ML20248C332
| ML20248C332 | |
| Person / Time | |
|---|---|
| Issue date: | 07/26/1989 |
| From: | Grenyo S, Pal N NRC OFFICE OF ADMINISTRATION (ADM), PAL CONSULTANTS, INC. |
| To: | |
| Shared Package | |
| ML20248C326 | List: |
| References | |
| CON-FIN-L-1191, CON-NRC-03-89-033, CON-NRC-3-89-33 NUDOCS 8908090497 | |
| Download: ML20248C332 (124) | |
Text
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- 1. Twis CONTRACT IS A RATED ORDER N # **
- AWARD / CONTRACT y
j UNDER DPAS (15 CFR 350) 1 l
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h 2. CON T R AC I g/' rec, inst. Jden t.) NO.
- 3. Ef; F EC TiV E DA T E
- 4. HEQuist s 10N/PvRCHASE REgyEST/PHOJEGT NO.
N SB-9-89-1-1046'
'#L 1 S 1989 RFP No. RS-NRR-89-033 1 3. 465U00 B Y :
I
- 6. ADMINISTERED BY tl/ other than llem.il i
CODE COQE L
'Small. Business Administration U.S. Nuclear Regulatory Commission 211 Main Street, 'sth Floor-Division of Contracts & Property Management-San Francisco,(California 94105 Washington, D.C.
20555
- 7. N AME AND ADDRESS OF CON T R ACTQ4 tb o. street. city, coun ty. 5 tale and t/P Codr)
- 8. DEL:VE R v Pal Consultants, tac.
.1922 The Alaneda, SuMe 101-U FOB ORIGIN OTHER tsce ocinw)
- 9. Ol5 COUNT FOR PROMPT PAYMENT l San Jose, California 95126 5%-10 days; 3%-20 days; 2%-30 days; Net-40 days 10 SU8MIT INVOICES
!'Tw a curses unWss other-
.! '2 wrw srcesfied) TO THE I
CODE I F ACILITY CODE l ADDRESS SHOWN IN.
cgg )
(f gA l M Eff M OUfcIry Commicsden
- n. - 4o,M e ruR Division Of Accounting' & Finance GOV /QCM Section Wash 1ncton. 0.C.
20555 N/A- -
IiTOWO'dTTv70R USING OTHE R THAN FULL AND OPEN COMPETI.
- 14. ACCOUN T ING AND MPPROPRI A' ION DAT A l
T4CNt
[']aiusC.:$3icH 5
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isee Prime Centract
_D io u S c. zac.uen
- 15A. ITEM NO 1 158 SUPPLtES/SERvlCES l
15C. QUAN TITY 115D UNIT l 15E UNIT PRICEi 15F AMOUNT'
" Radiation Embrittlement of the Readtor Vessel Supnorts" (See Prime Contract)
See attached three pages for clauses entitled "52.219-11 and 52.219-12 Special 8(a) Subcontracting Conditions (APR 1984)", and "$2.219-14 i
Limitations on Subcontracting {0CT L987))'."
e908090497 890726 f
PDR CONTR L
NRC-03-89-033 PNV y
15G.TCs 'L AMOUNT OF CONTR ACT >l'. 04,376.00-
- 16. TABLE OF CONTENTL V) lSEC. l DESCRIPTION lPAGEfS1 V)ISEC I DESCRIPTION lPAGEtS).
PART th-CONT RACT CLAUSES
,e ART I-THE SCHEDULE g
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A SOLICITATION / CONT A ACT FOR M lI l CONTR ACT CLAUSES B
SUPPLIES OR SERVICES AND FAICES/ COSTS PART tu - LtST oF DOCUMENTS. E M MIBtTS AND OT HE A ATT ACH.
C DESCRIPTION / SPECS AVORK STATEMENT lJ l LIST OF ATTACHMENTS I
D PACKAGING AND MARKING PARTIVb REPRESENTATIONS AND INSTRUCTIONS E
INSPECTION AND ACCEPTANCE K
REPRESENTATIONS. CERTIFICATIONS AND OTHER STATEMENT 8; OF OFFERORS F
CONTR ACT ADMINISTR ATION DATA L
INSTHS. CONDS. AND NOTICES TO OF FE RORS H
SPECIAL CONTRACT REQUIREMENTS I
M EVALUATION F ACTOPS FOR AWARD CONTRACTING OfflCER WilL COMPLETEITEM 17 OR 18 AS APPLICABLE
! d!
CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is re.
18.
AWARD (Contractor is not required to sagn this document ) Your
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quired to sogn this document and return enpite to issuing office.1 t.1er on Soncetatson Numoer Contractor a9rees to furnish and oclaver all stems or perform all tne services set includan0 the acastions or cnan9es *neos Dy you wnicn additions or enanges ont O re on s eO n4 e The fl9nts and o i Ga sorts ut the a ses to the na Co uat r sneet's. T h a a O co sumt a es e c I att nC Con toretrect sh4H be su0 lect to afid 90verned DV the followm0 documentst (a) this basts Of the followmg 00cumentti ta) tne Government's sotteitation and your T ',7..n'['$.r"t Ec.a'n.fnk'"a*E'Ee**'e'.c"i.$n*Os'"a ea'tU$eil7,Tc"o;$EIS"*$UrD"""*'"****"*'"""**""'"**""***"
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19A. NAME AND TITLE OF blGNE R * 'ype or prants 20A. NAME OF CONT R ACTING OF FICER uckPMi nWatcJ~
- A l.' ( cev$ g / f M //f2*.
Stephen J. Grenyo
. A951. NAML QF CO T/.ACT R 19C. DATE SIGNED 208. ' T D ST TEb OF ME A
a*0C. D AT E SIGN ED d
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Page 2 NRC-03-89-033 52.219.11 SPECIAL 8(a) CONTRACT CONDITIONS (April 1984)
.The Small. Business Administration (SBA) agrees to the'following:
(a) To furnish the supplies or services set forth in this contract according to the' specifications and the terms and conditions hereof by subcontracting with an eligible' concern pursuant to the provisions of section 8(a) of the Small Business Act,.as amended (15 U.S.C. 637(a)).
(b) That !n the' event SBA does not award a subcontract for all or a part of the work hereunder, this contract may be terminated either in whole or in part without cost to either party.
(c) Delegates to-the U.S. Nuclear Regulatory Commission the responsibility for administering the subcontract to be awarded hereunder with complete authority to take any action on behalf of the Government under the' terms and conditions of the subcontract; provided, however, that the U.S. Nuclear Regulatory Commission shall give advance notice to the SBA before it issues final notice terminating the right of a subcontractor to proceed.with further performance, either in whole or in part, under the subcontract for default or for the convenience of the Government.
(d) That payments to be made under any subcontract awarded under this contract will be made directly to.the subcontractor by the U.S. Nuclear Regulatory Commission.
(e) That the subcontractor awarded a subcontract hereunder shall have the_right of appeal.from decisions of the Contracting Officer cognizable under the " Disputes" clause of said subcontract.
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Page 3 NRC-03-89-033 52.219-12 SPECIAL 8(A) SUBCONTRACT CONDITIONS (APR 1984)
(a) The Small Business Administra(. ion (SBA) has entered into Contract No. NRC-03-89-033 with the-U.S. Nuclear Regulatory Commission to furnish the supplies or services as described therein.
A. copy of the contract is attached hereto and made a part hereof.
(b) The Pal Consultants, Inc., hereafter referred to as the L
subcontractor, agrees and acknowledges as follows:
'(1) That it will,.far and on behalf of the SBA, fulfill and perform all of the requirements of Contract No. NRC-03-89-033 for the consideration F' "
stated therein and th'at it has read and is familiar with each and every part of the contract.
(2) That the SBA has delegated responsibility for the administration of this subcontract to the U.S. Nuclear Regulatory Commission with complete authority to'take any: action on behalf of the Government under the' terms and conditions of this subcontract.
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(3) That it will' not subcontract the performance of any of the requirements of this subcontract to any lower tier subcontractor without the prior written approval of the SBA and the designated Contracting Officer of the U.S. Nuclear; Regulatory Commission.
i (c) Payments, including any progress payments under this subcontract, will be made directly to the subcontractor by the U.S. Nuclear Regulatory Commission, i
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Page 4 L
NRC-03-89-033 L
I 52.219-14 LIMITATIONS ON SUBCONTRACTING By submission of an offer and execution of a contract, the Offeror / Contractor agrees that in performance of the contract in the case of a contract for-(a) Services (except construction).
At least 50 percent of the cost of contract performance incurred for personnel shall be expended for employees of the concern.
(b) Supplies (other than procurement from a regular dealer in such supplies).
The concern shall perform work for at least 50 percent of the cost of manufacturing the supplies, not including the cost of materials.
(c) General construction.
The concern will perform at least 15 percent of the cost of the contract, not including the cost of materials, with its own employees.
(d) Construction by special trade contractors.
The concern will perform at least 25 percent of the cost of the contract, not including the cost of materials, with its own employees.
(End of clause) c,
)
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{ t THis cQNTRACT is A R ATED 01CI A
"[ #l3 AWARDICONTRACT UNDER OPAS (15 CFR 350) 3
- 2. CON r R AC T (Proc. dnsa. saena.J NO.
.J.EFFEeTivLQATL
- 4. MLQUISI 8 40t%/8#vHCMA5E HEQwt&T/PHOJEC T M4 NRC-03-89-033 QUL 1,91983 RFP RS-NRR-89-033 I* 855WEO SY ts. ADMIN STERCD BY #4/ other en.n stem it
'USNuclearRegulatoryCoEssl ion CODE I a ----
Divisica of Contracts & Property Management Mail Stop P-1020, Office of Administration
~ Washington, D. C.
20555 7, NAME AND AQOH E55 CF lON T R A,CTO R (N Bus 1nes s do..strytt, city. cour),v. diere and 4JP Code t l 6. DELiv ER Y Prir.1e : - U. S. Sma l ministration 211 Main Street, 4th Floor O ros ca'ci" D oT"ea San Franciso, CA 94105
- 9. OLSCOUNT F OR PROMPT PAY MEN T
^
Sub:
Pal Consultants, Inc.
5%-10 days; 3%-20 days; 1922 The Alameda, Suite 101 2%-30 days; Net-40 days San Jose, CA 95126
- 10. SUBM(T IN VOICES teTEM I4 coptes unwss uther.
a b
waar spect/stds TO THE l
-CODE IF ACILITY CODE
' ADDRESS SHO?!N IN 1
lM' DAY MINT WehL sE MAQt SVegulatory Comisstems
- 1
- 11. bMsP T Q/MAM FOR cOCE i Nuc ear Division of Accounting & Finance
. See.Section e GOV /COM.Sectic0.2E...
1 WasnincT.nn. D.
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- 13. AUTHORITV FOR v51NG CTHE R TM AN FULL AND OPEN CCMPET1 414. ACCOUNTING AND APPROPRI A T *ON DAT A IFIN No. L-1191 APPN No. 31X0200.209 lE&RMo.9E0-19-05-02-0 OBLIGATED:5114,376.00 LJ iO u.S c. :ac.sien i g di u S.c. :52ica s i
15A. tTEM NO I 158. SUPPLIES / SERVICES I
15C. OU ANTl]
il50 UMTl 15E UNIT P AICE 1 15F AMOUNT Pal Consultant, Inc. shall perform the effort as described in the enclosed Solicitation No. RS-NRR-89-033 and in accordance with Pal Consultant, Inc.'s tecnnical proposal dated April 20, 1989, which is made a part of this contract by this reference, and as revised herein. This is a cost-plus-fixed-fee type contract; The following are also incorporated into the contract:
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15G. TOTAL AMOUNT OF CONTRACT ki$114. 376.0'1 -
- 16. rABLE OF CONTENTS A
. VIISEC.l DE SC R IP1.
4
' p AG E LS) V)ISEC.l Ej RIPTION IPAGEtS1 84 RT I - TME SCHEDULE PART tt - CONTR ACT CLAUSE 5 X?-A i SOLICITAT;C'DCONTR ACT FORM Xl t 1 CONTR ACT CLAUSES i
XlB I SUPPLtES C8 SEPVICES AND PRICES / COSTS 1
PART lti - LIST OF DOCUMENTS. EXHIBITS AND OTHE R ATT ACH.
i
~]l C i DESCRIST'0%iS8ECS.l WORK STATEMENT I
Xl J { LtST OF ATTACHMENTS i
]l D 1 PACK AGING AND MARKING PART IV - REPRESENTATIONS AND INSTRUCTIONS
'j l E 1 INSPEC9CM AND ACCEPTANCE t
K REPRESENTATIONS. CERTIFICATIONS AND
.yl F l DELivEFIES OR PERFORMANCE i
OTHER STATEMENTc: OF OFFERORS l
X l O,l CONTRAC* ADMINISTRATION DATA l
l L l INSTRS. CONDS. AND NOTICES TO OF FmORS I
Yl H I SPECIAL CONTR ACT REQUIREMENTS 1
1 M i EVALUATION F ACTORS FOR AWARD I
CONTRACTING _0FFICER WILL COMPLETEITEM 11 OR 18 AS APPLICABLE 11.
CONT R ACTOR'S NEGOTIATED AGREEMENT I.;?nasetor es re.
18.
AWARD (Contractor is not recuared to sagn this document.) You,
. vuired to sean this document.nd return
- copers to assuant offier.J otte, on Solicit. tion N imr e, _
- ff,E'*o",'"JJ%l*,' '*dC.'?.".J"foUk"E!"o'A'*n'y 'c!!i.f'* '." T!.lIM'o*/s
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' 19 A. NAME ANQ flT LE CF SiGNE R (TyJpe or pNtr 2oA. N AME OF CON 1 R ACTING OF FICEh Stephen J. Grecyo.
MM FW l:
Contracting. Officer l
ise p y FCfNTRACTg g
zoa. vNigsTpTg ggERiCA jzoC. care 7aNEo isC.oArt 5 GNEo
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NRC-03-89-033, Page 2 1.
Section B.2 - CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE is deleted in its entirety and the following new Section B.2 shall be substituted in lieu thereof:
"B.2 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE (JUNE 1988) ALTERNATE I a.
The total estimated cost to the Government for full performance of this contract is $114,376.00, of which the sum of $106,317.00 represents the estimated reimbursable costs., and of which.$8,059.00 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 $114,376.00.
d.
It is estimated that the amount currently allotted will cover full
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performance of this contract effort through the expiration date of this contract."
2.
Section F.3 - DURATION OF CONTRACT PERIOD is deleted in its entirety and the following new Section F.3 is substituted in lieu thereof.
Refer to item 13 below for precontract performance.
" F. 3 DURATION OF CONTRACT PERIOD (MAR 1987)
This contract shall commence on the effective date and will expire l
L twelve months thereafter."
3.
Under Section F.5 - PLACE OF DELIVERY, paragraph a., insert the name
" Wayne Wilker" at' the' asterisk (*) as the Proje :t Offic6r.'
~ ~ ' '
I 4.
Section F.5 - PLACE OF DELIVERY, paragraph b.,
is deleted in its entirety and the following new paragraph b. is inserted in lieu thereof.
"b.
One copy of the items to be furnished hereunder shall be delivered, with all transportation charges paid by the Contractor, to the following:
j U.S. Nuclear Regulatory Commission Attn:
Timothy F. Hagan, Contracting Officer Division of Contracts and Property Management Contract Administration Branch Mail Stop:
P-902 l
Washington, D.C. 2G555 l
in 0 4.,
NRC-03-89-033,'Page 3 U.S. Nuclear Regulatory Commission Attn: Nil 11am,Rosenthal, License Fee Coordinator Planning, Program, and Management Support Branch Office of Nuclear Reactor-Regulation-Mail Stop: ' 12 H 7.
Washington,'D.C. 20555
.U.S. Nuclear Regulatory Commission
' Attn:
Barry Elliott, Leaa Engineer Office _ of Nuclear Reactor Regulation Materials and Engineering Branch Mail'Stop:
9 H 15 Washington, D.C. 20555
' Changes to this distribution list during the period of snis contract will be
- provided to the Contractor by the NRC Contracting Officer."
- 5.
Section G.1 - INDIRECT COST RATES is revised to include the following indirect rates:
"29.92% fringe benefits rate based on direct labor 91.77% overhead rate based on direct labor and fringe benefits" 6.
Section-G.2.:
PROJECT OFFICER AUTHORITY, paragraph a. is deleted inLits entirety and the~following~new paragraph a. shall be substituted in lieu thereof:.
"a.
The Contracting.0fficer's authorized representative hereinafter referred to as-the Project Officer for this contract is:
Name:
Wayne Walker Address:
U.S. Nuclear Regulatory Commission Office of Nuclear Reactor Regulation
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Nail'Stop: ~11H22.'
4.
Washington, D.C. 20555 Telephone:
(301) 492-1219" 7.
Under Section G, the following new clause is added to the contract:
G.5 TRAVEL REIMBURSEMENT (JUNE 1988)
,a.
Total expenditure for domestic travel shall not exceed $6,391.00 without the prior approval of the Contracting Officer.
. b.
The Contractor is encouraged to use Government contract airlines,
' AMTRAK rail service, and-discount hotel / motel properties in order to reduce
+
p the cost of travel under this contract.
The Contracting Officer will, upon request, provide each additional traveler with a letter of identification L
which is required in order to participate in this program.
The Federal L
L
-.um_.m_
___.-__:_m._
r NRC-03-89-033, Page 4 Travel Directory (FTD) id ifies carriers, contract fares, schedules, payment conditions, and h<
o/ motel properties which offer their services and rates to Government contractor personnel traveling on official business under this contract.
The FTD, which is issued monthly, may be purchased from the U.S Government Printing Office, Washington, D.C.
20402.
c.
The Contractor will be reimbursed for reasonable domestic travel costs incurred directly and specifically in the performance of this 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 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 frem the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402.
d.
When the Government changes the Federal Travel Regulations, it is the responsibility of the Contractor to notify the Contracting Officer in accorcance with the Limitation of Cost clause of this contract if the Contractor will be unable to make all of the approved trips and remain within the cost and fee limitations of this contract due to the changes.
e.
The rates for foreign travel are established by the U.S. Department of State and are listed in a publication entitled " Maximum Travel Per Diem Allowances For Foreign Areas." Copies of this publication may be obtained from the U.S. Government Printing Office, Washington, D.C.
20402.
(End of Clause)"
8.
Section H.1 - KEY PERSONNEL, paragraph a. is deleted in its entirety and the following new paragraph a. shall be substituted in lieu thereof:
"a.
The following individuals are cm:sidered to be essential to the
' successful performance of.the work hereunder.
1 Dr. Nick Pal, Dr. Stan Rolfe and Dr. Richard Furlong i
The Contractor agrees that such personnel shall not be removed from the contract work or replaced without ccmpliance with paragraphs b. and c.
hereof."
l 9.
Section H.4 - ORGANIZATIONAL CONFLICTS OF INTEREST, which incorrectly i
refers to 48 CFR 2009.570-2 is deleted in its entirety and the /ollowing j
corrected new clause which refers to 41 CFR 5402 (f) is substicated in lieu j
thereof:
j 1
7,;
((; 3 i
1 NRC-03-89-033, Page 5 "H.4' ORGANIZATIONAL CCNFLICTS OF IhTEREST (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988) 1 1
a.
