ML20248E985

Contract: Quantification of Conservatisms in Seismic Risk Estimates Through Engineering Advancement of Seismic PRA, Awarded to Risk Engineering,Inc

ML20248E985
Person / Time
Issue date:	09/29/1989
From:	Mcguire R, Wiggins E NRC OFFICE OF ADMINISTRATION (ADM), RISK ENGINEERING, INC.
To:
Shared Package
ML20248E974	List: ML20248E971 ML20248E985
References
CON-FIN-L-1279-9, CON-NRC-04-89-098, CON-NRC-4-89-98 NUDOCS 8910060154
Download: ML20248E985 (485)

Text

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[ AWARD / CONTRACT 1 uT b 'R E is'CrR N

2. , cot m ACi a ,,c. enst. edeno NO. . 3. EF , ECT t vE oAi E .. REoVisi, ION,PuRcH sE REavEsi,PROsEC1 NO.

J5.M c-04-89-098 September 30, 1989 SBIR-89-063 ISSUED B V i 6. ADMINISTE RED BY (J/ orner than 4 tem 4; j l .

CODEI CODEt . _ _

l US Nuclear Regulatory Commissior.

Division of Contracts and Property Managemenn Washington, DC 20555

7. N AME AND ADDR ESS OF CONT R ACT O R INo.. street, city. county, State and /JP Code s 8. DE[v L R Y F B ORIGIN OTHE R (Nec belowJ Risk Engineering, Inc. * " " ' ' " " " ""'"^ * '"'

5255 Pine Ridge Road Golden, CO 80403 NA 10 SUBMIT INVOICES. iiTEM 44 copscs unless other-wisc spect/seds TO THE i G.4 CODE' lF ACILITY CODE ADDRESSSHOWNIN' l u.3r.iPiO,M m eO" '#""'"'~"'"""'"'

CODEI CODEi US Nuclear Regulatory Commission US Nuclear Regulatory Comission Attn: Nilesh Chokshi, NL(S)-372 Div. of Accounting & Finance, MNBB-11104 Washington, DC 20555 Washinoton. DC 20555

13. AUTHORIT Y F OR USING 01 HE R TH AN F ULL AND OPEN COMPETI- 34. ACCOUNT ING AND APPROPRI ATiON DAT A B&R: 96-01-95-00-40 FIN: L12799 010 v.S.C 2accen i

@ 41 u.S C 253icu 5 )

i Appn: 31X0200.905 Ob1iaated: $49,809.00 15A. ITEM NO l 158. SUPP LIE S/SE R VICE S 15C. QU ANTIT Y l1SD UNIT! 15E UNIT PRICE i 15F AMOUNT l t The contractor shall perform research entitled "Qu4ntifical tion of Conservatism in l Seismic Risk Estimates Through Engirieering Advancement of Seismic PRA' in accordance with the schedule and the contractor's technical proposal dated March 24, 1989, which is incorporated herein and mac e a part hereoij.

8910060154 890929 FDR CONTR This is a firm-fixed-price contract. NRC-04-89-098 FDC i i 15G. TOTAL AMOUNT OF CONTR ACT >'s 49,809.00

16. TABLE OF CONTENTS V) I SEC. ' DE SC R IPTIO *. lP AG E(S) V) lSEC l DE SC RIDT ION lPAGE tS)

PA RT l- T HE SCHEDULE PART it - CONTR ACT CLAUSES l A I SOLICITATION! CONTRACT FORM i Xl I l CONTR ACT CL AUSES l 12 xl B i S,JPPLIES OR SERVICES AND PRICES /CCSTS .! 2 PART til - LIST OF OOCUMENT S. E xHIBIT S AND OTHE R ATT ACH.

