788

Text

SUBJECT:

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