Purpose.
The primary purpose of this clause is to aid in ensuring that the contractor:
1)
Is not placed in a conflicting role because of current or planned interests (financial, contractual, organizational, or
-otherwise).which relate to the work under this contract, and
- 2) Does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.
b.
Scope. The restrictions described apply to performance or participation by the Contractor as defined in 41 CFR 20-1.5402(f) in the activities covered by this clause.
c.
Work for others.
Notwithstanding any other provision of this contract, during the term of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may
.give' rise to a conflict of interest with respect to the work being performed under this. contract.
The Contractor shall ensure that all employees under this contract abide by the provision of this clause.
If the Contractor believes with respect to itself or any employee that any proposedLeonsultant 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 eward.
- J). The Centrector warrants to the best of-1-ts knowledge and.
belief, and except as otherwise set forth in this contract, that it does not have any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(a).
- 2) The Contractor agrees that, if after award, it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer.
This statement must include a description of 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.
j 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:
e I
i NRC-03-89-033, Page 6 (i)
Use this information for any private purpose until the information has been released to the public, (ii) Compete for work for the Commission based on the I
information for a period of six (6) months after either the completion of this contract or the release of the information to the public, whichever is first; j
(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 "ithout prior written approval by the Contracting Officer nnless the intermation has previously been released to the public by the NRC.
2)
In addition, the Contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the Contractor shall treat the information in accordance with restrictions placed on use of the information.
- 3) The Contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met, f.
Subcontracts.
Except as provided in 41 CFR 20-1.5402(h),
the Contractor shall include this clause, including this paragraph.,
in subcontracts of any tier.
The terms " contract," " Contractor," and
" Contracting Officer," must be appropriately modified to preserve the, Government's rights.
g.
Remedies.
For breach of any of the above restrictions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations that necessarily imply bad faith, the Government may terminate the contract for default, disqualify the Contractor f om 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 witn the procedures outlined in 41 CFR 20-1.5411.
(End of Clauser
4 4
l' NRC-03-89-033, Page 7 10.
Section I.2 - CERTIFICATION OF COMMERCIAL PRICING (FAR 52.215-32) shall be deleted in its entirety.
11.
Section I.6 - RIGHTS TO PROPOSAL DATA (TECHNICAL) (FAR 52.227-23) shall be deleted in its entirety.
i 12.
All proposed computer analysis effort in the Contractor's technical proposal shall be deleted.
13.
The Contractor's proposed number of days for the two trips under Task Three of the Statement of Work shall be three days in accordance with the Statement of Work in lieu of the proposed two days.
14.
Under Section C.1 - STATEMENT OF WORK, Subsection C.I.4, Task 1, an initial three persen, three-day meeting was to be held at NRC headquarters in Rockville, Maryland upon award of the contract.
This meeting was held on June 15, 1989.
Therefore, the Contractor is authorized for precontract costs in the total estimated amount of $5,519.00 for this initial three person three-day meeting only.
All other work under the contract shall be performed upon the effective date of the contract.
All other terms and conditions of the attached solicitation remain unchanged.
___._.__.._________.__._._____.__.__m___________,__m
Page 7 RS-NRR-89-03.
Section B PART I - THE SCHEDULE SECTION B - SUPPLIES OR SERVICES AND "CE/ COSTS j
B.1 BRIEF DESCRIPTION OF WORK (MAR 1987) e Provide technical assistance in evaluating the effect of neutron radiation on structural steels that are used for reactor vessel supports.
(End of Clause) 8.2 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE (JUNE 1928) ALTERNATE I (JUNE 1988) a.
The total estimated cost to the Government for full performance of this contract is
, of which the sum of represents the estimated reimbursable costs, and of which represents the fixed fee.
b.
There shall be no adjustment in the amount of the Contractor's fixed fee by reason of differences between any estimate of cost for performance of the work under this contract and the actual cost for performance of that work.
c.
The amount presently obligated by the Government with respect to this contract is d.
It is estimated that the amount currently allotted will cover performance through (End of Clause) i AE._______________________
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Page 8 RS-NRR-89-Oi Section C SECTION'C - DESCRIPTION / SPECIFICATION
/ WORK STATEMENT C.I STATEMENT OF WORK (MAR 1987)
TITLE:
" RADIATION EMBRITTLEMENT ON THE REACTOR VESSEL SUPPORTS"-
C.1.1.
BACKGROUND Oak Ridge National Laboratory (ORNL) in.NUREG/CR-5320 evaluated the effect of radiation embrittlement on the reactor vessel supports of
. Trojan and Turkey Point. -The NRC reviewed ORNL'S NUREG report and proposed several short term and long term actions to resolve the issue._ The actions proposed to resolve this issue were documented by.NRC'in a letter dated January-3, 1989.
Technical expertise is needed to evaluate these proposed actions and other issues proposed by licensees and owners groups for resolution of the issue (i.e. the effect-of neutron ra)'ation on the load carrying capability of
~
reactor vessel support materials).
C.1.2.
OBJECTIVE The objective of this task is to obtain expert technical assistance in evaluating the effect of neutron radiation on structural steels that are used for reactor vessel supports.
C.1.3.
WORK REQUIREMENTS The contractor shall provide engineers with experience in fracture of structural materiafs and the effects of neutron radiation on ferritic steels.
The engineers will read reports and attend do.*suppo_tinns.on th,~e effect of neutron radiation on the integrity'of
'natenta e,
rts which are fabricated from structural ferritic steels.
The engineers will present their viewsyto the NRC on issues related to' fracture of structural steels and load carrying capability on steel supports embedded in concrete. Copies of all reports, letters
~,
and documents required for performance of the work hereunder will be provided to the Contractor by the NRC Project Officer upon award of this contract.
C.1.4.
DELINEATION OF TASKS AND SCHEDULE TASK-1.
Meeting to discuss previous ORNL, Trojan, and Portland General reports on radiation embrittlement of reactor vessel supports.
Upon award of the contract, an initial three person three-day meeting will be held at NRC headquarters, Rockville, Maryland.
TASK 2.
Review all available information and prepare requests for additional information (RAI) to Owners Group (i.e.
1
_,.-_.-__.n_.-.
R t,,
Page 9 L
RS-NRR-89-0:
Section C L
Westinghouse, Combustion Engineering, and Davis Besse).
RAI.to be submitted to NRC Project Officer for review before transmittal to Owners Group by NRC.
This task shall be completed within one month after initial meeting under Task 1.
TASK 3.
Upon NRC's receipt'of the RAI responses from Owners Group, the NRC Project Officer shall transmit the responses to the Contractor to review and evaluate.
If the NRC Project Officer agrees to be necessary, the Contractor shall. prepare additional RAI's in the same manner as in Task 2 above.
In evaluating the responses to RAI's, the Contractor shall propose resolution for any open items in a letter report to the NRC Project
-Officer.
If the NRC Project Officer agrees is necesrary, the-Contractor may be required to attend a meeting with the Owners Group at the NRC headquarters to reach resolution.
This' task shall be completed within one month of receipt of the RAI's frem the NRC Project Officer.
If ' additional RAI's are required, the schedule for ccmpletition of this task may be extended, within the overall period of performance of this contract, upon written agreement by the NRC Project Officer with a copy to the NRC Contracting Officer.
It is estimated that the
' Contractor.may be required to attend two two person, three-day meetings with the NRC anc the Owners Group at the'NRC headquarters in Rockville, Maryland.
1 Task 4-. Prepare a draft technical evaluation _ report (TER) that documents the results of the technical review for the NRC Project Officer's review and any comment.
Completion of f
this task shall be within two months after completion of d
Task 3.
' Task 5.
Prepare the final TER, incorporating any comments that
/
j may be provided by the NRC Project Officer, Completion
...I
. of this task shall be within one month,af te.re::eipt of
. the NRC Project Officer's comnients.
- ?~
~
- ~
,3 C.2 ' LEVEL OF EFFORT '
The. estimated level of effort for each technical engineering personnel consists of 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> for meetings,160 hours0.00185 days <br />0.0444 hours <br />2.645503e-4 weeks <br />6.088e-5 months <br /> for reviewing anc requesting additional information, and 110 hours0.00127 days <br />0.0306 hours <br />1.818783e-4 weeks <br />4.1855e-5 months <br /> analyzing and writing the final report.
In summary, it is expected that the following will be required for successful performance of this effort:
Number Discipline Estimated Hours 1.
Project Manager 150 1
Structural Engineer 350 1
Materials Engir,eer 350 Administrative Support 150 C.3 REPORTING REQUIREMENTS C.3.1.
At the completion of Tasks 1 and 2, submit a technical l
Page 10 RS-NRR-89-0; Section C.
l letter report.to' the NRC Project Officer that summarizes the results of the work to date and contains the request for additional l
information.
If additional information is not required to complete L
the review, the letter report should summarize.the work completed, indicate that additional information is not required to complete the review, and'. identify the proposed schedule for delivery of the draft TER required.under Task 4.
C.3.2.
At the completion of Task 4, submit a draft TER in
.accordance with the Statement'of Work.
The TER shall contain an executive summary, a discussion of the work performed, conclusions reached with technical bases, and Contractor's opinion on resolution of issue (i.e. radiation embrittlement of reactor vessel supports.)
C.3.3.
At the completion of Task 5, the contractor,shall submit a final TER in accordance with the Statement of Work in an original and four copies to the NRC Project Officer and one copy to the NRC Contracting Officer.
In addition to submitting a copy of the final report to the NRC Project Officer, the Contractor shall sub: nit one computer diskette version (IEM Displaywrite 3 or 4, or other IBM compatible' software, suitable for transfer to NRC's IBM 5520 woroprocessor).
The Contractor shall refer to Section J for attacnment on Nf0:'s word processing format guidelines.
The Contractor shall refer to Section F - DELIVERIES OR PERFORMANCE, for additional reporting requirements.
(End of Clause) l a,
%A.
3_
+ us L.
Page il f
RS-NRR-89-0:-
Section 0 b
SECTION D - PACKAGING ~AND MARKING l.
"D.1 PACKAGING AND MARXING (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 n-r Contractor shall clearly identify-the contract number'under which
-the product is being provided.
(End of Clause) g e.+"
g
.m,.
Page 12 RS-NRR-89-0:
Section E SECTION E - INSPECTION AND ACCEPTANCE
)
E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE:
The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference:
FEDERAL ACQUISITION PEGULATION (48 CFR CHAPTER 1)
NUMBER DATE TITLE 1
52.246-3 APR 1984 INSPECTION OF SUPPLIES--
J COST-REIMBURSEMENT i
52.2464 APR 1984 INSPECTION OF SERVICES--
COST-REIMBURSEMENT I
^
's i
l
1 Page 13 RS-NRR-89-0 Section F SECTION F - DELIVERIES OR PERFORMANCE I
. F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE:
The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by
-reference:
FEDERAL ACQUISIT'IC) REGULATION (48 CFR CHAPTER 1)
NUFFFC DATE TITLE 52.212-13 APR 1984 STO FWORK ORDER ALTCRNATE 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 accorcance 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
- 00 RATION OF CONTRACT PERIOD (MAR 1987)
This contract shall commence on and will expire on (End of Clause)
~
F.4 MONTHLY PROGRESS REPORT A Monthly Letter Status Report shall be delivered by the 15th of each month during the period of performance of this contract to each of the following persons:
. Chief, Technical Assistance Management Section, Office of Nuclear Reactor Regulation
. Chief, Contract Administration Branch, Office of Administration
. Licensee Fee Coordinator, Office of Nuclear Reactor Regulation
. Lead Engineer, Office of Nuclear Reactor Regelation The name and addresses for the above three persons are located in Subsectica F.4, " PLACE OF DELIVERY--REPORTS" below.
Each report shall identify the contract number and title, the FIN
i'
~
'o
. p
.Page 14 RS-NRR-89-0.*
Section F
- number, the period of performance, the Project Officer, the NRC Lead Engineer, and the reporting period, and shall contain the i
following:two sections:
]
1..
. PROJECT STATUS SECTION a.
A listing of the efforts completed during the period; milestones reached,-or if missed, an explanation provided.
i o.
Any problems or delays encountered or anticipated and recommendations for resolutfor.. If the recommended resolution i
involves a contract modification, i.e., change in work requirements, level of effort (costs), or period of performance, a separate letter should be prepared and submitted to the NRC Project Officer, with a copy to the NRC Contracting Officer, and the Chief of the NRR Technical Assistango Management Section.
c.
A summary of pregress to date [this may be expressed in terms of percentage' completion for the project.)
d.
Plans for.the next reporting. period.
~
e.
Preliminary or interim results, conclusions, trends, and other information that the contractor feels are of timely interest.
2.
FINANCIAL STATUS.SECTION Provide the total direct staff use and the amount of fundr expended (costed) during the period, total cumulative Government fiscal _ year to date, and total cumulative to date in the following categories:
Current Cumulative Month to Date I. -Direct Staff Effort (hours of. charged _,
[3 4
effort)
AX XX II. Direct Salaries
$ XX
$ XX Materials and Services (excluding ADP)
XX XX ADP Support XX XX Subcontracts XX XX Travel XX XX Indirect Labor Cost XX XX Other (specify)
XX XX General and Administrative Expense XX XX Total Costs
$ XX
$ XX Percentage of available L
e
E.%
Page 15 RS-NRR-89-0.~
'Section F funds costed XX%-
n L
III.
Funding. Status:
Provide the prior year carryover, the current fiscal year funding level as reflected in the contract, funds' received to date for the current fiscal year, and the balance of funding needed for the current fiscal year as follows:
FY FY FY Prior FY Projected Funds Funding
' Carryover Funding Level Rec'd to Date Bal. Needed
$ XX
$ XX
$ XX
$ XX F.5 PLACE OF DEL'IVERY One original and four copies of the items to be furnished a-.
hereunder shall be delivered, with all transportation charges paid by the Contractor, to:
U. S. Nuclear Regulatory Commission Attn:
, Project Officer Office of Nuclear Reactor Regulation Planning, Program, and Management Support Branch Hail Stop OWFN 11-H-22 Washington, DC 20555 b.
One copy of the items'to be furnished hereunder shall be delivered, with all transportation charges paid by the Contractor, to the following:
U. S. Nuclear Regulatory Commission Attn:
, Contracting Officer a
Division of Contracts and Property, Management 4
4,
- s..
., n.
Con'tr'act Administration Branch Mail Stop Washington, DC 20555 U.S. Nuclear Regulatory Commission Attn:
, License Fee Coordinator Planning, Program, and Manatjement Support Branch Office of Nuclear Reactor Reo"% tion Mail Stop Washington, DC 20555 U.S. Nuclear Regulatory Commission Attn:
, Lead Engineer Office of Nuclear Reactor Regulation Mail Stop Washiftgton, DC 20555
7 7
v y, ;
- 41 l -2; '
. RS-NRR-89-0,* -_
Page 16
- Section Fl.
Changesito this distribution. list during the' period of.this L.c contract Will be pro'vided to the contractor by either the NRC L' ?
- Contracting Officer o" the.NRC Project Officer.
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2 Page 17 RS-NRR-89-0 Section G SECTION G - CONTRACT ADMINISTRATION DATA G.I INDIRECT COST RATES (JUNE 1988)
Pending the establishme'it of finai indirect rates which a.
shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs as follows:
a b.
The Contracting Officer may adjust the above rates as appropriate during the term of the contract upon acceptance of any revisions proposed by the Contractor.
It is the Contractor's responsibility to notify the Contracting Officer in accordance with 52.232 Limitation of Cost or 52.232 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)
The Contracting Officer's authorized representative a.
hereinaf ter referred to as the Project Officer for this contract is:
Name:
Address:
T, ephone Number:
b.
Per fo.aance of the work under this contract shall be subject to the technical direction of the NRC Project Officer.
The term " Technical Direction" is defined to include the following:
1)
Technical direction to the Contractor which shifts work emphasis between areas of work or tasks, fills in details or otherwise serves to accomplish the contractual statement of work.
2)
Provide advice and guidance to the Contractor in the preparation of drawings, specifications or techh1 cal portions of the work description.
3)
Review and, where required by the contract, approval
+
Page 18 RS-NRR-89-L,
Section G r
of technical. reports, drawings, specifications and technical information to be delivered by the Contractor to the Government under the contract.
- c.. Technical direction must be within the general statement of work-stated in the contract.
The Project Officer does not have the authority to and may not issue any technical direction which:
- 1) Constitutes an assignment of additional work outside the general scope of the contract, 2)
Constitutes a change as defined in the " Changes" clause of this contract.
3)
In any way causes an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the time required for contract performance.
4)
Changes any of the expressed terms, conditions or specifications of the contract.
5)
Terminates the contract, settles any claim or dispute arising under the contract, or issues any unilateral directive
- whatever, d.
All technical directions shall be issued in writing by the Project Officer or shall be confirmed by such person in writing within ten (10) working days after veroal issuance.
A copy of said written direction shall be furnished to the Contracting Officer, e.
The Contractor shall proceed promptly with the performance of tecnnical 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 d.irection issued by the Project Officer is within one -of the a;
categories as defined in c abose, the Contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days after the receipt cf 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 Officet shall issue an appropriate contract modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the Changes Clause.
g.
Any unauthorized commitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance and may even result in the Contractor expending funds for unallowable costs under the contract.
h.
A failure of the parties to agree upon the nature of the instruction or direction or upon tha contract action to be taken 1
6
w o-Page 19 RS-NRR-89-L Section G f
'with respect thereto shall be subject to'52.233 Disputes.
i.
In addition to providing technical direction as defined abov'e, the Project Officer is responsible.for:
1)- Monitoring the Contractor's technical progress, including surveillance and assessment of performance, a.:d 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 aoproval, disapproval, or suspension cf payment for' supplies and services required under this contract.
(End of Clause)
G.3 REMITTANCE ADDRESS (MAR 1987)
If item 15C. of the Standard Form 33 has been checked, enter the remittance acdress below.
Name:
Address:
(End of Clause)
G.4 BILLING INSTRUCTIONS The Contractor shall r,efer to Section J for an attachment to this contract entitled " Billing Instructions."
I Page 20 RS-NRR-89-L Section H l
1 L
l-l SECTION H - SPECIAL CONTRACT REQUIREMENTS l
1 l.
H.1 KEY PERSONNEL (JUNE 1988) a.
The following individuals are considered to be essential to the successful performance of the work hereunder.
The Contractor agrees that such personnel shall not be removed from tne contract work or replaced witnout comoliance with paragraphs b and c hereof.
b.
If one or more of the key personnel, for whatever reason beccmes, or is expected to become unavailable for work under this contract for a continuous perica 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
- r. hall immediately notify the Contracting Officer and shall, subject to tne concurrence of the Contracting Officer, promptly replace such personnel with personnel of at least substantially equal ability and qualifications.
c.
All recuests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions.
They must contain a complete resume for the proposed substitute and other information requested by the Contracting Officer to approve or disapprove the proposed substitution.
The Contracting Officer will evaluate such requests and promptly notify the Contractor of his/her approval or disapproval thereof in writing.
d.