Xi C l DESCRIPTION / SPECS / WORK STATEMENT l 2 Xl J l LIST OF ATTACHMENTS l 26 Xl D l PACKAGING AND MARKINC 2 PART IV - REPRESENTATIONS AND INSTRUCTIONS Xj E I INSPECTION AND ACCEPT ANCE 2 K REPRESENT ATIONS CERTIFICATIONS AND

! p OTHER STATEMENT;y OF FE RORS yl F 1 DELIVERIES OR PERFORMANCE y i G i CONTR ACT ADMINISTRATION DATA l 3 L lINSTR$.CONDS AND NOTICE S TO OF 5 F PORS l M l EVALUATION F ACTORS FOR AWARD l y IH I SPECIAL CONTR ACT REQUIREMENTS i 7 CONTRACTING OFFICER WIL L COMPL ETE ITEM 17 OR 18 AS APPLICABLE .

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CONT RACTOR'S NEGOTIAT ED AGRE EMENT Icon tractor is rc 28. AWARD (Contractor es not reewed to sign thss document.J Vour 17.

awed to sign this document and return b cornes to issump offuce I of ter on Sonicetation NumDer .

C ontractor agrees to turnisn and ceinver ans sterns or perform mit tne services set intiuomo tne soostions of Cnanoes mace Dy you wniCn acostions or Cnanoes

' Orth 08 Otnerwise edentifieO aDOve and On ariy COntmusteOn $ nee 15 10r tne are Set forth m f ull 3D0ve, il nereby aCCeCled as in the stems 15100 ADove anc

? 3nlideration $14100 pereen. The regnts anc CDogations of the carties to tnts an any Contmuation sheets. Tnts awa*C Consummates tne Contract wheCn Con.

60rdratt Shall De SuDieCt 10 and governed Dy tne followm9 00Cuments: (a) tnel hists of tne 1081DWmg ODCuenents ga) ine Gover nment's solicitation anc your a*Brc -COritract, (D) ine $0lecitation. if any, and rC) Sutn Df 0 visions, reDresenta- Of f er, and (D) thes award / Contract. % f ur ther Coruractuai C DC ument es neces.

110 n 8. Certsf scat eons, and SDeC11eCatiOril, al are attaCned Or encorD0 rated by gary.

ref erenct nertm. tA ttachments o'e insted hercen i 19 A. N AME AND T IT LE OF blGNE R 17 or in 20A. NAME OF CONT R ACTING OF F IC E R hh ka h dl hhb

((N Eh 6/CEMi'M /k 198. N Af6F CON RACT'R g -

lC. D ATE SIG N ED Elois J. WiqQins 208. UNITf D ST AT ES OF AME RIC A ~2 0C. D AT E SIGN ED i

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ISsgnbrure of Con t40$tms Officerb 7 j)) h,

' iSignature of person authornsed to ssgn >

26 107 STANDARD FORM 26 (RE V. 4 81)

NSN 7540 01152 8069 p escr Deo Dv G5A )

PREVIOUS EDITION UNUSABLE 1

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Section B - Supplies or Services and Prices / Costs B.1 Br.ef Description of Work i " The contractor shall conduct research entitled "Quantification of Conservatism in Seismic Risk Estimates Through Engineering

~ Advancement of Seismic PRA."

8.2 Total Fixed Price..................$49,809.00 Section C - Description / Specifications / Work Statement C.I. Statement of Work The work to be performed and the objectives to be met in this contract shall be in accordance with-the contractor's technical proposal in response to the FY 1989 Small Business Innovation Research Program (SBIR) which is incorporated herein as Attachment 4.

Section D - Packaging and Marking D.1 The Contractor shall package material for shipment to the NRC in such a manner that will ensure acceptance by common carrier and safe delivery at destination. Containers and closure shall comply with the Interstate Commerce Commission Regulations, Uniform Freight l-Classification Rules, or regulations of other carriers as applicable to the mode of transportation. On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided.

Section E - Inspection and Acceptance E.1 FAR Citations The contractor shall refer to Section I, Clause No. 52.252-2 for citations incorporated by reference.