If the Contracting Officer determines that:
1)
Suitable and timely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming; or
- 2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate. If the Contracting Officer finds the Contractor at fault for the concition, the contract price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.
o Page 21 RS-NRR-89-L Section H (End of Clause)
H.2 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987)
The Contractor shall comply with the requirements of the attached NRC Manual Chapters 3202 and 3206 (See Section J. for List of Attachments) regarding publications or dissemination to the 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 aoproved by the Contracting Officer, information and other data developec or acquired by or furnished to the Contractor in the performance of this contract shall be used only in connection with the work under this contract.
(End of Clause)
H.4 ORGANIZATIONAL CONFLICTS OF INTEREST (CMB CLEARANCE NUMBER 3150-0112) (JUNE 1988) a.
Purpose.
The primary purpose of this clause is to aid in ensuring that the Contractor:
1)
Is not placed in a conflicting role because of current or planned interests (financial, contractual, organizational, or otherwise) whicn 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.
~
1 b.
Scope.
The restrictions described apply'to performance or
~
participation by the Contractor as defined in 48 CFR 2009.570-2 in the activities covered by this clause.
c.
Work for others.
Notwithstanding any other provision of this contract, during the term of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract.
The Contractor shall ensure that all employees under this contract abide by the provision of this clause.
If the Contractor believes with respect to itself or any employee I
that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement.
4'
,4 Page 22
-RS-NRR-89-L.,
Section H
- d.
Disclosure after award.
- 1) The Contractor warrants to the best of its knowledge and belief,'and except as otherwise set forth in this contract, that it does not have any organizational confl.icts of interest, as defined in 48 CFR 2009.570-2.
- 2) The Contractor agrees'that, if after award, it discovers organizational conflicts of interest'with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer.
This statement must include a description of e
l 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 Gove rnmen t.'
e.
Access to and use.of information.
1)
If the Centractor 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 puolic, the Contractor agrees not to:
(i)
Use this information for any private purpose until the information has been released to the public; (ii) Compete for work for the Commission based on the information for a period of six (6) months after either the comcletion of this contract or the release of the information to the public, whict,ever is first; (iii) Submit an unsolicited proposal to~the Government based on the information until one year after the release of the
/informationtothepublic,or t
(iv) Release the information without prior written 3
s approval by the Contracting Officer unless the informati'on has previously beert released to the public by the NRC.
7 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 (Fub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the Contractor shall treat the information in accordance
-with restrictions placed on use of the information.
- 3) The Contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met.
f.
Subcontracts.
Except as provided in 48 CFR 2009.570-2(g),
the Contractor shall include this clause, including this paragraph, in subcontracts of any tier.
The terms " contract," "Ccntractor,"
'E
'4 Page 23
'RS-NRR-89-L Section H p
V and " Contracting Officer," must be appropriately modified to preserve the Government's rights.
g.
Remedies.
For breach of any of the above restrictions or for inte'ntional 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 c:y terminate the contract for default, disqualify the Contractor from subsequ'ent contractual efforts, and pursue other remedies permitted by law or this contract.
h.
Waiver. A request for waiver under this clause must be directed in writing through the Contracting Officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 48 CFR 2009.570-9.
l (End of Clause)
H.5 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED (JUNE 1988)
The Government will not provide any ecuipment/ property under this contract.
(End of Clause)
,r'
/
L A-e
}
u,
.1 6
.Page 24-
. RS-NRR-89-L..
Section I PART II - CONTRACT CLAUSES
'i CONTRACT CLAUSES SECTION I l
1
'I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE __
NOTICE:
The following solicitation provisions and/or contract
. clauses pertinent to this section are hereby incorporated by reference:
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 11 NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS 52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 1984 COVENANT AGAINST CONTINGENT FEES 52.203-6 JUL 1985 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT 52.203-7 OCT 1988 ANTI-KICKBACK PROCEDURES 52.215-1 APR 1984 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL 52.215-2 APR 1988 AUDIT -- NEGOTIATION 52.215-22 APR 1988 PRICE REDUCTION FOR DEFECTIVE COST OR l
PRICING DATA 52.215-24 APR 1985 SUBCONTRACTOR COST OR PRICING DATA 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.216-7 APR 1984 'ALLOWA9LE COST AND PAYMENT
- 52.216-8 '.APR 1984 FIXED
- FEE
~-
52.217-1 APR 1984 LIMITATION OF PRICE AND CONTRACTOR' OBLIGATICNE --
y 52.217-2 APR 1984 CANCELLATION OF ITE85 52.219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS 52.219-13 AUG 1986 UTILIZATION OF WOMEN-CWNED SMALL BUSINESSES 52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS 52.222-3 APR 1984 CONVICT LABOR 52.222-26 APR 1984 EQUAL OPPORTUNITY 52.222-28 APR 1984 EQUAL OPPORTUNITY PREAWARD CLEARANCE OF SUBCONTRACTS 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS 52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS
Page 25 H
RS-NRR-89-L SecBion I 52.222-37 JAN 1988 EMPLOYMENT-REPORTS ON SPECIAL DISABLED VETERANS AND VETERANS l
OF THE VIETNAM ERA
.l 1
52.223 APR 1984 CLEAN AIR AND WATER 52.227-3 APR 1984 PATENT INDEMNITY 52.227-14 JUN 1987 RIGHTS IN DATA--GENERAL i
52.227-17 JUN 1987 RIGHTS IN DATA--SPECIAL WORKS 52.228-7 APR 1984 INSURANCE -- LIABILITY TO.
THIRD PERSONS l
52.232-22 APR 1984 LIMITATION OF FUNDS 52.232-23 JAN 1986 ASSIGNMENT.OF CLAIMS 52.233-1 APR 1984 DISPUTES o
52.233-3 JUN 1985 PROTEST AFTER AWARD l
ALTERNATE.I (JUN 1985) 52.242-1 APR 1984 NOTICE OF INTENT TO DISALLOW COSTS 1
52.243-2 AUG 1987 CHANGES -- COST-REIMBURSEMENT 1
ALTERNATE I (APR 1984) 52.244-2 JUL 1985 SUBCONTRACTS (COST-REIMBURSEMENT AND LETTER CONTRACTS) 52.244 APR 1984 COMPETITION IN SUBCONTRACTING 52.245-5 JAN 1986 GOVERNMENT PROPERTY (COST-REIM-BURSEMENT, TIME-AND-MATERIAL, OR LABOR-HOUR CONTRACTS) 52.249-6 MAY 1986 TERMINATION (COST-REIMBURSEMENT)
.52.249-14 APR 1984 EXCUSABLE DELAYS I.2 CERTIFICATION OF CCMMERCIAL PRICING (FAR 52.215-32)
(JUN 1985)
(r) The Offeror / Contractor shall execute and submit to the Contracting Officer the following certificate with any offer / proposal as required by section 15.813-2 of the Federal Acquisition Regulation (FAR) or as requested by the Contracting Officer:
Sa
-y.,;
-~
Certificate 'of Commercial Pricing (1) Unless justified in (2) below, by submission of this offer / proposal, the Offeror / Contractor certifies that the prices offered for those items of supply (whether or not separately identified) that the Contractor offers for sale to the public are no higher than any lower price charged to any other customer, including i
any governmental instrumentality, during the preceding 60 days.
(2) All items for which prices offered are higher than any l
lower price charged to any other customer during the preceding 60 days are icentified below (including the amount (s) by which such offered prices are higher) ane'. a written justification for the differences is attached.
Items Price Differences
Page 26 RS-NRR-89-t Sec%1on I l
l (List as necessary)
Offer / Proposal No.
Firm Name Title Date (End 'of Certificate)
(b) The Contracting Officer or representatives of the Contracting Officer who are employees of the Government shall have the right to examine and audit all books, records, documents, and other data of the Contractor related to the pricing of the commercial items covered by this offer /oroposal.
The contractor shall make these books, records, documents, and other data available for examination, audit, or reproduction until three years after final payment under this contract.
(c) If any price, including profit or fee negotiated in connection with this contract, or any cost reimbursable under this contract has increased because the certification in paragraph (1) of the Certificate or the information provided as justification in paragraph (2) of the Certificate was inaccurate, incomplete, or misleading, the price or cost shall be reduced accordingly and the contract shall be reduced accordingly and the contract shall be modified to reflect the reduction.
(End of Clause)
I.3 SPECIAL 8(A) CONTRACT CONDITIONS (FAR 52.239-11) (APR 1984)
The Small Business Administration (SBA) agrees to the following:
(a) To furnish the supplies or services set forth in this contract according to the specifications and the terms and conditions hereof l
by subcontracting with an eligible concern pursuant to the
{
provisions of section 8(a) of the Small Business Act, as amended (15 j
U.S.C. 637(a)).
l (b) That in the event SBA does not award a subcontract for all or a part.of the work hereunder, this contract may be terminated either in whole or in part without cost to either party.
1 i
Page 27 RS-NRR-89-C Section I (c) Delegates to the U.S. Nuclear RegulatoryCommission the responsibility for administering the subcontract to be awarded hereunder with complete authority to take any action on behalf of the Government under the terms and conditions of the subcontract; provided, however, that the U.S. Nuclear RegulatoryCommission shall give advance notice to the SBA before it issues a final notice.
. terminating the right of a subcontractor to proceed with further performance, either in whole or in part, under the subcontract for default or for the convenience of the Government.
4 (d) That payments to be made under any subcontract awarded under this contract will be made directly to the subcontractor by the U.S.
Nuclear RegulatoryCommission.
(e) That the subcontractor awarded a subcontract hereunder shall have the right of appeal from decisions of the Contracting Officer
~~
cognizable under the " Disputes" clause of said subcontract.
(End of Clause)
I.4 LIMITATIONS ON SUBCONTRACTING (FAR 52.219-14) (0CT 1987)
By submission of an offer and execution of a contract, the Offeror / Contractor agrees that in performance of the contract in the case of a contract for--
(a) SERVICES (EXCEPT CONSTRUCTION). At least 50 percent of the cost of contract performance incurred for personnel shall be expended for employees of the concern.
(b) SUPPLIES (OTHER THAN PROCUREMENT FROM A REGULAR DEALER IN SUCH SUPPLIES). The concern shall perform work for at least 50 percent of the cost of manufacturing the supplies, not including the cost of materials.
~
The concern will perform at least 15' ~
(c) GENERAL CONSTRUCTION.
percent of the cost of the contract, not including the cost of materials, with its own employees.
(d) CONSTRUCTION BY SPECIAL TRADE CONTRACTORS.The concern will perform at least 25 percent of the cost of the contract, not including the cost of materials, with its own employees.
(End of Clause)
I.5 PAYMENT FOR.0VERTIME 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 50.
In addition to this dollar ceiling, overtime is permitted only for work--
Page 28 RS-NRR-89 t-Section-I' (1)-Necessary.to cope with' emergencies.such as those resulting from accidents, natural disasters, breakdowns of productfon equipment, or occasional production bottlenecks of a sporadic-nature; (2) By indirect-labor employees such as those performing. duties in connection with-administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or accounting; (3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and operations-in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or (4) That will result in icwer overall costs to the Government.
(b) Any request for estimated overtime premiums that exceeds the amount specified above shall include all estimated overtime for contract completion and shall--
(1) 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 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 multi $ift operations or by employing additional personnel.
)
<1 (End of Clause)
I.6 RIGHTS TO PROPOSAL DATA (TECHNILAL)
(FAR 52.227-23) (JUN 1987)
Except for data contained on pages
, it is agreed that as a concition of award of this contract, and notwithstanding the conditions of any notice appearing thereon, the Government shall have unlimited rights (as defined in tne " Rights in Data--General" clause contained in this contract) in and to the technical data contained in the proposal dated upon which this contract is 3
based.
(End of Clause) j
v Page 29 RS-NRR-89-l Section I
'I.7
.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.8 PROMPT PAYMENT.(52.232-25) (APR 1989) 3 Notwithstanding any other payment. clause in this contract, the Government will make invoice payments and contract financing
. payments under the terms and conditions specified in this clause.
Payment-shall.be. considered as being made on the day a check is dated or an electronic funds transfer is made. Definitions of pertinent terms are set forth in 32.902. All days referred to in this clause are calendar days, unless otherwise specified.
(a) Invoice Payments l(1) For purposes of this clause, " invoice payment" means a Government disbursement of monies to a Contractor under a contract or other authorization for supplies or services accepted by the Government. This includes payments for partial deliveries that have
.been accepted by the Government and final cost or fee payments where amounts owed have been settled between the 'dovernment and the Contractor.
(2) Except as indicated.in subparagraph (a)(3) and paragraph (c) of this clause, the due date for mcking invoice payments by the designated payment office shall be the later of the following two q
events:
1 (i) The 30th day after the designated billing office has received D
9 y7 a; proper. invoice from the Contractor.
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a.
(ii) The 30th day after Government acceptance of supplies delivered or services performed by the Contractor.
On a final invoice where the payment amount is subject to contract settlement actions, acceptance shall be deemed to have occurred on the effective date of the contract settlement.
However, if the designated billing office fails to annotate the invoice with the actual date 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.
f (3) The due date on contracts for meat and meat food products, L
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:
l W
Page 30 RS-NRR-89-C Section I (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 data for dairy products, as defined in Section 111(e) of the Dafry Production Stabilization Act of 1983 (7 U S.C.
4502(e)), edible fats or oils, and food products prepared frem edible fats or oils, will be as close as possible to, but not later than the 10th day after the date on which a proper invoice has been received.
(4) An invoice is the Contractor's bill or written recuest for payment under the contract for supplies delivered or services performed.
An invoice shall be prepared and submitted to the designated billing officer specified in the contract.
A proper invoice must include the items listed in subdivisions (a)(4)(1) through (a)(4)(viii) of this clause.
If the invoice does not comply with these requirements, then the Contractor will be notifiec 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 comodities, edible fats or oils, and food prooucts prepared from edible fats or oils).
Untimely notification will be taken into account in the computation of any interest penalty owed the Contractor in the manner described in subparagraph (a)(6) of this clause.
(i) Name and address of the Contractor.' '
(ii) Invoice date.
(iii) Contract number or other authorization for sepplies delivered or services performed (including order number and contract line item number).
(iv) Description, quantity, unit of measure, unit price, and extended price of supplies delivered or services performed.
(v) Shipping and payment terms (e.g., shipment number and date of shipment, prompt payment discount terms). Bill of lading number and weight of shipment will be shown for shipments on Government bills of lading.
(vi) Name and address of Centractor official to whom payment is to be sent (must be the same as that in the contract or in a proper
" Page 31; RS-NRR-89-0 Section'I y
notice of assignment).
_.(vii) Name (where practicable), title, phone number and mailing address of person'to be' notified in event of a defective invoice.
(viii) Any other information or documentation required by other requirements of the contract (such as evidence of shipment).
1 (5) An_ interest penalty shall be paid automatically by the Government, without request from the Contractor, if payment is.not made by.the due date and the conditions listed in subdivisions (a)(5)(i) through-(a)(5)(iii) of this clause are met, if applicable.
An interest penalty shall not be paid on contracts awarded to foreign vendors outside the United States for work performed outside the United States.
(i) A proper invoice was received by the dasignated billing office.
(ii) A receiving report or other Government documentation authorizing payment was processed and there was no disagreement over quantity, quality, or contractor compliance with any contract term or condition.
(iii) In.the case of a final invoice for any balance of funds due the Contractor for supplies delivered or services performed, the amount was not subject to further contract settlement actions between the. Government and the Contractor.
(6) The interest penalty shall be the rate established by the Secretary of the Treasury under Section 12 of the Contract Disputes Act of 1978'(41 U.S.C. 611) that is in effect on the day after the due date, except where.the interest penalty is prescribed by other
- governmental authority. This rate is referred to as the
" Renegotiation Board Interest Rate," and it is published in the Federal Register semiannually on or about January 1 and July 1. The
-. - 1,nterest. penalty shal) accrue, daily on the.. invoice payme,nt amount
.4 m.
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 tdjusted by subtracting the number of days taken beyond the prescribed notification of defects period. Any interest penalty owed the Contractor will be based on this adjusted due date. Adjustments will be made by the designated payment office for errors in calculating interest penalties, if requested by the Contractor.
(i) For the sole purpose of computing an interest penalty that might be due the Contractor,. Government acceptance shall be deemed to have occurred constructively on the 7th day (unless otherwise specified in this contract) after the Contractor delivered the I
i
________._____m___._.-__._._-_____________--_________________________.___.________...______.m
__.__.m_________
Ptge 32 RS-NRR-89-C
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 accepta9ce period, the determination of an interest penalty shall be based on the actual'date of acceptance.
The constructive acceptance requirement does not,_however, compel
=!
Government officials to accept supplies or services, perform contract administration functions, or make payment prior to fulfilling their responsibilities.
(ii) The following periods of time will not be included in the determination of an interest penalty:
(A) The period taken to notify the Contractor of defects in invoices submitted to the Government, but this may not exceed 7 days
- (3 days for meat and meat food products and 5 days for perishable agricultural commodities, dairy products, edible fats or oils, and food products prepared from edible fats or oils).
(B) The period between the defects notice and resubmission of the corrected invoice oy 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 peralties are not required on payment delays due to disagreement between the Government and Contractor over the payment amount or other issues involving contract complier.ce or on amounts temporarily withheld or retained in accordance with the terms of the contract. Claims involving disputes, and any interest that may be payable, will be resolved in accordance with the clause at 52.233-1, Disputes.
-(7).An-interest penalty shall also be paid automatically by-the 4
designated payment office, without request from the con ~ tractor, if a discount for prompt payment is taken improperly.
The interest penalty will be calculated as described in subparagraph (a)(6) of this clause on the amount of discount taken for the perioc beginning with the first day after the end of the discount period through the data when the Contractor is paid.
(8)
If this contract was awarded on or after October 1,1989, a penalty amount, calculated in accordance with regulations issued by the Office of Management and Budget, shall be paid in addition to the interest penalty amount if the Contractor-(1)
Is owed an interest penalty; (ii)
.s not paid the interest penalty within 10 days after the date the invoice vrount is paid; and (iii) Makes a written demand, not later than 40 days af ter the
Page 33 RS-NRR-89-0 Section 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" means a Government disbursement of monies to a Contractor under a contract clause or other authorization prior to acceptance of supplies or services by the Government. Contract financing payments include advance payments, progress payments based on cost under the clause at 52.232-16, Progress Payments, progress payments based on a percentage or stage of completion (32.102(e)(1)) other than those made under the clause at 52.232-5, Payment: Under Fixed-Price Construction Contracts, or the clause at 52.232-10, Payments Under Fixed-Price Architect-Engineer Contracts, and interim payments on cost type contracts.
(2) For contracts that provide for contract financing, requests for payment shall be submitted to the designated billing office as specified in this contract or as. directed by the Contracting Officer. Contract financing payments shall be made on the (insert day as prescribed by Agency head; if not prescribed, insert 30th day) day after receipt of a proper contract financing request by the designated billing office. In the event that an audit or other reyiew of a specific financing request is required to ensure comoliance with the terms and conditions of the contract, the designattd payment office is not compelled to make payment by the due data specified.
(3) For advance payments, loans, or other arrangements that do not involve recurrent submissions of contract financing requests, payment shall be made in accordance with the corresponding centract terms or as directed by the Contracting Officer.
(4) Contract financing payments shall not be assessed an interest penalty for payment delays.
(c)
If this contract contains the cla.use at 52.213-1, East,,
Payment Procedure, payments will be made within 15 days after the
, date of receipt of the invoice.
(End of Clause) l I.9 DISCOUNTS FOR PROMPT PAYMENT (52.232-8) (APR 1989)
(a) Discounts for prompt pavment will not be considered in the evaluation of offers.
However, any offered discount will form a part of the award, and will be taken if payment is made within the discount period indicated in the of fer by the offeror. As an i
alternative to offering a prompt payment discount in conjunction
]
with the offer, offerors awarded contracts may include prompt payment discounts on individual invoices. (b) In connection with any f
discount offered for prompt payment, time shall be computed from the j
date of the invoice.
For the purpose of ccmputing the discount
{
earned, payment shall be considered to have been made on the date which appears on the payment check or the date on which an electronic funds transfer was made. (End of Clause) l
e r-
'RS-NRR-89-C Sec21ond I.10 ELECTRONIC FUNOS TRANSFER PAYMENT METHODS (52.232-28) (APR 1989)
Payments under this contract will be made by the Government either by~ check or electronic funds transfer (through the Treasury Fedline Payment System (FEDLINE) or the Automated Clearing House (ACH)), at the option of.the Govern =ent.
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 I
1 Government official, as directed.
1 (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 nu=ber for wire transfers of the financing institution receiving pay =ent if the institution has access to the Federal Reserve
~
Cc==unications System.
(3) Payee's account nu=ber at the financial institution where funds are to bn transferred.
(4) If the financial institution does not have access to the Federal Reserve Cc==unications System, name, address, and telegraphic abbreviation of the correspondent financial i
institution through which the financial institution receiving payment obtains wire transfer activity.
Provide the telegraphic abbreviation and American Bankers Association identifying number for the correspondent Lastitution.
~
(b)'For payment through ACH, the Contradtcr sha11' provide the following infor=ation:
(1) Routiag transit number of t.ne financial institution receiving payment (same as Americ tn Bankers Association identifying number used for FEDL1!!E).
(2) Nu=ber of account to which funds are to be deposited.
(3) Type of depositor account ("C" for checking, "S" for s avings ).
(4) If the Contractor is a new enrollee to the ACH system, a
" Payment Information Form," SF 3881, must be co=pleted before pay =ent 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 infor=ation specified above must be received by the appropriate i
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o-n,
Page 35 i
- Ri-NRR-89-Of Section I l
-(d) The documents furnishing the information required in this-cisuse must be dated and contain the signature, title, and telephone number of the' Contractor official authorized to provide r
as well as the Contracter's name and contract number.
it,
_(e) Contractor failure to properly designate a financial institution or to provide appropriate payee bank account information may delay payments.of amounts otherwise properly due.
(End of Clause).
I.11 DRUG-FREE WORKPLACE (FAR 52.223-6)
(a) Definitions. As used in this clause,
" Controlled substance" means a controlled substance in schedules I through V of section 202 of the Controlled Eubstances Act (21 U.S.C. 612) and as further defined in regu;ation at 21 CFR
.1308.11-1308.15.
" Conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of
~
the Federal or' State criminal drug statutes.
" Criminal drug statute" means a Federal et non-Federal criminal statute involving the manuf acture, distribution, dispensing, possession or use of any controlled substance.
" Drug-free workplace" means a site for the performance of work-I done in connection with a apecific cuntract at which employees of the contractor are prohibited from engaging in the unlawful manuf acture, distribution, dispensing, possession, or use of a centro 11ed substance.
" Employee" means an e=ployee of a contractor directly engaged j
in the' performance of-work unde,r a. Government contract.
" Individual" means an offeror / contractor that has no more than l
ene employee including the offeror / contractor.
(b) The Contractor, if other than an individual, shall --
(1) Publish a statement notifying its employees that the j
1 unlawful manuf acture, 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--
l (1) The dangers of drug abuse in the workplace; (ii) The contractor's policy of maintaining a drug-free l
workplace;
{
co-~
- s-mocoomnomm naa
RS-NRR-89-0 Section I (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 amployment on this contract, the employee will --
(1) Abide by the terms of the statement; and (ii) Notify the employer of any criminal drug statute l
conviccien for a violation occurring in the workplace no later than five (5) days after such convicti:n.
(5) Notify the contracting officer within ten (10) days after receiving notice under subdivision (a)(4)(ii) of this clause, frem 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, impoce 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
,s drug abuse assistance or rehabilitation program accroved for such r
purposes-by a Federal, State, or local health, law enforcement, or other' appropriate agency.
(7) Make a good faith effort to scintain a drug-free workplace through i=plementation of subparagraphs (b)(1) through (b)(6)cof n.
this clause.
1 (c) The Contractor, if an individual, agrees by award of the contract or acceptance of a purchase order, not to engage in the unlawful =anufacture, 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 sranension of centract payments, termination of the contract for default, and suspension or debarment.
(End of Clause)
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's :
.p) e Page 37-lRS-NRR-82-0 Section.J
- PART III
' LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS..
SECTION J - LIST.OF ATTACHMENTS i
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J.1
-ATTACHMENTS (MAR 1987)
Attachment Number Title 1
Billing Instructions 2
NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) 3 NRC Manual Chapter 3202 4
Standard Form 1411 with Instructions
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4
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(REVISED - 4/89)
BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS a
General..The contractor shall submit vouchers for cost-reimbursement in the manner and format described herein and as illustrated in the sample voucher.
A copy of all supporting documents must be furnished with each copy of your invoice / voucher.
Failure to furnish these copies may result in a delay in payment.
Number of Copies.
An original and three copies, with supporting documentation attached to each copy, should be mailed to:
US Nuclear Regulatory Commission Division of Accounting and Finance ATTN:
GOV /COM Accounts Section Washington, DC 20555 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 attached sample entitled " Voucher for Furchsses 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 Orderinn Contracts..
The contractor shall provide detailed cost information for each task order with each invoice submission.
This includes all applicable cost elements discussed in paragraphs (h) through (o) of the attached instructions, together with appropriate 4
,)
supporting information.
?
Billing of Costs After Expiratien of Contract.
If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited.
Currency.
Billings may be expressed in the currency normally used by l.
the contractor in maintaining his accounting records; payments will be l
made in that currency.
However, the U.S. dollar equivalent for all l
invoices paid under the contract may not exceed the total U.S. dollars authorized in the contract.
Supersession.
These instructions supersede all previous billing instructions.
INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACTS 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 Namo and Address.
Address the original and 3 copies of the voucher, with supporting documentation attached to each copy, to:
U.S. Nuclear Regulatory Commission, Division of Accounting and Finence, ATTN: GOV /COM Accounts Section, Washington, DC 20555 Any questions regarding vouchers yet to be paid by the NRC should
.e 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 Sce.tracting 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 th, name and addres of the payee.
Indicare 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 - List the full title of the project being performed under this contract.
3 (c) Voucher Number - Insert the appropriate serial number of the voucher beginning with 001 for this contract.
Contractors may also include individual internal accounting numbers in addition to the three digit number.
(d) Date of Voucher - Insert the date the voucher is prepared.
(e) Contract Amount - Insert the total estimated cost of the contract, exclusive of fixed-fee.
(f) Fixed-Fee -Insert total fixed-fee (where applicable).
(g) 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.
V 1 '.
1 (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:
l l
Labor Labor Hours Hours Cumulative l
Category Negotiated Billed Rate Total Hours Billed l
(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 benefits included in direct labor or in other indirect cost pools should not be identified here.
(3) Direct Equipment - For educational institutions, list each item costing $500 or more and having a life expectancy of more than one year.
For contractors other than educational institutions, list each item costing
$200 or more and having a life expectancy of more than one yeer.
List only those items of equipment for which reimbursement is requested.
A reference shall be made to the folicwing (as applicable):
(a) the item number for the srscific piece of equipment listed in the property schedule of the contract; (b) the Contracting Officer's approval letter if the equipment is not covered by the property schedule; or (c) be preceded by an asterisk (*) if the equipment is below the approval level. Further itemization of vouchers shall only be required for items having specific limitations set forth in the contract.
(4) Materials. Supplies, and Other Expendable Items -
These are consumable materials, supplies, and equipment
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.other than,th,at described in (3) above.
(5) Premium Pay - This is remuneration in excess of the basic hourly rate.
(Requires written approval of the Contracting Officer.)
(6) Consultant's Fee - The supporting information must include the name, hourly or daily rate of the consultant, and reference the NRC approval (if not specifically approved in the original contract). !
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(7) Travel - Domestic travel is travel within the United States, its territories, possessions, and Canada.
It I
should be billed separately from foreign travel.
All costs associated with each trip must be shown in the following format:
Date Traveler Destinatfor, Purpose. Cost From To From To l
(8) Subcontracts - Include separate detailed breakdown of all costs paid to approved subcontractors during the billing period.
(9) Other - List all other direct costs by cost element and dollar amount separately.
(i)
Indirect Costs--Overhead - Cite the formula (rate snd 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 cumulative periods.
l (n) Adjustments - This includes cumulative amounts billed that l
have been suspended or disallowed.
(o) Crand Totals l i
PART 20-1 -- dENERAL Subpart 20-1.54--Contractor 0 organizational Conflicts of Interest
~
9 Sec.
20-1.5401 Scope and policy.
L4
?.0-1.5402 Definitions.
20-1.5403 Criteria for recognizing contractor organizational conflicts of interest.
20-1.5404 Representation.
20-1.5405 Contract clauses.
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20-1.5405-1 General contract clause.
20-1.5405-2 Special contract provisions.
20-1.5405 Evaluation, findings, and contract award..
20-1.5407 Conflicts identified af ter award.
20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-1.5410 Subcontractors.
20-1.5411 Waiver.
20-1.5412 Remedies.
AUTHORITY:
Sec. 8, F.:b. L.95-601, adding Sec.170A to Pub. L.83-703, 63 Stat. 919, as amended (42 U.S.C. ch. 14) 120-1.5401 Scope and Policy (a} It is the policy of the U.S. Nuclear Regulatory Comission (NRC) to avoid, eliminate or neutralize contractor organizational conflicts of interest.
The NRC achieves this objective by requiring all prospective contractors to submit information describing relt.tionships, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award, j
(b)
Conwactor conflict of interest determinations cannot be made f
automatica11:
- routinely; the ap' plication of sound jddgment on' virtually a case-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest.
It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise; however, examples are provided in these regulations to guide application of the policy.
NRC contracting and program officials must be alert to other situations which may warrant application of this policy guidance.
The ultimate test is: Might the contractor, if awarded the contract, be placed in a position where its judgment may be biased,,
or where it may have an unfair competitive advantage?
4 (c) The conflict of interest rule contained in this subpart applies ter contractors and offerors only.
Individuals or firms who have other relationships with NRC (e.g., parties to a licensing proceeding) are not covered by tnis regulation.
This rule does not apply to the acquisition of consulting services through the personnel appointment crocess, HRC
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7590-01 agreements with other govbrnment agencies, Oternational
- rganizatiens.
o l
or state, local or. foreign governments; seprate procedures for avoiding
)
conflicts of interest will be employed in such agreements, as appropriate.
h20-1.5402 Definitions
-(a) " Organizational conflicts of interest" means that a relationship l
exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC __
i 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)
"p,esearch" 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 serv 1ces" means internal assistance to a component of the NRC in the formulation er
~
administration of its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available to the public or proprietary information.
Such services typically include assistance in the preparation of program plans; an.d preparation of preliminary designs, specifications, or statements of work.
(e') " Contract" means any contract, agreement, or other arrangement l
with the NRC except as provided in Section 20-1.5401(c).
(f)
" Contractor" means any person, firm, unincorporated association, joint venture, :o-spons.or, partnership, corporation, affiliates thereof, or their scccessors in interest, including their chief executives,
. directors, key personnel (identified in the contract), proposed consultants
.I
~ or subcontractors, which is a party to a contract with the NRC.
(g)
" Affiliates" means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party i
controls or has the power to control both (41 CFR 51-1.605-1(e)).
.(h)' " Subcontractor" means any subcontractor of any tier which l
performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of 510,000 or less.
i I
(1)
" prospective contractor" or " offeror" means any person, firm,
'i unincorporated association, joint venture, partnership, corporation, or i
affiliate 4 thereof, including its chief executive, directors, key personnel (icentifi?d in the prcposal), proposed consultants, cr subcontractors, submitting a bid or proposal, solicited or unso1' cited, to the NRC to ct:ain a contract.
2 i
l L___----_-____.___-__--___.___________-____-_.
L 7590-01 (j)
" Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract.
The tem " potential conflict of interest" is us*.4 to signify those. situations which merit investigation prior to contract t. ward in order to ascertain whether award would give rise to an actual conflict or which must be reported.to the contracting officer for investigation if they arise during contract performance.
I20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General.
Tuo questions will be asked in detemining whether actual or potential organizational conflicts of interest exist:
(1) Are there conflicting roles which might bias a contractors 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?
'he ultimate determination by NRC as to whether organizational conflicts of interett exist vill be made in light of comon sense and good business judgment based upoi the relevant facts d 4 closed and the work to be perfomed. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships -
which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that 1hy direct groundwork for the NRC's decisions on regulatory activities, future procurement, and l
research programs.
(b)
Situations or relationships which may give rise to organizational (1) The offeror or contractor shall disclose conflicts of interest.
information concerning relationships which may give rise to organizational conflicts of interest uncer the fo'. lowing circumstances:
(1) Where Oe offerer or contractor provides advice and recommendations to ths NRC in a technical area in which it is also providing const., ing
- w..
assistance in the same araq, t:t any, organization regulated by the h..
(ii) Where the offeror or contractor provides advice *co the NRC on the same or similar matter in which it is also providing assistance to any organization regulated by the NRC.
(iii) Where.the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offeror or contractor has been substant ally involved in their development or d
marketing.
(iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor. - _ - - _ __ _ _ _ - - -
i y
7590-01
.(2), The contracting officer may request specific information from an offeror or contractor or may require special contract provisions such as provided in 120-1.5405-2 in the following circumstances:
(i) Where the offerer or contractor prepares specifications which are to be used in competitive procurement of products or services covered by such specifications.
(ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurement using such approaches or methodologies.
(iii) Where the offeror or contractor is granted access to infomation 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 information of its competitors.
(v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor.
(c) Policy application guidance.
The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations.
(1) Example.
The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically well qualified.
In response to the inquiry in the RFP, the XYZ Corp.
advises that it is currently performing similar analyses fer the reactor manufacturer.
Guidance. An NRC contract for that particular work nomally would not be awarded to the. XYZ Corp.-because -it would be placed in a position in which its judgment could be biased in relationship to its work for 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 advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various projects for several different utility clients.
4ne 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.
l. _ _ _.
. c 7590-01 Guidance. An NRC contract nomally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work.
An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector which could create a conflict.
For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.
L (3)
Example. As a result of operating problems in a certain type of connercial 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 j
has extensive experience with that type of plant.
Consequently, that company is the only one sith whom NRC can contract 'thich can develop and conduct the testing programs required to obtain the data in reasonable time. That company has a definite interest in any 1RC 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 o4 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)
Exampl e.
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 specifi-reactor s,.
' ~ ~
component.
Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes information to ',nt cont actor for the performance of contract work, it shall not be used in the contractor's private activities unless such information is generally ava 'lable to others.
Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the contract is proposed to be used. - - - _- - __
7590-01 (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 120-1.5405-1(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, eliminata, ot neutralize any potential organizational conflicts arising from the cer'ormance of a contract is not relevant to a determination of the exi;tence 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 provision..shall be included.in all.
solicitations and unsolicited proposals for:
(1)' Evaluation services or activities; (2) technical consulting and management support services; l
(3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in toe resulting contract.
This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the " changes" clause.
Where, however, a statement of the type required by the organizational conflicts of l
interest representation provision has previously been submitted with q
regard to the contract being modified, only an updating of such statement j
shall be required.
j
.) _ _ _ - _ _ - _ _ _ _ _ _ _ - _ _ _ _ _ _ _ _ _ _
7590-01 i
ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION f
I represent to the best of my knowledge and belief that:
The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR I20-1.5403(b)(1).
(c)
Instructions to 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 tha& potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer.
If the contracting officer determines that organizational conflicts exist, the following actions may be taken:
(i) Impose appropriate conditions which avoid such conflicts, (ii) disqualify the offeror, or (iii) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of
$20-1.5411.
(2) The refusal to provide the representation required by 120-1.5404(b) or upon request of the contracting officer the facts required by'520-1.5404(c), shall result in disqualification of the offeror for award.
The nondisclosure or misrepresentation uf 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 specifit kinds of work from m
~
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 werk to the detriment 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 5 20-1.5405 Contract clauses s 20-1.5405-1 General contract clause 1
l i __- ____-_-___- _____-___ -
[
7590-01 All contracts of the types set forth in i20-1.5404(b) shall include the following clauses:
1 (a)
Purpose.
The primary purpose of this clause is to aid in ensuring that the contractor:
(1) Is not placed in a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this centract, and (2) does not obtain an unfair competitive advantage ove" 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 l
5 20-1.5402(f) in the actitities covered by this clause.
(c) Work for others.
Notwithstanding any other provision of this contract, during the tem of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with any fim or organization, the result of which may give rise to a conflict of interest with respect to the work being perfomed under this contract.
The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause.
If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.
(d)
Disclosure after award.
(1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any or anizational conflicts of interest, as defined in 41 CFR 520-1.5402 a).
.,(2). The contractor agrees that if after award it discovers organiza,tional-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 not been released to the public, the contractor agraes not to: (i) Use such information for any private purpose until the information has been released to the public; (ii) compete for work for the Corm 11ssion based _ _ - _ _ - _ _ _.
a s.
p 7590-01 on such information for a period of six (6) months after either t' e h
completion of tnis contract or the release'of such information to the public, whichever is first, (iii) submit an unsolicited proposal to the government based on such information until one year after the release of such information to the public, or (iv) release the information without
~
prior written approval by the contracting officer unless such information has previously been released to the public by the NRC.
(2)
In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the i
contractor shall treat such information in accordance with restI ctions 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 tnis contract have been met.
(f)
Subcontracts.
Except as provided in 41 CFR 3 20-1.5402(h), the contractor shall include tnis clause, including this paragraph, in
. subcontracts of any tier.
The" terms " contract," " contractor," and
" contracting officer," shall be appropriately modi #ied to preserve the pvernment'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 contracter from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract.
~
x
., ~,
' (rif Waiver.
A request for waiver under thi's' clause'shall be directed in writing through the contracting officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 120-1 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 320-1.5411, neutralized through the use of an appropriate special contract provision.
If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction. These provisions include but are net limited to:
.g_
i
(1)
Hardware exclusion cla'uses which prohibit the acceptance of production contracts following a related nonproduction contract previously performeo by the contractor; (2)
Software exclusion clauses; (3)
Clauses which require the contractor (and certain of his key personnel) tr a void certain organizational conflicts of interest; cnd L
(4)
Clases which provide for protection of confidential data and guard against its unauthorized use.
(b) Thr following additional contract clause may be included as section (i) ia the clause set forth in5 20-1.5405-1 when it is determined t
that award of a follow-on contract would constitute an organi:ational conflict of interest.
(i)
Follow-on effort.