Section F - Deliveries and Performance F.1 Reports. Documentation and Other Deliverable End Items

a. Letter progress reports in three copies to the Project Officer and one copy to the Contracting Officer shall be dee by November 30, 1989, and January 30, 1990.

b. A final report to include the results of the work performed under this contract shall be submitted to the Project Officer in one In addition, camera-ready copy and three copies on March 30, 1990.

one copy of the final report shall be submitted to the Contracting Officer on March 30, 1990.

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. -l F.2 Place of Delivery 1

.The items'to be furnished hereunder shall be delivered, with all transportation charges paid by the Contractor, to:

1. Copies to Project Officer:

U.S.- Nuclear Regulatory Commission ATTN: Nilesh Chokshi Office of Nuclear Regulatory Research Division of Engineering Technology Mail Stop: NLS-372 Washington, DC 20555 ,'

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2. Copies to Contracting Officer: .i f

U.S. Nuclear Regulatory Commission ATTN: ' Contracting Officer Division of Contracts and Property Management ,

Contract Administration Branch, P-902  ;

Washington, DC 20555 ,

F.3 Duration of Contract Period i

This contract shall become effective on September 30, 1989, as specified in Block 3 of the SF-26, and shall continue to completion thereof, on March 30, 1990.

F.4 FAR Citations The contractor shall refer to Section I, Clause No. 52.252-2 for citations incorporated by reference.

Section G - Contract Administration Data G.1 Technical Direction A.- Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer named in Section G.2 of this contract. 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, requires pursuit of certain lines of inquiry, fills in details, or otherwise serves to accomplish the contractual scope of work.

2. Providing assistance to the Contractor in the preparation of drawings, specifications or technical portions of the work i description. l I

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1 3 .' Review and,: where required by the contract, approval of technical reports, drawings, specifications and technical

? .information to be delivered by the Contractor to the Government under the contract. I B. Technical direction must_be within the~ general scope of work stated  :)

in the contract. The Project Officer does not have the authority to ;J and'may not issue any technical direction which: ';

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

2. Constitutes a change as defined in the clause of the General y Provisions, entitled " Changes."

p 3. In any way causes an increase or decrease in the total price,

' or the time required for contract performance.

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

. specifications of the contract.  !

C. ALL' TECHNICAL DIRECTIONS SHALL BE ISSUED IN WRITING BY THE PROJECT-0FFICER OR SHALL BE CONFIRMED BY SUCH PERSON IN WRITING WITHIN TEN (10) WORKING DAYS AFTER VERBAL ISSUANCE. A copy of said written direction shall be submitted to the Contracting Officer.

.The Contractor shall proceed promptly with the performance of '

technical directions duly issued by the Project Officer in the manner prescribed by this article and within such person's authority under the provisions of this article.

If..in the opinion of the Contractor, any instruction or direction issued by the Project Officer is within one of the categories as defined in B(1) through (4) above, the Contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the Contractor, the Contracting Officer shall issue an appropriate contract modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the l.

Changes Clause.

D. 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.

NRC-04-89-098 Page 5 c .-

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E..A failure _of the parties to agree upon the nature of the instruction- '

or' direction or upon the contract action to be.taken with respect thereto shall-be subject to the provisions of the contract clause-entitled " Disputes."

e G.2 Project Officer A. The individua?(s) listed in "B" below is (are) hereby designated as the Contracting Officer's authorized representative (hereinafter.

called Project Officer) for technical aspects of this contract.

The Project Officer is not authorized to approve pr reauest any action which results in or could result in an

' increase in contract cost: or terminate; settle any claim or-dispute arisina under the contract, or issue any unilateral-directive whatever.

'The Project Officer'is responsible for: (1) monitoring the Contractor.'s' technical progress, including surveillance and-r- assessment of performance, and recommending to the Contracting Officer changes in requirements; (2) interpreting the scope of work; (3) performing technical evaluation as required; (4)' performing technical inspections and acceptances required by this contract; and (5) assisting the Contractor in the resolution of technical problems -

. encountered during performance. Within the purview of this authority, the Project Officer is. authorized to review all costs requested-for reimbursement by Contractors and submit recommendations for approval, disapproval, or suspension for supplies / services required under the contract. The Contracting Officer is responsible for directing or negotiating any changes in terms, conditions, or amounts cited.in the contract.