(1) The contractor shall be ineligible to participate in Np,C 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 cny tec.'nical consulting or management support services work or evaluation activities under this contract on any of its products or services or'the produ:ts or services'of anotner firm if the contractor has been substantially involved in the development or aarketing of such p'roducts or services.
(2)
If the contractor under this contract prepares a complete or essentially complete. statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial contractual effort which is based on such statement of work or specifications.
The contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not apply.
~'
~~
(3)
Nothing in this paragraph shall preclude the contractor from offering or selling its standard commercial items to the government.
! 20-1.5406 Evaluation, findings, and centract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of !20-1.5404(b) and other relevant.information.
After evaluating this information against the criteria of ! 20-1.5400, 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, tnen tne contracting officer shall eitner:
(a)
Disqualify the offeror from award, _ _ _ _ _ _
7590-01 (b)L Avoid or eliminate such conflicts by appropriate measurer; or (c) Award the contract under the waiver provision of 5 20-1.5411.
570 n.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 120-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict.
120-1.5408 (Reserved) s20-1.5409 (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) frem 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 aftdr consultation 'with theJ0ffice of the General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do s o..
Such action shall be strictly limited to those situations in which:
(1) The work to be performed under contract is vitsi to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and (3).
contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict.
For any such waivers, the justification and approval documents shall be placed in the Public Document Room.
7590-01
!i20-1.5412 Remedies In addition to such other remedies as may be permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this'section, the NRC may debar the contractor from subsequent NRC contracts.
Dated at Washincten. D.Cthis 27th day of March 1979.
For the Nuclear Regulatory Commission
- chaht Samuel 0. Chilk Secretary ofl the Commission
=.
. l..
Form NRC.469 (1 76)
U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL o
TRANSMITTAL NOTICE CHA?2.5 NR:-3202 722CA"205 OF TEGNICAL REPORTS FEPAFZD BY NE C0!C? ACTORS, INCLUDING EPORTS PEPAED UNDER OR T,4Ir.
- n. 3~L..m.
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=. ~ae $ w.
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v SUPERSEDED:
TRANSMITTED:
Number Date Number Date TN
?.200-21 Chapter NR:-32:2 h/29/82 Chapter NRC-3202 6/29/56 Page Page E2~3222 b/29/b' Appendix
'??NIU k/29/E2 Appendix REM ARKS.
This recisi r. cf Cha;ter 32:2 expands the chapter fr:m coverace of un::assified reper:s :: include the afr. irs and hand 11r.g of sensitive unclassified irle matier. (Cfficial Use Cr.ly and Li..ited Official Use Inft:-ati:r., Safe!.:sMs Ir.f =Etter., Frc;rieta~j Infc.Tation) and classified irferation (Tcp Secret, Secret, and Confidential).
A se:tien has als: teer. added :: set fenh procedures for the handlini cf unclassified rep r:s Or. N co0 perative prop a :s with forei;:7.
g:ve:-..er,ts Fr.d :: Tar.icatier.s and with U.S. industry.
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U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL volu~e:
3000 Ir.f ormation an:: Foreign Activities Fa-t 3200 Technical Information and Document Control ADM CH APTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO. INTERAGENCY AGREEMENTS 02? -Ci COVEEAGE Th:2 enapter and it s append:x handbook establish respon sibil: ties, basic rec;uiremen t s. standards and procedures for the documentation, production and d:s sem:na tien of technical reports prepared by NRC con sult = n ts and grantees and by NEC contractors and their subcontractors, including reports prepared uncer er pursuant to interagency agreements or memorandums of un d ers tan d r.g These reports are hereaf ter referred to as contractor re-pcris Tna chapter does not ecver NRC staff-generated documents. NRC dccket ma t e rial. or the documents generated by NRC boards, panels.
f ad'.:ssrv c:mmitees and Offices that report to the Commission.
5 32DS-C2 OBJECT!VES C21 tc assure production and dissemination of technical reports as
- ,equired by the Energy Reorganization Act of 1974 and the Freedom of Infor-r c h t. '. " A;'
022 tc assure that diss< n.ination of technical reports is consistent with j
requirements for pubhc availability of information.
022 to assure' tha*t natNnal security, patent rights,' copyrights p'roprie -
tary righa anc righ t s 2r other sensitive unclassified inf ormatic n are not courpromised by the release. distribution, or dissemination of technical reports from NRC.
l 024 to assure that formal NRC contractor reports will carry the regis-tered NRC designation NUREG/CR or NUREG/CP as the prime identification.
02fi to provide for coordination of press or other media releases.
3202-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director. Office of Administration.
a.
de elops and maintains, in consultation with Directors of Offices and Divisions and Regional Administrators, NRC standards, proce-deres and guides for the production and dissemination of technical contractor reports.
Approved : August 29, 1984
\\
j PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS b,
periodically surveys report activities throughout NRC to ascertam 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 l
Control:
develops and administers a central report control system for identi-a.
fyin g, printmg and distributing contractor reports and responding to requests for unclassified reports, b.
develops and maintains guides and standards for the documentation.
Termattin g, printing, dis semination, and public sale of unclassified centractor reports.
l c.
assures that a system exists for review of unclassified contractor reports for adherence to patent, copyright and disclosure policies pnor to dissemmation.
d estathshes and administers interagency agreements necessary for the dissemmation and pubbe sale of unclassified contractor reports anc controls dupheation and prmting of contractor reports to assure adherence to the Government Prmting and Bindin g Regulations issued by the Joint Committee on Print:r g (JCP), Congress of the United States.
e.
m response tc requests of Directors of Offices and Regional Ad=mistrators, establishes distribution data banks, maintains official standard distribution lists for automatic distribution of unclassified centractor reports, and controls distribution to assure adherence tc the Government Prmtlng and Bmding Regulations. the Pnvacy Act,
and the Freedcm of Information Act.
033 Directors cf Offices and Ru-ional Administrators:
- a. ' es'tablish the centrr t ' or'. Standard Order for Work
- rrorisions.
~
w meludmg those regt red by this chapter and its appendix; Chapter NRC-3203, Distribuuon of Unclassified NRC Staff-and Contractor-Generated Documents and its appendix; Chapter NRC-0260, Print-in g, Copyin g, Graphics and Photography and its appendix ; and Chapter N R C-1102, Procedures for Placement of Work with the Department of Energy. In the Statement of Work:
(D specify what reports will be reviewed for policy, management.
and legal issues by NRC staff in draf t 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, meluding the tyoe of disclaimer to be used in addi-t ion to the standard government disclaimer (see Exhibit 6).
"In the case of DOE work. this is NRC Form 173, Standard Order for DOE Work See Chapter NRC-1102.
Approved ; August 29, 1984 i
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 <.ssemination of the reports.
If DOE contractors are to be aut..orized to make the reviews, designate the contractor officials who are authorized to sign
~
NRC Form 426A prior to NRC distribution of reports (see Appendix, Part IV).
Assure that sensitive unclassified and classified reports are marked and handled properly (see Appendix, Part V).
(3) specify that all formal reports carry NUREG/CR or NUREG/CP numbers as the prime identification, as iUustrated in the append:x.
44 specify whether fermal reports shall be printed by NRC or ne contractor if the contractor has a JCP-authorized federal prmt-ing plant (see Appendix. Parts 11 and IV).
(5
.pe cif y that all formal reports required by SRC shau be
~
distributed by NRC (E) establis h the number of copies the contractor may reta:n or
(
request for internal and external distribution and charge i
a gains t NRC. Written justification must be provided, and approval obtained of the NRC JCP representative (the D: rector.
Division of Technical Information and Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reports.
/
(Ti assure the protec tion of classified and sensitive unclassified mformatten. if ar y, in contJ8ctor report 5 (See ^PPen dix -
Part V).
~b..
assure adhe:
3 ' to,i5s<truction5 an-d authorizations regarding the
~
reprocuct::r i dis ibution of reports.
1
,r c.
reccmmend standard distribution category (ies) for contractor reports tc the Division of Technical Information and Document Cont rol.
d.
provide changes to the official standard distribution lists to the Division of Technical Information and Document Control.
establish procedures for review cf contractor's proposed press and e.
other media releases.
034 The Office of the Executive Leral Director provides leral review anc acvice to NRC staff on questions regardmg mventions, patents, proprietar: in forma tion, use cf copyrighted material, national security, and g-other sensitive unclassified and classified information.
035 The Director. Office of Public Affairs, upon request of the project manager, reviews proposed contractor's press or other media releases for appropriateness s.
Approved: August 29, 1984
__m..
_________._-__.____..._._________________-_m.
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-03C UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS 036 The D2 rector. D2 vision of Security a.
administers the otterall information security program which includes management of the security classification program and other programs for the protection of sensitive unclassified information.
b a dvise s staff of NRC Offices and Regions on the preparat;on and handhng of reports containing classifiec;, proprietary and other sen-sitive unclassified ;ntermation.
037 The Director. D2 vision of Contracts; a.
coordmates the flow ef all reports to and from contractors (other than DOE contractors) where such reports may result in alterations in '.he terms and conditions of applicable cor. tracts as they pertain repcrt producticn and distribution.
t
,dvsses the centractor as to the source and method for obtaining reports required frcm the government for performanc e of the centract c.
prevides contractor with ecpies of NRC Chapters 0260. 3202, 3203.
3207. and 3:10, when appropriate.
d.
determmes when requests for proposals and invitations for bids, as we'; as subsequent contracts, should include statements requ2 ring contractor compliance with Chapters NRC-3202, 3207. and 3210 and the Government Prmttng and Binding Regulations.
e-ensures that approp:iatt clauses are included 2n contracts regarding the private use and protection of classified, proprietary and other sensitive unclassified in'ormation.
3202-04 DEFIN:TIONS"
.c a
camera-ready cog"- aages ready for printing by the offset printing- -
04:
process. Tnts is a coDoquial t erm used even though the printing process may not involve the so-called copy camera (see also reproducible masters).
042 central report control system - means for developing and maintaining the pohcies, procedures and guides needed to identify and produce regulatory and technical reports and to assure adherence to requirements and standards for documentation, formatting, printing and distribution.
record of work done (a report) prepared in 043 contractor report accordance with the provisions of a contract or under or pursuant to an interagency agreement.
"Words underscored in definitions are also defined in hst.
Approved: Au gust 29, 1984
m PUBLICATION.0F TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC-3202-044 -
0441 copyright - a form 'of protection provided by the laws of the United States ' (Title li. U,S. Code) to the authors of " original works of autnorship" including literery, dramatic, musical, artistic, and certain other intellectual
..^
works. This protection is available to both published and unpubhahed works.
Copyrighted material may not be reproduced without the permission of the author er publisher 045 disseminate - to announce the publication of reports and make them available for free distribution, sale or copying.
046 distribute - to dispense reports to specific organizations and indi-viduals to assure their participation in the regulatory process and support of research ' and technological investigations. Such distribution may be accom-plisne:i t,y the use of standard distribution data banks established and main-tained < by 'the Division of Technical Information and Document Control based on the requests cf the originating Office or Region.
047 documentation - classification and associated markings required for clas sified or sens:tive unclassified documents, the NRC report number unique.to the report, title land subtitle, if any), author or correspondent (if any). organization identification and contract number (or FIN number), date and availability
[
04S draft er final material for inclusion in " Safety Evaluation Reports" or ' Enytrenmenta' S'ateten's (ES) - written matertal requested for input to SERs or Ess to be issued as NUREGs. Such material may be edited or modi-fied at the d:scretion of the NRC staff.
049 formal technical repots - the final product of research, an original inves tigatwn. c: a signti scar.t compilation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive long-term projects, formal monthly.. quarterly or semiannual and annual peri-odic technical reports may be required. A draft of the final or periodic report
. may. Le requested for commert prior to preparation of th.e camera-ready cops
+
sg.7 0410 NRC project manvie_r.q the NRC staff member responsible for
<e work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement.
examination by legal staff to assure protection 0411 patent review rights in invent >ons.
0412 proprietary informatio2 - trade secrets; privileged or confidential '
research, development, commercial or financial information, exempt from manda-and under tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) 10 CFR Part 9 (Section 9.5); and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.
0413 publicly available documents - information (reports and references)
(
which is available in the NRC Pubbe Document Room (PDR) for public inspec-l tion and copying or available in the public domain.
Approved: August 29, 1984
.~
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED N]C-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 reproducible masters - camera-ready copy which includes (1) origi-nals of line drawmgs (or prmts that can. be copied), (2) glossy prmts of black and white photographs (colored photographs cannot be reproduced).
(3) original typed or printed text, tables, cover, title page, contents and abstra ct, or (4) other forms of the materials listed in (1), (2) and (3) that a prmter can reproduce.
0415' technical reports - information on. the technical aspects of contract work. These may be interim or fmal technical letter reports, draft or final formal technical reports for publication m the NUREG/CR or NUREG/CP series, or draf t o_r Imal material for inclusion in SERs 'or ESs.
0416 technics! letter recorts (also called technical evaluation reports )
- interu. or im61 letters that provide infomation on the technical aspects of contract work.
Interun technical letter reports may be required at various stages of a pro,ect. These reports usually are followed by a final technical letter report or a formal technical report.
Final technical letter reports are usually speed 2ed in situations where the technical work is review and eval-uation of work of others or work to be used by the staff in the licensing and regulation process.
Interim letter reports may include, but are not lunited to, informal (interi:n) progres s 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.
NRC identification used on a report and its 0417 unioue identification attachments, revisions, and supplements that is not used on any other report.
3202-05 B ASIC REQUIREMENTS 051 Applicability y 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 -Bechtse of the unique-requirements-cf-NRC boards:
~ -
panels,
advisory co'mmittee:
and Offices which report directif 'to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Fanel Chairman and, in the case of advisory committees, by the Advisory Committee Management Offiert, or the Commission.
These exceptions do not preclude the use of the t4UREG/CR
)
series designation on reports prepared for these entities that are to be given j
wide public dissemination.
052 Foms. NRC Form 426A, " Publication Release for Unclassified NRC Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-graphie Data Sheet" (Exhibit 7), and NRC Form 190, " Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided in the appendix.
053 Appendix 3202. This appendix contains standards and procedures
,)
for the preparation of reporting requirement portions of Statements of Work, and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements.
a Approved : August 29, 1984
e-s PUBLICAT!ON OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLl' DING REPORTS PREPARED UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NRC-3202-054
~
054 Preparation Requirements a.
Reports to be Printed by NRC. All contractor reports to be prmted by Nhc shall be prepared accordmg 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 prmted by the contra tor (as specified by the contract. a greement, 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 sh311 be sup-plied to the Divisien of Technical Information and Documer.: Cont rol, accompanied by ecmpleted NRC Form 426A signed by the authc rized contractor official. Each such report shall include, as the last p a,,e.
a ecmpleted NEC Fcr= 335.
055 Referen:es The NRC chapters referenced and Nt' REG-0794 (ref j) and NU REG-06. tref
) are a ca.!able from the Divis10n of Technical Informa-tien and Document Contrcl The other pubhcations are available from the Gevernment Prmtmg Office.
a Chapter NRC-0260 " Printing. Copytng. Graphics and Photography "
L Chapter ar.d Appendix NRC-2101. "NRC Security Program c.
Chapter NRC-32C3. " Distribution of Uncla s sifie d NRC Staff-and Cont ractor-Generated Documents. "
d-Chaper NRC-Il0.. " Procedures for Placement of Work w:th the Department of Energy "
e-Chapter NRC-3206. "Nhc Contractor Speeches. Papers and Journal Articles on hegulatory F.CO T.echnical Subjects."
m.
~
f.
Ct.a p t e NEC-32Di,
' Conferences and Conference Proceedmgs. "
- 4 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 tic n s ). Government Printing Office.
i.
Title 5.
U.S.
Code, " Government Organization and Employees. "
Goverr. ment Printing Office.
~
i 5
Approved :
August 29, 1984
4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED l
UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NRC-3202-055
~
'Technica! Writing Style Guide." A. W. Savolainen et al., compilers.
3 US NRC Report NUREG-0650, November 1979, and Supplement 1.
February 1982.
k.
" Protection of Unclassified Safeguards Information," D. J. Kasun.
USNRC Report NUREG-0794, October 1981 Chapter NRC-0255. " Mail Management," and Appendix 0$55. Part Y
' )..
Annex A.
I i
.s -
l i
a 1
1 II i
Approved: August 29, 1984
4 -
PL'BLIC ATION OF TECHNICAL REPORTS PREPARED BY NBC CONTRACTORS. INCLliDING REPORTS PREPARED t*NDER OR Pl'RSl' ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3200 CONTENTS P A *2 E PART !
PREPA:ATION OF. REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS Or WORE FOR CONTRA is. GRANTS AND STANDARD ORDERS FOR 00E WORK A
LIST Cr TECHNICAL REPORT REQUIREMENTS..
1 S.
REQUIREMENTS FOR FORMAL REPORTS.
2 C.
REQUIREMENT 5 FOR DRAFT REPORTS..
2 C.
- LE.
- 5-IN: C',:;A5SI lEC, NON-5ENSITIVE INFORMATION IN CDEN LliERATURE AND PRESENTING PAPERS.........
3 4
E TYP03;A;ny.
- E;;
- i :: iA:NIN: SEN5:TIVE UN;LA551FIED ANC ut e l....' IN u-N...l u,,..
i
~
rau e n -i G.
PUELIS" N UN;.A55: !ED PR;;EEDIN35 0F CONFERENCES 4
AN W Ri.5n0;5.
)
,(
t WRIT N AN: PLEL15HINS UN:LA551FIED 500K5..
5 1
DISTRIBUTION C REFORT5 TO CONTRACTOR 5.,
5 i
COOR:INATION C' PRESS OR OTHER MEDIA RELEASES
- 2..,: n g... t..m.
5 n r L4.. :.. r e.-
4 r
v PAR' :.
UN L45515E0 FORMt.L CONTRACTOR REPORTS TO BE PRINTED BY NRC..
7 7
v u u,,. 7. N.....,.-,u,.
m,.
. 7 1.
A;:licacility 7
2.
F ront Cover i Td litle Page..........
9 3.
Au.ilability Information.
9 A.
Disclaimer.
5.
Previous Reports in Series.
9 9
6.
Abstract..
9 7.
References and Bibliographies......
10 E.
Bibliog-aphic Data Sheet.
10 i
E.
PATENT AC SECURITY REVIEWS...
10 i
1.
Patent Review'.
10 2.
Security Revie..
(
i Approved: August 29, 1954 t
i L-____-___-_________________.
q r
+
V PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued)
PA0!
C.'
PROCEDURES FOR PRINilNG AND DISTRIBUTING...
Il 1.
Printing.............................................
11 2.
. Reprinting..................
11 3.
Distribution of Reports............................
11 EXHIBITS I
i 1.
Sample Cover for Unclassified Formal Contractor-Prepared Reports.
Excluding Those Printed by DOE Laboratories with JCP Authorizec -
Fecerai Printing Plants,.
13 2.
Sam;le Title Page f or Unclassified Formal Contractor-Prepared Re; rts.. Exclucing Those Printed by DOE Laboratories with JCP Asthori:ec Feceral Printing Flants....
14 3.
Sample Cc er f or Unclassified Formal Reports Printed by DOE Lace-ate-ies with JCP Authorized Federal Printing Plants.
15 I
4.
Sample Title Page for Unclassified Formal Reports Printed by DOE Laboratories with JCP Autneri:ec Feceral Printing 15 Plants..
5.
NRC Form 426A, Publications Release........
17 6.
Disclaime-and Availability Statements...
IE 7.
NRC Form 335, Bibliographic Cata Sheet..
19 PART 111 UNCLASSIFIED TECHNICAL LETTER REPORTS...................
21 m,
~
21 ~ -
A :.: FORMT.
e
'~ '-
~~
1.
Applicability.................
21' 2.
Requirements...........................................
21 S.
PATENT AND SECURITY REVIEWS...........
21 4
1.
Patent Review..........................................
21 2.
Security Review....
22 PART li UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR EEGULATORY RESEARCH Bi DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAE PRINTING PLANT 5....................
23 A.
DOCUMENTATION.
23 j
ll' 23 1.
Applicability.
2.
Front Cover and Title Page.
23 Approved :
August 29, 1984 ii j
PUBLIC ATION OF TECHNIC AL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued)
_PAGE 3.
Availability and Price Information....
25 25 4
Disclaimer.
5.
Previous Reports in Series......
25 25 6.
Abstract.
7.
References and Bibliographies..............
26 26 E.
Bibliographic Data Sheet.
26 B.
PATENT AND SECURITY REVIEW 5.
261 1
Datent Review..
26 2
Security Revie..
C.
PROCEDURE 5 FOR PRINTING ANO DISTRIBUTING.
27 27 1
c.-i r ti n g 27 2.
Ee Ficting.
3.
Ctstrication cf Recorts.
27 REcCET5 CONTA:NIN3 SEN5ITIVE UN:LA551FIED AND PART i 29
)
CLA551FIE; Ih:0RMATIO*.
29
(
A.
A;PLI:AEILITY.
E.
0;FICIAL USE ONLi AND LIMITED OFFICIAL USE INFORMATION.
29 30 C.
PR0cRIETA;i INF ORMAT 10'...
32 E
St.r EGO.:C5 INFORGTIO.
31 E.
CLt.55?r!ED INFOPMAi]DN EAn;EIT5
~
E.
Sample Cover for a Contr,.;ter Report Containing Official Use 33 Only Informati:r.
9.
Sample litle 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.
f 11.
Sample Cover f cr a Contractor Report Containing Limited 36 Official Use Information.
12 Sarple Tit'a Fage for a Contractor Report Containing Limited 37 Official Use Information..
s s,
iii Approved: August 29, 1984
s Pl'BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appendt.s 3202 1*NDER OR Pl*RSUANT TO INTERAGENCY AGREEMENTS 1
CONTENTS (Continued)
PAGE 13.
Sam le Ear.t Cover fer a Contractor Report Containing Limited Official Uce Information..........
36 14 Sample Cover for a Contractor Report Containing Proprietary Information Octainee from a U.S.
Organization.....................
39 15.
Sample Cover Page for a Contractor Report Containing Proprietary Inf ormatien Octained f rom a Foreign Source........
40 16.
Sample Title Pege.for a Contractor Repert Containing Prc rietary Information Obtained from a U.S. Organization...
41 17.
Sam;1e Title Page fcr a Contractor Report Containing
-Frc:*ietary Inforcatien Ottaine: from c Fcreign Source....
42 1E.
Sample Ea:i Ccte-fcr a Contractor Report Containing prcerietary Infc.matien.
43 19.
Cover Sheet f er lieports Containing Proprietary Inf ormation.
4:
20.
Sample Cover for a Centractor Report Centaining Unclassified: Safeguares Infor aticn.
45 21.
Sam;:le Title Page fer a Contractor Report Cortaining Unclassified Safeguar:,5 Information.......
4E 22.
Sam le Eack Cove-for a Centracter Repert Containing Unclassified: Safeguar:s Inferratien.
47 23.
Cover Sheet foe a Contractor Report Containing Unclassified Safeguerds Information.
4E
?
PART VI: HAc t!N3 Of t'N"L*551F ED-INFORMi10N ON.NP.C.IC00 PERATIVE
'~
PR03 RAMS WITn FOREIGt. GOVERNMENTS AND ORGANIZATIONS AND W11H IN00STRY..
49 A.
PREPARATION OF DRAFT PRELIMINARY REPORT 5 FOR COMMENT.......
49 B.
DISTRIBUTION BY NF.C PROJEC1 MANAGER5.........................
50 C.
COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT.
50 i
D.
REPORT IDENTIFIERS.................
50
\\
l E.
MAILING TO PROGRAM PARTICIPANTS.........
51 F.
SECURITY..
51 Approve d: Aupst 29.1984 iv
_.-u__.-.
. _ _ _m
..a
i Pl*BL: CATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED l'NDER OR Pl'RSt' ANT 70 INTER AGENCY AGREEMENTS
!'RC Appendix 3202 CONTENTS (Continued)
PAGE Exn1E;iS-20 Sa-:le Cover for a Draft Preliminary Report (Code) for Comment..
52 25.
Trans-itta Letter fr;- Contra:;ter tp NRC Project Manager for 5 ~-
Dra'i Pee'irrine y Report (Code).
26.
Trans-ittal Sheet for Peouesting Mailing to Cooperative Program Participants.
51.
(s t.
~;3
(.
v Approved :
August 29, 1954 l
t
(
e f
I 1
l.".
f 4
0
- f.,' p '
l l
,,v d-1 I
l l
l-l l
i l
l 0
l.
e-
.a:
l 1
a l.
J l
i l
9 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202 PARTI PREPAR ATION OF REPORTING REQUIREMENT PORTIONS OF ST ATEMENTS OF WORK FOR CONTRACTS. GRANTS AND STANDARD ORDERS FOR DOE WORK A.
LIST OF TECHNICAL REPORT REQUIREMENTS technical tepv ts required from each project. task or subtask List the r
as ap pbcable. State when and to whom they should be submitted and what they should contain. These reports may be uncitssified, sensitive unclas sified er cla ssified Standards for each of these categories are presented m Parts !! through V The following defmitions describe the types cf repcris that may be specified.
techn: cal reperts - mformation on the technical aspects of contract wcrk Inese may be mier;m or final technical letter reports, draf' er fma! formal technical re:,cris for pubhcation m the NUREG/CE c:
crat t er fmal material for melusien in SEh3 NUREG, CP s e ries. or c: ESs (see defmanns below).
techmca. letter rercris (also called technical evaluation reperts)
/
mterur. er fmal letters that provide information on the technical
?
aspects of the c;ntract work Interim technical letter reports may be required at various stages of a project.
These mterim letters followed by a final technical letter report or a formal usually are technical report. Fmal technical letter reports are usually specified m situations wh e re the technical work i:, review and evaluation of w c ri. cf ciners er work to bc used by the staff in the licensmg and regulation process. Interim letter reports may melude, but are not limite d to.
inf >rmal (interun) progress reports. quick-look reports. data report s. status summary reports, project descriptions.
.; p-te s t pre d2ctaen s model. verif 2 cat 2cns, ed. ' gttment safety anal-yser s xperiment operatin'g
'p rocedures.
. acility certification repor t s, and test result report s.
These reports must be identif2ed w2th the fmancia' number (FIN) assigned to the project. They are to be identin d with DOE registered report codes.
The num-e not ber of eepies to be prepared and the distribution of those copies will be specified by the project manager.
formal technical reporg - the final product of research, an original mvestigatien. or a significant compilation of information. This pro-duct is a formal technical report for publication in the NUREG/CR or NUREG/CP series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual periodic technical reports may be required A draf t of the fmal or periodic report may be requested for coniment prior to preparation of the camera-ready copy.
t i
1 Approved-August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3222 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Fart 1 UNDER OR PURSPANT TO INTER AGENCY AGREEMENTS
~
draf t or final material for publication or inclusion in SERs. ESs.
wr2tten material requestea for use le_t t ers - er heense amendments m ine SEC heensmg process. Such material may be (1) abstracted m a NUREG report or attached to a NUREG report. (2) attached tc a letter or an amendment to the license, or (3) abstracted and used as necessary by the NRC staff.
NRC recluires patent review and full management review of this material by the performmg organize-12c n.
This material is to be submitted to NRC as a techn2 cal ;etter report addressed to the project manager and identified by the TIN number For purposes of this Part, contracter means a private contractor, con-sultant grantee. ancther State or Federal Agency worki5g under an intera genc y agreement. or a DOE / facility or National Laboratory (cen-tractor) and subcontractors.
B.
REQU:REMENTS FOR FOR'<AL REPORTS If the centractor is te prepare a final formal technical repert fer pubh-cau:n state that it will te printed and distributed by NRC frca camera-
~
ready ccpy sub=2tted by the contractor, unless the werk is Demg cene fe: the Office of Nuclear Regulatory Research by a DOE facihty or Eatc ra tory wan a JCP-autherized printmg plant.
The camera-rendy c e p ', is te be prepared :.n accordance with the provisiens of this appen-d:x. Parts Il and V (fcr contractors other than DOE contractors 1, cr Parts IV and V cf th:s appendix and Chapter 1102 (fer DOE ecntrac-tors ).
A stylt guide is also available free, upen request (NUREG-0052'.
If the report 25 to be prmted by NRC and it is unclassified. the camera-ready copy is to be submitted by the contractor to the Dircetor D:v:s:en ef Technica! *nRrmation and Document Control. NRC. Washmgten.
D.C.
22155. by f:rst class ma:!
For handling of sens:tive unclass:fied and class:f:ed reports see Pzrt V of this appendix and NRC Append:x 2101
{
rnc! ass;f:ed reports prmted for the Office of Nuclear Regulatery Research j
snould be handled in accordance with Parts IV and V cf this append 2x and<or Chapter 1102 -
x-
...n C.
REQUIREMENTS FOR DR AET REPORTS If a draft is desired prior to completion of a final technical letter report.
formal technical report, final material for inclusion in an SER or ES. or i
for ccament by participants in cooperative programs with foreign gov-l ernments and organizations and with U.S. industry, state that requ2re-a ment and the time frame for delivering the final camera-ready copy after f
receiving NRC and/or participant comments on the draf t. State that all draft material should be submitted to the cognizant project manager.
When the contractor is to submit draft material for comment prior to the preparation of the fmal report, state that if there are NRC program and/cr participant comments the contractor will be asked to make changes If agreement on the changes is reached, the NRC manager will author: 2e the centracter to prepare the final copy and submit it to the project if si is a letter report or input to an SER or ES. er to the
- manager, D:recter Divisicn cf Technical Information and Document Contro! if it is Approved :
August 29, 1964 2
1 l
4 9
PUBLIC ATION OF TECHWICAL REPORTS PREPARED BY NRC CONTRACTORS, INCL 1 TING REPORTS PREPARED NRC Appendix 3200 UNDER OR PURSUANT TO IN'JER AGENCY 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 thmgs. to preclude further changes that might nulhfy the agreemt.nt. 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 u:ll be mformed and requested to prepare and sign the NRC Fcrm 426A Also state that if agreement on changes to a formal technical report to be issued m the NUREG/CR series is n_ot reached, the NRC project manager ma'.
request the contractor to prepare the camera-reaoj cop y with, m addition to the standard disclaimer required on all contractor formal reports (see Exhibit 6), any caveats deemed necessary to cover NRC cbject c r >
Such caveats may range from the "The views expressed m this repcrt are not necessarily those of the U.S.
Nuclear Regulatory Comm:s s:sr. ' tc the add: tion of a preface setting forth the NRC opinion or footnotes at appropriate locations withm the text.
State inat if NRC cbjections cannot be covered in this manner, NRC can ref use to pubhsh the report.
In the ca.se of DOE /Nanonal Laboratory reports. the DOE Operancns Office Manager responsible for that labora-tory should be mfermed by the NRC Office Director or Regional Adminis-tratcr cf the decision and the reasons therefor, with a copy to tne
(
Laboratory Director-In the case of another Federal agency. a State, or g
a p::vate contractor the person who executed the contract should simi-la rly be mformed by the NRC Contractmg Off2cer. The contractor is then f ree 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 PUBLISHIN C UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND PRESF.NT;SG P APERS If the contractor s princ: pal invest: gator is to be allowed to publish in
~the'open 1.iterature mr. ad for submitting a fmal report and/or present papers at pubhc cr as ociation meetings durmg the course of the work.
add the fol]owing stateuent to the Statement of Work:
The principal in cestigator(s) may publish the results ef this work in the open literature instead of submitting a final report and/or present paper, at public or association meetings at interim stages of the work.
If the project manager wants to review the paper or journal article prior to presentation or submission for publication, state this in the Statement of Work, as f ollows:
The principal mvestigator(s) may publish the results of this work in the open hierature mstead of submittmg a final report and/cr pre-l
(
sent papers at public or association meetings at interim stages of the t
i work. If the article or paper has been reviewed by the NRC project 3
Approved :
August 29, 1964
4 4
PUBLICATION OF TECHNICAL REPORTS PREPARED BY SRC Appendix 3200 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 1 UNDER,,OR PURS1* ANT TO INTERAGENCY AGREEMENTS manager in draft form and agreement has been reached on the con-tent. The applicable procedures set forth in Chapters NRC-3206 r.-
l NRC-1102 must be followed.
If agreement is not reached, NRC may also ask that the paper include in addition to the standard statement " Work supported by the U.S.
Nuclear Regulatory Commission," any. caveats deemed necessary tc ccrer NRC objecticns. If NRC objections cannot be covered m thic manner, NRC can refuse to authorize publication n the'open intera-ture and/or presentation of papers.
In the ' latter case, NRC will inform the contractor of the decasion,' as stated above fer ' formal repcrts (see Section C, paragraphs 3 and 4).
l The contractor is then free to publish without NRC identification of the mformanen This will not affect payment of the contract work costs Project manager er higher level decisions may be appealed to the NEC Executive Director for Operations.
If the centracter proposes to publish in the open literature or present the mformation at :r.eetmgs in addition to submitting the required tech-n:ca! reports, approval cf the proposed article or presentation should be obtaused from the NRC project manager. The NRC project manager shall either approve the material as submitted, approve it subject to NPC-suggested rev2sions, or disapprove it. In any event, a project manager may disapprove oc delay presentation or publication of papers on infor-mation that is subject to Commissioner approval that' has not been ruled upon cr which has been disapproved.
tSee Chapter 3206 for provisions relatmg to payment of page charges and travel costs for presentation of papers.)
E.
TYPOGRAPHY The text of reports must be single spaced on % x 11-in. paper, unless q
otherwise spec:faca!;v a u thorize d. Occasiona:!y, reports with many sym-
..bols and methematirotextcessions may require one and one-half spacing to provide ~ for superse-ipts and. subscr2 pts. This spacmg should be allowed where needed, tut should be considered an exception.got_the..-
standard.
F.
REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION j
Details of the marking of reports designated Official Use Only. Limited Official Use.
Proprietary Information,
SaNguards Information, and classified (Confidential, Secret, and Top Secret) are provided in Part V i
of this appendix and in NRC Appendix 2101.
(
G.
PUBLISHINC UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOTS NRC publishe s or assists in the publication of compilations of papers presented at meetin gs,
conferences, and symposiums in which NRC Approved: August 29, ISE4 4
1
__--________-_________-________a
7 3
y>,
's L
PL'BLICATION'OF TECHNICAL REPORTS PREPARED BY
~
NRC CONTRACTORS. INCLUDING-REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS
~
Part 1 participates as a' sponsor or cosponsor. Chapter NRC-3207,." Conferences l'
and Conference Proceedings,'" provides general information and guidance for 'this More detailed guidance is available from TIDC upon. request.
H.
WRITING AND Pl*BLISHING liNCLASSIFIED BOOKS NRC may, under certain circumstances, publish books prepared by-grantees or contractors.
For general information and guidance on book pubbshing.- see Chapter NRC-3210, " Book Writing and Pubhshing.'
l.
DISTRIBUTION OF REPORTS-TO CONTRACTORS Up to 50 copies of unclassified formal technical reports may be retained by or wiD 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 Sing!e 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 basid cr on a f report-by-report basis. The request, with written justifi-cation. should be addressed to the NRC pro lect manager, with a copy to N B C /TIDC.
.lf the additional dis tribu tion is approved by the NRC project manager, the contractor shall send these copies (if printing is dene 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-
[
f:ed repcris will be made by th'e project manager on a case-by-case basis.
J.
COORDIN ATION OF PRESS OR OTHER MEDI A RELEASES OF UNCLASS!-
FIED INFORMATION A centracto:.may request permission to issue a press or other media releue on the work bemg done. Such request shall be made to the project, manager, who will consult with his/her management :nd with the Off2ce of Pubhe Affairs. Tne ~ contracter may not issue a pret, release on ncnrcutine information witnout this prior coordination. This coordination r-4 ;'
may be. accomplished by. telephone.with the.NRC project. manager. respon-sible fer expeditious hvadhng. Decisions not to release information or delays in handhng by t1e project manager may be appealed to the NRC Executive Director for Operations.
~
4 b
5 Approved: August 29, 1984
r; I
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L PUBLICATION. OF-TECHNICAL REPORTS PREPARED BY L
NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR: PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 i
9 l,
(
I PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS j
TO BE PRINTED BY NRC-
')
A, DOCUMENTATION 1
Applicability a.
The requirements of this part apply to contractor and inter-l
. agency agreement reports that are to. be prmted ' by N R C..
Contractors may not print reports prepared for NRC _ except those DOE laboratories with JCP-authorized printing plants and inen only those reports pt epared for NRC's Office of Nuci 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 ;n conjunction with SRC Appendix 0101.
The requirements of this part de.not apply to consultants and c.
contractors of the NRC boards, panels, and advisory commit-tees which repcrt directly to the' Commission.
~{-\\
2, Frent Cover and Title Page Separate covers and title pages are required (see Exhibits 1 a.
and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements)."
b.
The items shawn in Exhibits I through 4 and discussed below shall appear on the title page and cover. as appropriate.*"
(1, NRC R.: cort Number Each report shall be i~dentified by an NRC-controlled alpha-numeric designation as the prime designation un2que to that report, The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control.
Numbers msy 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 ecpy of the cover of the performing organization may be sub-mitted; however, tb data elements shown in Exhibit I must be included.
These requirements meet the specificatiers of American National Standard
=.
(
ANSI 209.16-1974. Guidelines for Format and Production of Scientific and Technical Reports. and ANSI Z39.23-1974. Technical Report Numbers.
7 Approved: August 29, 2984
....a.....
L PUBLICATION OF TECHNICAL REPORTS-PREPARED BY l-
' NRC Append 1x' 3202 ' NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTER AGENCY 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 cons'iste of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume, supplemen t, part or. revision designation shan 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 ene volume.
repeat the pr: mary title on each volume.
(c) If a ppropriate, show the type of report (e.g.
annual repe rt, final report, thesis, etc.) and the period covered as part of the subtitle.
( 3.5 Personal Auther( 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 hafe many contributors. If authors' contri-butions are as ed2 tors, compilers, etc., so indicate on the~
title page following the names. -In addition. list affiliation of epch author only if affiliated with an organization other than the organization generating the document.
drhasizatici. Identificatich *
. ~-W) g,_ _
On the tide page and cover, provide information of the type iUustrated in Exhibits 1 through 4.