For guidance from the Project Officer to the Contractor to be valid, it must: (1) be consistent with the description of work set forth in the contract; (2) not constitute new assignment of work or change to the expressed terms, conditions or specifications incorporated into this contract; (3) not constitute a basis for an extension to the period of performance or contract delivery schedule; and, as stated above, (4) not ci*2titute a basis for any increase in the contract cost.

B. Name and Phone No.: Nilesh Chokshi - 301-492-3947 Office Address: U.S. Nuclear Regulatory Commission l-Office of Nuclear Regulatory Research Mail Stop. NLS-372 Washington, DC 20555 G.3 Invoice Requirements Invoices shall be submitted in an original and 3 copies to:

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-:U.S. Nuclear Regulatory Commission Division of' Contracts and Property Management Contract' Administration Branch-- P-902

. Washington,-D.C. 20555.

To. constitute a proper invoice,_the invoice must include the following

'information and/or attached documentation:

-1. Name of the business concern and invoice date.

2. Contract number or other authorization for' delivery of property or

. services.

3. Description price and quantity of property and services actually

-delivered or rendered, y

.4, Shipping and payment terms.

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5. Name (where practicable), title, phone number, and complete. mailing address of. responsible official to whom payment is to be sent.

6. 0ther substantiating documentation or information as required by the

. . contract.

G.4 Payment

a. Payment shall be made in the amount of $16,400.00 to the contractor after receipt of each of the two' letter progress reports as required in Section F.1.a. Payment shall not be made prior to receipt of said progress reports.

b. Final payment shall be made in the amount of $17,009.00 to the contractor after receipt of the final report as required in Section F.1. b .

c. All contractor invoices shall identify the contract number and the monthly letter progress report for which payment is claimed.

d. If this contract provides for a discount, the contract shall indicate the contract's discount terms (Block 9 of Standard Form 26) on the face page of the invoice.

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Section H - Special Contract Requirements H.1 KEY PERSONNEL (MAR 1987)

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

The Contractor agrees that such personnel shall not be removed from the cortract work or replaced'without compliance with paragraphs b ano c hereof,

b. If one or more of the key. personnel for whatever. reason becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or-initially anticipated, the Contractor shall immediately notify the

. Contracting Officer and shall, subject to the concurrence of the Contracting 0fficer, promptly replace such ' personnel with personnel of at least substantially equal ability and qualifications.

c. All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They contain a complete resume for the proposed substitute, and other information requested by the Contracting Officer to approve or disapprove the proposed substitution. The Contracting Officer will evaluate such requests and promptly notify the Contractor of his/her approval or disapproval thereof in writing.

d. If the Contracting Officer determines that:

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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 or the service order, J the contract may be terminated by the Contracting Officer for default or for ]

the convenience of the Government, as appropriate. If the Contracting j Officer finds the Contractor at fault for the condition, the contract price 1 or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.

H.2 Safety. Health, and Fire Protection

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The' Contractor shall take all reasonable precautions in the performance'of the work under this contract to protect the' health and safety of. employees.and of members of the public and to minimize danger from all hazards to life and property and shall comply with all health, safety, and fire protection l regulations and requirements (including reporting requirements)~.of the Commission and the Department of. Labor.

In the. event that-the Contractor fails to comply, with said regulations-g .

or requirements, the Contracting Officer may, without prejudice to any- :l other legal or contractual rights of the Commission, issue an order y stopping;all or any part'.'of the work, thereafter, a start order for N resumption of work may be issued at the discretion of the Contracting ij Officer. The Contractor shall make no claim for an extension of time  !!

or for compensation or damages by. reason of or in connection with such y s

. work stoppage. ;1 U

o H.3 Dissemination of Contract Information (OMB Clearance Number 3150-0112) 1 The Contractor shall.not publish, permit to be published, or 4

disseminate ~to the public any information, oral or written, concerning i the work performed under this contract without the prior written consent of the Contracting Officer. Two copies of any information a

. proposed to be published or disseminated shall.be submitted to the Contracting Officer. Failure to comply with-this clause shall be )

. grounds for termination of this contract. H H.4 Private Use of Contract Information and Data (June 1988) l l: l l

Except as specifically authorized by this contract, or as otherwise L

approved by the Contracting 0fficer, information and other data I developed or acquired by or furnished to the Contractor in the l performance of this contract shall be used only in connection with the l work under this contract.

H.5 Drawings, Desions, and Specifications All drawings, sketches, designs, design data, specifications, notebooks, technical and' scientific data, and all photographs, negatives, reports, findings, recommendations, data and memoranda of every description relating thereto, as well as all copies of the  !

foregoing relating to the work or any part thereto, shall be subject to ,

inspection by the Commission at all reasonable tines (for which  !

inspection the proper facilities shall be afforded the Commission by the Contractor and its subcontractors), shall be the property of the Government and may be used by the Government for any purpose whatsoever s

'without any claim on the part of the Contractor and its subcontractors i

'- and vendors for additional compensation and shall, subject to the right of the Contractor to retain a copy of said material for its own use, be delivered to the Government, or otherwise disposed of by the Contractor either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer

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shall direct upon completion or. termination of this contract. The-Contractor's right of retention and use shall be subject to the security, patent, and use of information provisions, if any, of this contract.

H.6 Proprietary Data and Confidential Information 4 In connection with the performance.of the work under this contract, the 1 Contractor may be furnished, or may develop or acquire, proprietary data (trade secrets.) or confidential or privileged technical, business, or financial information, including Commission plans, policies, reports, financial plans, internal data protected by the Privacy Act of 1974 (P.L.93-579), or other information which has not been released to the public or has been determined by the Commission to be otherwise exempt from disclosure-to the public. The Contractor agrees to hold such information in confidence and not to directly or indirectly duplicate, disseminate, or disclose such information, in whole or in l- part, to any other person or organization except as may be necessary to i . perform the work under this contract. The Contractor agrees to return

.such information to the Commission or otherwise dispose of it, either as'the Contracting Officer may, from time to time, direct during the progress.of the work or, in any event, as the Contracting Officer shall direct upon completion of termination of this contract. Failure to comply with this clause shall be grounds for termination of this cont *act.

H.7 Organizational Conflicts of Interest (OMB Clearance Number 3150-0112)

-(JUNE 1988)

a. ' Purpose. The primary purpose of this clause is to aid in ensuring L 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 pr.rticipation 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 L entering into consulting or other contractual arrangements with any firm or organization the result of which may give rise to a conflict of interest

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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 l

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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. .l

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 L organizationalJconflicts 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.

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e. Access to.and use of information. 4

1) If the Contractor in the performance of this contract obtains access to information, such as NRC. plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579),

or data which has not been released to the public, the Contractor-agrees not to: j (i) Use this information for any private purpose until the information has been released to the public; (ii) Compete for work for the Commission based on the information for a period of six (6) months after either the completion of this contract or the release of the information to the Public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on the

.information until one year after the release of the information to the public, or (iv) Release the information without prior written approval by the

. Contracting Officer unless the information has previously been released to the public by the NRC.

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

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

-f. Subcontracts. Except as provided in 41 CFR 20-1.5402(h), the J 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.

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g. Remedies. For breach of any of the above restrictions or for intentional' nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations that necessarily imply bad faith, the Government may terminate the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies Permitted by law or this contract.

h. . Waiver ( A request for waiver under this clause must be directed in writing through the Contracting Officer to the Executive Director for

Operations (EDO) in accordance with the procedures outlined in 41 CFR 20-1.5411.