(5) Basis (c.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 one date, with the basis for each, may be shown where this is necessary j
\\
s l
Approved : Augu st 29, 1984 8
i
V -*
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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 Part 11 -
E3.
Availability Information All formal reports will be made available for. sale by NRC. and by
- the National Technical Information Service (NTIS).. Exhibit 6 will be' inserted T on the' inside of the. front cover by the Division of -
Technical Information and Document Control.
4.
Disclaimer l-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 t
Government. Neither the United States Government nor any agency thereof. or any of their employees, makes any warranty, expressed or imphed. or assumes any legal liability or responsibility for any third party's use, or the results of such use, of-any' information, apparat u s, product or process disclosed in this report. ' or repre-sents that its use by such third party would not infringe privately
. owned rights. " The following additional sta temen t, - "The views expressed in this report are not necessarily these of. the U.S.
Nuclear Regulatery Commission" will be printed below the standard disclaimer. If appropriate.
Other qualifying statements may be added. if needed (see Part 1.C., Requirements for Draf t' Reports).
5.
Previous Reports in Series
(
If.the report being prepared is one in an ongoing series, list ' all previous. reports in the series.
Include report numbers and issu-ance dates. Place this list on the back of the title page.
6 Abstract
.c. abstract of 200 words or less shall be prepared for each formal report.
Mthtn the report, the abstract shall appear on a separate page between the list of previous documents in the series and the Content, page.-
7.
References and Bii.:iographies 4
Reports or other documents referenced in text, reference sections,
bibliographies,
Pnd appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service, or at other reference or sales outlets) or in the. NRC Public Document Room.
This means that references should not be made to personal communications and interview s, unpublished "This preferred positioning of the abstract in the report need not be followed if. the style manual of the originating organization requires a different
(
loca tion.
9 Approved: August 29, 1984
c PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS information and information with restricted distribution (e.g,
proprieta ry, national securit y, official use only, etc.).
If the unretrievable information is important and unrestricted, it can be quoted m the text. in footnotes, or in appendixes. If credst is d.e j
to individuals, they can be mentioned in the text or in an acknow '
ledgement section.
Availabihty may be stated coUectively for al!
entries (see Exhibit 6).
Guideunes for developing and preserting reference,, material are provided in NUREG-0650,
" Technical Writing Style G uide. '
published in November 1979 (see Appendix A.
pp. 19-23. for specific guidance) and Supplement I dated February 1982 8.
Biblierraphie Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as *.he fmal right-hand page.
B-PATENT AND SECURITY REVIEWS 1.
Patent Review Patent impheatir.ns shan be considered prior to approval cf reports for pub 3c release so that disclosure will not ' adversely affect the l
patent rights of NRC or the centractor.
If the work bemg reported l
is contractually managed through another government agency (e -g.
DOE laboratories), that government agency should be requested t;y the contractor to perform the patent review.
The result of such review shan be reported on NRC Form 426A in item 11 (Exhibit 5).
If NRC directly admmisters the contract or the contractor is unable to cbtam a patent clearance from the government agency admmister-mg the contract, the responsible NRC contracting officer shau be consulte d, and the responsible NRC project manager shan consider the patent implica ticn s.
If there is no need for patent review because of the certanty that the report contains no der.cription of novel technical devdopments'which may be of ari in'ventive naturee 1
NRC Form 426A m. y be completed with the statement "Not Apph-1 cable" or "N/A" in the space for the Patent Counsel's signature If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shan request assistance from the NBC Patent Counsel, Office of the Executive Legal Director.
2.
Security Review in most cases, contractor reports win be unclassified.
Should a report of sensitive unclassified or classified work be required,
j however, the NRC project manager must work with the NRC Division of Security to estabbsh the ap;.ropriate procedures and infor a the contractor of such procedures through the contracting of fit er.
The standards for marking and handling such reports are given m Part V of this appendix and NRC Appendix 2101 l
Approved : August 29, 1984 10 I
t PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED' NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 C.
PROCEDURES FOR PRINTING AND DISTRIBUTING 1.
Printin g -
' Reproducible masters L prepared in accordance with this appendix shall be transmitted to, the Division of Technical Information and Document Control, ' accompanied by completed NRC Form 426A (Exhibit 5).
NRC Form 426A must be signed by the NRC project manager or a contractor official authorized by the project manager, Such authorization shall be reported in writing to TIDC.
The Division of Technical Information and Document Control will review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributing the report.
Unsatisfactory masters will be reported to the NRC project manager for appropriate contractual action by the contract-ing officer.or, in the case of government agency or interagency agreement work, the publications manager of the performin g organiza t:en.
T Rec t:ntin g 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.
5.
Distribution of Reports All copies of unclusified formal contractor reports will be distrib-uted by the Divisica of Technical Information and Docun.ent Control in acecrdance 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
~"
l
' Technical Inform uion Service (NTIS), the Government 'Printin g.
I'"
l '
Office and the Depository Library Service.
If any distributnn 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 II Approved: August 29, 1984 1
/ !'?
PUBLICATION OF TECHNICAL REPORTS PREPARED BY
'NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 f-t*NDER OR PI'RSl' ANT TO INTER AGENCY AGREEMENTS e
EXHIBIT 1 St MPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.
NUREG/CR 1676 Contractor Report No hf any)
NUSAC-556 Vol1 Vol., Part. Re v., etc. Of any)
- - ~ ~
~ _ _ _. _ _ _
Using Advanced. Process Monitoring 1,,, e to improve Material Control 4
e Subtitle and Type of Report Final Report (Annual, Topical, etc.)
September 1979 September 1980 i kvc* A F is*t Author (s) e'e:a e: t
- 5 a
Contractor sus Ac i,nce t oretec s
i uY*E* eye Reevistore commes.w l
i 23 Approved :
August 23, ;984
-_----_-_---__A
' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 32C2 NRC CONTRACTORS INCLUDING REPORTS PREPARED L
Part 11_-
UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS EXHIBIT 2-SAMPLE TITLE P AGE FOR UNCLASStrtED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPAfiED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS-r NRC REPORT No.
NUREG CR 1676 '
NUSG5M Contractor Report No til any)
- ' I Vol., Part, Rev., etc. (if any).
Distribution Category No. (d any)
Usina Advanced Process Monitoring rnie to iniprove Material Control Subtitle and Type of Report Fia s mese.:
Septe ce 1979. se temee, tsa::
(Annusf Topical, etc.)
Aeport Dates and Bases u.7,.c;ege-.;s s.r;.-. ese Authoe(s!, E ditor(sl.
'.**-n a... t-
- i. -:
Compilet (s), etc, Contracto, N ame and Address
'5ll,.ye,i,tg, *.
NRC Sponsorship p,..... e i v Di.v.es.ca.oe S efegws.ca.... se.i, mas se.co.,ei
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- NRC Contract No.
Approved:
August 29, 1964 14 e
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PUBLICATION OF. TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NPr ann naiv 29no UNDER OR~ PURSU ANT TO INTERAGENCY AGREEMENTS ra.".
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EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No NUREG CR 1952 Contracto' Report No SAND 810151 Vol., Pan, R ev. e1:.
LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal p
- Blocks
/
l inoepencent Venfication Testing Program Type o' R eco.;
4
. independent t enfication Test 1 e, sym,c, i
I
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- * *'" ' i ','f,[fl,,[e l b"*j',L*,,[.A[*~ # #
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cont' cier g
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Com sesion i
m 15 Approved : August 29, 1984 1
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Pl*BbCATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 - NRC CONTRACTORS.~ 1NCLUDING REPORTS PREPARED Part 11 l'NDER OR-P1'RSU ANT TO INTER AGENCY AGREEMENTS i
EXHIBIT 4 -
J SAMFLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
)
l NRC Report No -
Contractor's Report No Vot,, Part. R ev., etc.
N.hh'f Distribution R4 Category
'we LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks I
Subtitle -
i e p,,e,,. v,,,,,: re. 7,,p ; p,og.e 6%tpenceat k e'i iC&T ** Te5' t d
Report Dates e,.... r... i..<i,.,
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- .. s.t...e v.
t.uthor(s), Editor (s)
- .5,.-
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Namt and Address I
NRC Sponsorship
- ese'e e '.c' I
o...s... me...eai.a nee.on.i me.cio, in.oect..n
- on.ce os inspeci.oa e, e in+occomeat U S Nweiene segwiese, Commissioe w asniaete n CC ??.46 NRC FIN No wac a N s31ct e
Approved August 29, 1964 16
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__.__.__._____m
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i NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRr Annandix 3202 j
UNDER OR-PURSU ANT TO INTER AGENCY AGREEMENTS Pa.-- I-EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED
- NRC CONTRACTOR AND CONSULTANT REPORTS
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s PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part U UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS EXHIBIT 6 DISCLAIMER AND AVAILABluTY STATEMENTS lEACK OF COVER)
NOTsCE Th.e cuaort we proomrad as en aamwnt of.org sponsorse by an sesney of teu unsent term Go.sennent Netwar me unisse Susa Gewarnarnt aar og erwey tneraef, se arv ed swer i
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l NOTICE Ave.iabiht, of Referice H,strais Case m N PC Putwate' ens Moe occwawas citec m h a C sweacat.oru.H cm avsame trewn one of me tenenne amoress
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t T%e N R C p.e.ic Doa,mset moom.1717 M St met. N W Weimagtom CC 2%55 2 The NRC/GPO se > ogre. U $ N.cies* Repetorv Comm.ewoe, wannetton DC 20655 3 The Nations Teenace' tatormetoa Sevee Sormif wie. V A 22161 Anhowen the urtmo that foiews reorwaran t%e ma,ority of oocumer ts ened m NRC puwcenore, et et not intenome to tw es%ssrtie, Retrencoc oww wan sveitso+e for unosctea ene copyW hr a fee troer ens N AC Pweise Dacw a
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noteus macuete one w=muustoa notees.
Locriare I reat Reports venoor reocru seus corrmoonprice. Commes.on smoses, erso app'cet and heresse ocew wns and corresponaric a
The fohoenet coew wan m the NURf G ser.es erv evoebee for krchaus Wyn me NRC/GPO Caise a
Progrs ~ forme! NRC ris" end coarsetor sworn. NRC<ounsorso gio*+srence m eras N8 C teos uru and broc'tw*es Osc #veaabie are AsoA# tory Gwies NRC ruwwterm an em Cear et Fearer A,epu etene. ene Nscoer Aeuerary Conwnmuon tasuancs:
Cxzewmeno e+iedie t'o* the toe.onei Tsenncei ta+ormenon 5srvice weewer #JUREC ervu teocru eres secan.csi recorts sreo.'ed t, other foersi egurrie one rearru preprod by me Atomic Imerg, Comm men, forerunner egency to the Nweneer Repaetory Conwnumen Docuawas eve 4stee from awtui : and toecat teshrmeni herone bookses eN apen estarueurs turve, suca es temas.,ovmel ena perior. cst oncuss erse trorusctions Feaars/ Aapever noemen. toesret end este toponeten, and congreewc,not esport con usus48v to strismed from these lsorernes Docuawan mich es thmars eumartrteau tormyn recurs and verusetusra, and res4RC systerwass Orteneemen ett swesssess he swechaus froen the crysmaetson teenserwig the pilbhammen edged.
5.ve coom of NRC c 5 reocrrts are eveinable free, to the entrit of mapoly, upon erenten ree,est to the Divisen of Teennicsi informaten end Docurrem Centrol. U.S pouceeer Rep.6seory Com amen.washmrton DC 20555 Cooms of enourny ecces one serusras used an e outstant we nervier si tNs N A C rogueriory ensame av memeasc et the NRC Latrerv. 7820 hor +on Awen. temeses meerytsas, eras are euwamens there for re+vece uns by t*m gutelic. Comes and sceneertas are enantiv supynghness auf may tm mechaspc hm the origmetwig eqsmaetson er. H thry are Amarasse poetsural $aruaeros,9.pn the Aa
.e seuensi se,as,os ir.uiwie im ero.ch v. N ve.Nv 1ome C*C *.mse ser., y un 1
A pprc Ved Augoct %, 19F) 18
t l
PUBLICATION OF TECHNICAL REPORTS PREPARED BY l
NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Aonendix 3202 UNDER OR PURSU ANT TO INTER AGFNCY AGREEMENTS pa-. II
. (.
EXHIBIT 7 NRC FORM 336. BIBLIOGRAPHIC DATA SHEET
- T."'i,;"
sisuCORAPHIC DATA SMttT
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19 Approved : August 29, 1983
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PUBLICATION OF TECHNICAL REPORTS PREFARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED l' art 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1
i 1
EXHIBIT 7 (Continued) i BACK OF NRC FORM 335 4
00 NOT P8 f'' ' THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT N
inrTaucTio=s hec 80mp 335 St9U0CD A**C OA?A SwitT.11 S A$t0 0% Cutoguhts 808 80stwAT AND Pm00VCTiON 08 &Citwt4fic i
ANO tt C*.%iCAL alp 0mT&,10018 E AC-ste&a Af t Lv 80v%C atoomt. son t Ahli 23910-1974 AvalLABLE #m0w AWimiCAN NATIONAL 87A40Am0$ akst Tutt 9430 580&O* A v. hta 'Ca n %
Awegt. t Acu v0gvwt im a uvLTev0gvut StT 8aA.L aAvt 175 WN 0wl Si8.iOGR A*mC C ATA sattT 4
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2 TITLi ANO susTITLE T1 e sac. e.ac.cate ries", e'c reco t sworenedes 0+ suppiameate tae once 'spo t e*.e* i the swe.ec t sco e eie ' o' tae eeooet eac,.e =g ea, swett<ete tae asa tit e * *e e eepo+t is preorec * *o o 13 AGST R ACT saci.oe e 6 e' GCC acros 0+ sess' iactwo n.*
tasa cae voivme espect tae i nme*= t< tie, see veiwme aw* os e me e, of the most osa ticoat.ateeme* o* coate aer *
- e sac ac.oe s.es te to tw sciec ts voiume v u wecir e-c eeoort H tae eeso t rease+ a s.ead.ce** e euse spa. o-io=e' sese sette s D. t coole ie, comosie ecoe memen Oc i.teasiv*e tv wo, ce aw+t. pie vo'v*es me%ea a as s Apioet' ace wee a: eay*a sac.a.te **s e tities me, ce ecoee *
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n 60tRTis18 R$ AND Dath thDED 13RW.
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Vse ese*t tes l tot p'oecrt memes coes aemes sev'Dmeat ses< gas to's 6.
CATf RtPORT issut0 tece rece, ens. se, e seis etc use oceagaoec seerao'est terms ="ttea.e seecneto+
easiestias moata eae ves* pwDinwe
'e** t t Ae t to' those swevects toe ec* ao mesencto-esets ea eae enseevews T.
PE RFotM6kC ORGAWi!ATIOff fuAME ANO l&AlpedC ADDR1&S G.ve name, sunt, cit.. state eac lie go,e 13 AVAILAsittT y gTattutNT. Deaete evtot eeesseD4n.
List no more taea two seveis o' ea e peaiset4w hie rea, to' esempio "wanmitee. os hmitsi.e* ter enseas o'ae>
Disota, tw name o' iw o g a. set ca seso, as tonows taea ascent, Orvisica. Office. C*esaiasi.oa e' Goverame41 speac,. ene esoress
- 14. SICVRITY CLA.8BIFICat:08v. tuve U S Seewm, Ciessh set.oa sa acto'oeace wita u$ Seewote meeviet oas i e,
at,acitenT As= won = useit =vuore v.e t*e p,o,en
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Approved :
August 29, 1964 20 a
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NF C CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3002 PART 111 UNCLASSIFIED TECHNICAL LETTER REPORTS A.
FORMAT 1.
AppUcability The requirements of this part apply t'o unclassified contractor a.
technical letter reports. (See Part I. A for definition.)
b.
The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory commit-tees which report directly to the Commission.
2.
Requirements Technical letter reports are prepared, duplicated and distributed in accordance - with the requir..ments of the Statement of Work in the contract or in the Standa~:d Order for DOE Work. Each such report must be identified with.ae financial number (FIN) assigned to the project.
The number of copies to be prepared ant. the distribution of those'cepies wiD be specified by the project manager.
If unclas-f 1
sified and non-sensitive, the NRC _ project manager is responsible for :naking such reports available in the NRC Pubhc Document Room (PDR) by sending them to the PDR through the NRC Document Control System.
B.
PATENT AND SECURITY REVIEWS 1.
Patent Review Patent implications shan be considered prior te approval of reports
- c. -
- for-pubb-release so -that disclosure will not adversely affect. the -
patent rights of NRC. If the w'ork being reported is contractuaUy l
managed through another government agency (e.g., pOE labora-tories ), that government agency should be requested by the con-tractor to perform the patent review.
If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted. and the responsible NRC project manager shall consider the patent implications.
If there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall request assistance from the NRC Patent Counsel. Office of the Executive l
1 Legal Director.
21 Approved: August 29, 1984 l
______.________._____--_________-.m________.__._-____..______.___._.__-__.__._._.-.-___.___.__._._____m.
_-__..______._____.m____..
l _e e
?
/
PUBLICATION OF TECHNICAL REPORTS PREPARED BY
_ NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 111-UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 2:
Security Review in most cases. contractor technical letter reports will be unclassi-
~
~ fled Should a report o' sensitive unclassified or classified work be required. however, the project manager ' must work with. the Divistor. of Security to establish the appropriate security procedures and infonn the contractor of such procedures.
The standardri for marking and handling such reports are given in Part V of ' this.-
appendix and NRC Appendix 2101:.
f
,y,...
.t z.
i Approved: August 29, 1964 22
' I
c.e.
( $-(
f 3
I 1
s PUBLICATION OF. TECHNIC AL REPORTS' PHEPARED' BY j
NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY-RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS A.
DOCUMENTATION 1
Appbcability
.n a.
The requirements of this part. ppply 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.
/.
t 2.
Front Cover and Title Page Separate covers (of different paper than that of the text) and a.
title page are required.*
L.
Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, os appro-Whi'e layouts and typefaces need not be exactly the p r2a te. **
same as in Exnibits 3 and 4, the items shaU appear in approxi-mately tae -heations indicated and with the same relative,
,. ~
prominence.
(1) NRC Rt. port Number report shau be identified by an NRC-controlled Each 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 l
Technical Information and Document Control. Numbers may The cover stock of the performing organization may be used; however it must include the data elements shown in Exhibit 3.
the specifications of American National Standard f
"These requirements meet for Format and Production of Scientific and ANSI Z39.18-1974, " Guidelines Technical Reports," and ANS! Z39.23-1974, " Technical Report Numbers. "
23 Approved: August 29, 1984 k
I Lb l
PUBLICATION OF' TECHNICAL REPORTS PREPARED. BY h
NflC Appendix 3202. NRC CONTR ACTORS, INCLUDING REPORTS PREPARED-Part IV
- UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1>
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.
i 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 shaU appear immediately below the report ' number (s).
NRC report numbers on covers and title pages shan be shown entirely on one line to. f acilitate computer processing.
~
(2). Title and Subtitle sO Use a brief title, which indicates clearly the subject matter covered in the report.
(b) When a report is prepared in more than one volume, repeat the primary title on each volume.