H.8 Government Furnished Equipment / Property - None Provided (June 1988)

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

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i PART II - CONTRACT CLAUSES SECTION I. - CONTRACT CLAUSES I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE: .The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference:

FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) 1 NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS

, 52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 1984 COVENANT AGAINST CONTINGENT FEES 52.203-6 JUL 1985 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT 52.203-7 OCT 1988 ANTI-KICKBACK PROCEDURES 52.215 APR 1984 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL 52.215-2 APR 1988 AUDIT.-- NEGOTIATION 52.215-31 SEP 1987' WAIVER OF FACILITIES CAPITAL COST OF MONEY 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS 52.219-13 AUG 1986 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES 52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS 52.222-3 APR 1984 CONVICT LABOR 52.222-26 APR 1984 EQUAL OPPORTUNITY 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS 52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 52.222-37 JAN 1988 EMPLOYMENT REPORTS ON SPECIAL DISABLED.

VETERANS AND VETERANS OF THE VIETNAM ERA 52.227-1 APR 1984 AUTHORIZATION AND CONSENT 52.227-2 APR 1984 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT 52.227-11 JUN 1989 PATENT RIGHTS-RETENTION BY THE CONTRACTOR (SHORT FORM) 52.227-20 JUN 1987 RIGHTS IN DATA-SBIR PROGRAM 52.229-3 APR 1984 FEDERAL, STATE, AND LOCAL TAXES 52.229-5 APR 1984 TAXES -- CONTRACTS PERFORMED IN U.S.

POSSESSIONS OR PUERTO RICO 52.232-1 APR 1984 PAYMENTS 52.232-11 APR 1984 EXTRAS 52.232-17 APR 1984 INTEREST 52.232-23 JAN 1986 ASSIGNMENT OF CLAIMS 52.233-1 APR 1984 DISPUTES

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f,*NRC-04-89-098 Page 13 52.233-3 JUN 1985 PROTEST AFTER AWARD 52.243-1 AUG 1987 CHANGES -- FIXED PRICE ALTERNATE I (APR 1984) 52.245-2 APR 1984 GOVERNMENT PROPERTY (FIXED-PRICE CONTRACTS) 52.249-8 APR 1984 DEFAULT (FIXED-PRICE SUPPLY AND SERVICE) 52.249-4 APR 1984 TERMINATION FOR THE CONVENIENCE OF THE GOVERNMENT (SERVICES) (SHORT FORM)

I.2 PROMPT PAYMENT (52.232-25) (APR 1989)

Notwithstanding any other payment clause in this contract, the Government will make invoice payments and contract financing payments under the terms and conditions specified in this clause. Payment shall be considered as being made on the day a check is dated or an electronic funds transfer is made. Definitions of Pertinent terms are set forth in 32.902.

All days referred to in this clause are calendar days, unless otherwise specified.

(a) Invoice Payments 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 Government and the Contractor.

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

(i) The 30th day after the designated billing office has received a proper invoice from the Contractor.

(ii) The 30th day after Government acceptance of supplies delivered or services performed by the Contractor. On a final invoice where the payment amount is subject to contract settlement actions, acceptance shall be deemed to have occurred on the effective date of the contract settlement. However, l

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 ()ntractor compliance with contract requirements.

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

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.b (1) The due date for meat and meat food products, as defined in Section "'

2(a)(3) of the Packers'and Stockyard Act of 1921 (7 U.S.C. 182(3)) and further defined in Pub. L.'98-181 to include any edible 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 l contract.

(iii) The due date for dairy products, as defined in Section 111(e) of the Dairy. Production Stabilization Act'of 1983 (7 U.S.C. 4502(e)), edible fats or oils, and food products prepared from edible fats or oils, will be as close as possible to, but not later than the 10th day after the date on which a' proper-invoice has been. received.

(iv)' If the contract does not. require submission of an invoice for :i payment (e.g., periodic lease payments), the due date will be as specified i in the contract. .]