(c).lf appropriate, show the type of - report (e.g.,
annual report, final report, etc.) and the period covered as part of the subtitle.
(3) Perscnal Author (sP Name(s)
(a) Authors' ~ names should be' given cr. the title page and-efver unless this is impractica!Oss.in the case -
f of ar qual reports which 'have many contributors 1 If authors' contributions are as editors, compilers,
etc.
so indicate on title page and cover foUowing the names. In addition, list affiliation ~ of each author only if affiliated with an organization other than the organization generating the report, (b) Authors may be identified on backstrips (spines) of bound volumes.
(4) Organization Identification i
(a) On the cover, provide the name of the contractor I
responsible for preparing the report, foUowed by
" Prepared for the U.S.
Nuclear Regulatory Cor mission."
Approved: August 29, 1984 24
r a
PUBLICATION OF. TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part IV
(
(b) On the title prge, provide information of the type iUustrated in Exhibit 4.
(5) Basis for Report Dates (s)
(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible ;
e.g., date report conpleted, date reviews completed, date pubbshed, date distributed, etc.
(b) More than one date, with the basis for each, may be shown where this is neces.sary.
3.
Availability and Price Information All formal reports will be made available for sale by NRC and NTIS.
The statement shown in Exhibit 6 is required on the inside of the frcnt cover, 4.
Disclaimer The following notice shall be added during the printing step on the in side front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government.
Neither the United States Government nor any agercy thereof, or t
any of their employees, makes any warranty, expressed or implied, or assumes any leg:' liability or responsibility for any third party's use, or the results of such use, of any information, apparatu s,
product or process disclosc d, or represents that its use by such third party would not infringe privately owned rights." The follow-ir.g additienal statemer.t, "The views expressed in this report are not necessarily those of the U.S.
Nuclear Regulatory Commission" will be prr.ted below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part I.C.,
Re.quirements for,Draf t Reports).
~,
5.
Previous Reports in Series if the report oeing prepared is one in an ongoing series, list all previous reports in he series. Include report numbers and issuance dates. Place this list on the back of the title page.
6.
Abstract An abstract cf 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.*
[
This preferred positioning of the abstract in the document need not be fol-
)
lowed if the st/le manual of the originating organization requires a different location.
25 Approved :
August 23, 1984
-_--___m_ _ _ _. _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
PUBLICATION OF TECHNICAL REPORTS P3EPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS
~
References and Bibborraphies Reports or othar documents referenced in text, reference sections,
bibhographie s,
and appendixes of unclassified d regulatory and technical report s m the NUREG series must be available to the pubhc either m the public domam (as m a public library, at the Government Prmting Office, at the National Technical Information Service, or at other reference or sales outlets) or it the NRC Pubbe Document Room.
This means that references should not be made to personal communications and interviews,
unpubbshed mformation and informaticsi with restricted distribution (e.g.,
proprietary, national secu rity, official use only, etc.).
If the unretrievable mformation is important and unrestricted, it can be quoted m the text. m footnotes, or in appendixes. If credit is due to mdividuals, iney can be mentioned in the text or in an acknow-ledgement section.
Availability may be stated collect.vely for all entr2es (see Exhibit 6).
Guidthne s fer developing and presentmg reference material are pr07:ded m NUREG-0E50, "Tecnnica". Writing Style Guide,' pub-hshed in November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement I dated February 1982.
6 Bibliographic Data Sheet NEC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready ccpy as the fmal right-hand page.
B PATEST ASD SECURITY REVIEWS 1.
Patent Review Patent i:r.pbcations sh all be considered prior to approval of reports fcr public release sa that disclosure will not adversely affect the
)
. patent rights of NRC or the coritractor. The DOE Operat:enp Of. fire responsibit for the contractor should perform the patent review The results of such review shall be reported by the contractor on NRC Form 426A in item 11 (Exhibit 5).
2.
Security Review In most cases, reports will be unclassified. Should a report of sen-sitive unclassified or classified work be required, however, the NRC project manager must work with the Division of Security to
.J estabbsh the appropriate classification procedures and inform the I
contractor.
The standards for marking and handhng such reports l
are given in Part V of this appendix and NRC Appendix 2101.
l I
Approved : August 23, 1984 26 b_____----------__---_--_--_--------.------__---------.---_----
J
m.
J :
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTGRS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part IV C.
PROCEDURES FOR PRINTING AND DISTRIBUTING 1.
Prmting Contractor reports may be printed only by a JCP-authorized print-ing plant and then only if prepared for the NRC Office of Nuclear Regulatory Research. Reports printed by the contracter und one reproducible master shall be submitted to the Division et Tecnnical Information and Document Control, with completed NRC Form 42tA.
The number of copies specified by the Statement of Work for stand-ard and meidental distribution shall be provided. The appropriate identifying number (NUREG/CR _) may be obtained as discussed in Sect 2on A.2.b. (1).
2 Reprintm g Fequests for reprinting of any report at NRC expense subsequent to the mitial printmg requires approval of the Division of Technical Mfermatsen and Document Cont rol.
The request shan include a written justification and the project managers approval for the re-prmteg along w:th address labels for the recipients.
3 Distribution cf Reports f
AU copies of unclassified formal contractor reports will be distrib-uted by the D2visicn of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5).
NRC Form 4L must be signed by a contractor official authorized by the proje
- manager. Such authorization shall be reported in w rit:n r tc the Divisicn of Technical Information and Document Contrc;.
If any distribution is to be made other than, or in addition to, the standard distributaan esta'ulished for the report, written justification
.and The ~ project manager's approvil for printing additional copies.
shau accompany the reproducible masters when submitted to the Division of Technical Infor. nation and Document Control.
Address labels for the auditional distribution must be supplied.
The Division of Tecnnical Information and Document Control will arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National T echnica'. 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.
1
{
t l
27 Approved:
A. gust 29,1984
n 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 win contain only unclassified information originated by or furnished to an NRC contractor which is to be withheld from pubhc disclosure; The report on which the marking appears ' must be reviewed at the time a requert for. release is received to determine its releasabihty. The Official
' Use Only marking is notice of the originator's determmation of the applica-bility of an exemption under the Freedom of Information Act or Privacy l
Act or both at the time of origination.
Official Use Only NRC contractor reports shall be marked as shown m Exhibits 8 through 10.
Limited ' Official Use-infomation is information originated by the U.S.
Department of State.
A report originated by an NRC contractor that contams Limited Official Use mformation shall be marked as shown m Exhibits 11 through 13.
Procedures.fer reproducing. transmitting, protecting, and handling repcrts containing Official Use Only and Limited Official Use information and removing such reports from these categories are detailed in NEC Appent.s 210, C.
PROPPaETARY INFORMATION Proprietary infcmation is a specif2c type of Official Use Only informa-12cn ' Propnetary mformat2:r meludes:
1.
trade secrets.
2 privileged or confidential research, development, commercial or fn..meial information exempt from man datory disclosure under 10 CFR Part 2.
" Rules of Practice for Domestic' Licensing Proceed-ings." Sections 2M40 and 0.790 and under 10 CFR Part 9, "Pubhc Records," Section 9.f>, " Exemptions."
3.
information submittes in confidence to NRC : hy a foreign source.
'Yh2ch has been detsmined by NRC to be unclassified.
Unclassified NRC contractor reports containing proprietary infomation shall be marked as shown in Exhibits 14 through 38.
In each instance.
4 the optional wording that describes the material being presented should Le selected.
I If a report contains both Official Use Only information and proprietary information, the front cover shell be niarked as proprietary information and may also be marked as Official Use Only information, if necessary.
Pages in the report that contain proprietary information may be marked accordingly, including, marginal or other indicators of the specific wording that is proprietary Similarily, the pages that contain Official
' formation may be marked 1
Use Only infomation without proprietary Official Use Only l
)
Approved : August 29, 1964 30
.__._J
is s
.\\
r W
1.
PUBLICATION OF TECHNICAL REPORTS PREPARE.0 BY
~
1 NRC CONTRACTORS, INCLUDING REPORTS PREPARED l
. UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 f.
PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION A.
APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi-fied and classif:ed reports prepared by NRC contractors,
These repor ts include those designated:
Official Use Only Limited Official Use Proprietary Infomation Safeguez ds Infomation l
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 Secunty Program and specific provisions for deter-mining wher.
to use the markings exhibited are contained in NRC Appendix 2101 y
The reports covered are defined as sensitive unclassified or classified.
Sensitive unclassified information refers to information designated Official Use Only, Limited Official Use, and Proprietary Information.
I Sensiuve unclassified inf ormation also includes Safeguards Information that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 anc Sectien 147 of the ' Atomic Energy Act of 1954, as
- a. ended.
i' Nrmation withheld from public dissemination under the Freedom of, inf ormation />c! Tr Privacy. Act, and infomation not tp be x.
^ exported to or disclosec' to i; reign countries.
Classified information as used in this part includes Restricted Data, Formerly Restricted Dnta or National Security Information 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 discussed and exhibited in the following secticns.
All sensitive unclassified and classified reports are l
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 y
report only when the originator or other holder believes the marking is 1
29 Approved: August 29, 1984
7
[:
i l
. PUBLICATION OF TECHNICAL REPORTS PRET ARED BY i"
NRC Appendix 3202. NRC CONTRACTORS, INCLUDING REPORTS M/REPARED Part V -
'UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS -
It is important' to note that information may not be classified in order p.
to. prevent or. delay the. release of information that does not require protection in the interest of national security.
Basic scientific research.
information not clearly related to national security may not be classified.
. w..
a.
s;..,. ~ ~
~~ ~
1 Approved: August 29, 1964 32
1 p
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V F
Procedures for rer,roducing, transmitting. protecting and handling pro-4 prietary mformation reports rnd removmg 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 containmg proprietary information.
D.
S AFEGl'ARDS INFORMATION Safeguards information may be of three types:
(1) classified informs-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) unclas sified infomation, which is publicly available and handled as mdicated m Parts ! through IV.
l The safeguards mformation that is to be crotected as described here is uncla s me d mformaticn used in a report which specifically identdies i
l certam beenset's or appbcant's detailed:
I s ec u r::. measures fcr the physical protection of special nuclear material 2
security measures fer the physical protection and location of certain plant equipment vital to the safety of production or utih:ation
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l'nclas sdie d ShC contractor reports containing safeguards mformation that 25 to be protected shall be marked as shown in Exhibits 20 through 2
Procedures f:r reproduemr. transmitting, protecting, and handimg safe-guards mformation reports and removmg them from the safeguards informati:.n category are detailed in NRC Appendix 2101.
A cover sheet (Exhibit 23) is te be placed on each hard copy of a rcport containing
. saf eguar ds m.fc rmatan.
E.
CLASS! TIED INFORMATIM' Classified information is limited to Restricted Data, Formerly Restricted Data and National Sec.a rity Inf ormation.
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 j
Appendix 2101. These procedures are too complex for summarizing here.
J Classification determinations regarding NRC information may be made solely by author 2 zed 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 tne provisions cf NRC AT pendix 2101.
i 31 Approved : August 29, 1984 O
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P BLICATION OF T5CHNICAL REPORTS PREPARED BY NRC. Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part \\'-
UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION i-LIMITED OFFICIAL USE NUREG'CR xxxx (St Title Subtitle and Type Of Report A/*C' 3' [= teris Ceat ::te*
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EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAININC UNCLASSIFIED SAFEGUARDS INFORMATION SAFEQUARDS INFORMATION NUREG'CR XXXX $Gi Title Subtitle and Type of Report Authorte! Iditor(s)
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED
. Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l
EXHIBIT 21
. SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING l
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August 29, 1984 46
4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Anoendix 3202 l'NDER OR Pl'RSU ANT TO INTER AGENCY AGREEMENTS Pa.~. Y EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION l
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TH'S DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM 1(y
' - UNAUTnDRIZED D:SCLOSURE.10 CFR 73 21 AND SECTION 147, ATOMIC ENERGY
, N ACT 051954 APPLY. VIOLATIONS ARE SUBJECT TO civil OA CRIMINAL PENALTIES.
- 1 4
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3 '\\ PERSONS WHEN NOT IN USE. IT MUST EE STORED IN A LOCKED S "r
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l PUBLICATION OF TECHNIC)* REPORTS PREPARED BY NRC CONTRACTORS, INCI.ilNG REPORTS. PREPARED UNDER OR PURSUANT TC
.TERAGENCY AGREEMENTS NRC Apoendix 3202 f
PART VI HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs that involve either.or both U.S. industry and foreign governments and orga-nizations.
Such involvement includes monetary contributions, information exchange, and comments on program plans and results. This is authorized in 42 U.S.C.
5801.. To this end, international and U.S. industry agreements have. been signed that provide for transmitting unclassified information from NRC to participants.
These procedures apply only to NRC-managed work not programmatically funded by DOE.
The interests of au NRC cooperative nuclear safety research program partici-pants are served best. by early, rapid dissemination for com.nent of informa-tion on these programs &veloped for NRC by NRC contractors. This can be a:co=plished by d:stribution of "Draf t Preliminary Reports (or Codes)" for comment for a specified period of time, fonowed by issue as formal NUREG/CR reports,. with the concurrence of the participants.
Specific procedures for s
accomphshing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the fonowing sections.
The procedures de-tailed here have been agreed to by DOE and have been provided to the responsible DOE Operatiens Officers and NRC Program and Project Managers as guidance.
A.
PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT
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_,.. c. The firs t issuance of information by a contractor shaU be designated
' "Draf t Pre 1=inary Rep;tt (or Code)," and shaU include the cover sheet shown in Exhibit 24.
N -
i, The foDowing notice :s to be printed on the bottom of the cover sheet (Exhibit 24):
NOTICE
.THIS DRAFT PRELIMIN ARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action.
It has not have received patent review and may con-
'ain information received in confidence.
Therefore, the con-
[
tents of this report should neither be disclosed to others nor reproduce d, wholly or partiany, unless written permission to do so has been obtained from the appropriate USNRC office.
The recipient is requested to take the necessary action to ensure the protection of this report.
49 Approved : August 29, 1984
_ - - - - = _ _ _ _ _ _ _ = _ -
4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 - NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI-UNDER OR PURSUANT TO' INTERAGENCY AGREEMENTS This Enotice' has. been agreed to by the legal staffs of both NRC and DOE
~
and is not te be added to or changed. ' Any problem in this regard shall be brought to the attention of the NRC project manager, who wiu consult with the NRC legal staff.
The " Draft Preliminary Report (or Code)" shau 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 'shau 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 des:gnated " Draft Prelimmary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report.
" Draft Preliminary Reports (or Codes)" shall not be.- identified as NUREG/CR reports er carry any contractor report number or NRC dis-trduuon codes.
B.
DISTRIBUTION BY NRC PROJECT MANAGERS The NRC project manager wiu distribute the copies received only to (1) the participants-in the program, (2) the NRC staff with a need-to-know, and (3) othe'rs auther: zed by the program or project manager.
Trans-mitta! to participants shall be by first class or express mail, including air mail to fcreign participants if premium cost mail services are to te used, a Divisien Director or comparable or higher authori.
must cert:fy to the need on NRC Form 420, " Request for Premium Co'st Mail Serv:ce '
Premium cost mail is:
1 Express Mail, Pr.ority Mail (First Class weighing more than 12 ounces)
- ~ '
~
2' - -inte'rbational E ip'res's Mall (hir' M' ail ' weigh'ing' ~ mon than -
~
10 ounces)
(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A)
C.
COMMF.NT PERIOD AND ISSUANCE OF NUREG/CR REPORT 1
A minimum of bix months will be aDowed for comments and resolution of 1
comment s.
At the end of the comment period, the NRC project manager shau, with the concurrence of the participants, authorize the contractor y
to issue' the information as a NUREG/CR report in accordance with the
.j provisions of this Chapter.
D.
REPORT IDENTIFIERS The "Draf t Preliminary Reports (or Codes)" wiu be uniquely identified only by the Fmancial Identification Number (FIN) assigned by NRC and Approved: August 29, 1984 50
_. _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ ___ _g
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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 VI
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the appropriate periodic notation, if any, included in the title (Ex-hibit 24)
They shall not be given standard report nomenclature unt0 the NRC project manager authorizes publication as a NUREG/CR report.
At that ttme, the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4.
E.
MAILING TO PROGRAM PARTICIPANTS The physical transmission of reports from NRC to program participants shall be handled by the Document Management Branch (DMB), Division of Technical Information and Document Control (TIDC), based on address labels of participants supplied by the project manager.
The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.
F.
SECURITY If information included in the report or code has been determined to be sensstree unclassified or classified information (see statement of work) the procedures of Part V also apply.
The report (or code) may ny be clas sified solely for the purpose of limiting distribution to the partici-pants.
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I 51 Approved: Aurast 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE)
FOR COMMENT DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT FIN NO.
Title of Program Subtitle for This Report, Including
~
Appropriate Periodic Notation, If Any l
(e.g., First Quarter, Issue No. 1) l Prepared by (Name of DOE Facility, Contractor and/or Subc.:ntractors, if any) l~3 s.
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U.S. Nur. lear Regulatory Commission I
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NOTICE l
THIS DRAFT PRELIMINARY REPORT 15 ISSUED ONLY TO i
PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM 1
This report was pre;ared in contemplation of Comission action.
It has not received patent review and ray contain information received in confidence.
i Therefore, the cer. 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.
Approvcd : August 29, 1954 52
1 1
PUBLICATION OF TECHMCAL REPORTS PREPARED BY I
NRC CONTRACTORS, im UDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY RT' ORT TO:
NRC Project Manager
SUBJECT:
ORAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMMENT
_,..#^"
i The enclosed "Draf t Preliminary Report (Code)" is being submitted for comment.
It is our understanding that the comment period shall extend six months from the date cf railing of the draft to the participants. Upon resolution of the cor.ments af ter that period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this
/j report in the NUREG/CR series under the provisions of NRC Hanual Chapter 1102 or 3202.
DOE Facility or ContractoirRep esentative
~
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53 Approved : Augus't 29, 1964
i Pl'BLl' CATION OF. TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED
.NRC Appendix 3202
)
UNDER OR -PURSUANT TO INTERAGENCY AGREEMENTS Part VI l
EXHIB'IT 26 1
TRANSMITTAL SHEET FOR' REQUESTING j
MAILING TO COOPERATIVE PROGRAM
.i PARTICIPANTS Recipients : Addresses on attached labels Method er Maihng; C/ First Class Postal Service to U. S. addresses C/ Express mad to l', S. addresses
- Z.
Air mail to foreign addresses
/-~/
Surface mail te foreign addresses (may require up to three (3) months)
THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENSIT!YE l' UNCLASSIFIED INFORMATION Special Instructions Individual Requesting Mailing:
Project Manager or Egh Authority
..Inclosures ;,,
~
1.
Addnss labUs 2.
Documents to be maued
- 1f premium cost mail services are to be used, a Division Director or compar-able or' higher atithority rnust certify to the need on NRC Form 420, " Req test fo ' Premium Cost Mail Service," Premium cost mail is:
1.
Express Mail, Priority Mail (First Class weit.ing more than 12 ounces) 2.
. international Express Mail ( Air Mail weighing more than 10 ounces)
(See Chepter NRC 0255-058 and NRC Appendix 0255 Part V, Annex A)-
50 Approved: August 29, 1984
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