(4) An invoice is.the Contractor's bill or written request for payment under the contract for supplies delivered or services performed. An invoice

-shall be prepared and submitted to the designated billing office specified in the contract. . A proper invoice must include the items listed in subdivisions (a)(4)(i) through (a)(4)(viii) of this clause. If the invoice does not comply with these requirements, then the Contractor will be notified of the defect within 7 days after receipt of the invoice at the designated billing office (3 days'for meat and meat food products and 5 days for perishable agricultural commodities, edible fats or oils, and food products prepared from edible fats or oils). Untimely notification will be taken into account in the computation of any interest penalty owed the Contractor in the manner described in subparagraph (a)(6) of this clause.

(i) Name and address of the Contractor.

(ii) Invoice date.

j (iii) Contract number or other authorization for supplies delivered or services performed (including order number and contract line item number).

(iv) Description, quantity, unit of measure, unit price, and  !

extended price of supplies delivered or services performed. i (v) Shipping and payment terms (e.g., shipment number and date of  ;

shipment, prompt payment discount terms). Bill of lading number and weight i of shipment will be shown for shipments on Government bills of lading. ,

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(vi) Name and address of Contractor official to whom payment is to be sent (must be the same as that in the contract'or in a proper notice of assignment).  ;

-(vii) Name (where practicable), title, phone number and mailing address n

- of person to be notified in event of a defective invoice. 4 (viii) Any other information or documentation required by other requirements of the contract (such as evidence of shipment).

(5) An interest pen'alty 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)(1) through (a)(5)(iii) of this clause are met, if applicable. An. interest penalty shall not be paid on contracts awarded to foreign vendors outside the United States for work performed outside the United States.

(i) A proper invoice was. received by the designated 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 interest penalty shall accrue daily on the invoice payment amount approved by the Government and be compounded in 30-day increments inclusive from the first day after the due date through the payment date.

- That is, interest accrued at the end of any 30-day period will be added to the approved invoice payment amount and be subject to interest penalties if not paid in the succeeding 30-day period. If the designated billing office failed to notify the contractor of a defective invoice within the periods prescribed in paragraph (a)(4) of this clause, then the due date on the corrected invoice will be adjusted by subtracting the number of days taken beyond the prescribed notification of defects period. Any interest penalty owed the Contractor will be based on this adjusted due date. Adjustments will be made by the designated payment office for errors in calculating l' interest penalties, if requested by the Contractor.

(1) For the sole purpose of computing an interest penalty that might be due the Contractor, Government acceptance shall be deemed to have occurred

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lG constructively on-the'7th day'(unless otherwise specified in this contract).

g, after the Contrdctor delivered the supplies or performed the services in -  !) '

accordance with'the terms and conditions of the contract, unless there is a

t. disagreement over quantity, quality,.or contractor. compliance with a

~

. contract provision. In the. event that actual acceptance occurs _within the

'o ' constructive. acceptance period, the determination of an interest penalty

• shall be' based on the actual date of acceptance. The constructive acceptance requirement does not, however, compel Government' officials to accept' supplies or services, perform contract administration functions, or  ;

4 make payment" prior to fulfilling their responsibilities. p u

l (ii) The'following' periods of time will not be included in the 1 determination of an interest penalty:

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( . -(A)~The period taken to notify the Contractor of defects in invoices- I 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, 1 1

. dairy products, edible fats or oils, and food products prepared from edible ifats orl oils). a

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_( B)'1he period'between the defects notice and resubmission of the corrected invoice by the' Contractor. .,

'(iii) Interest' penalties will not continue to accrue after the filing l

.'of a claim for_such penal _ ties under the clause at 52.233-1, Disputes, or for  !

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more than 1l year. Interest penalties of less than $1.00 need not be paid.

(iv) Interest penalties are not required on payment delays due to disagreement between the Government and Contractor over the payment amount or other issues involving contrr.ct compliance or on amounts temporarily Lwithheld 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 l designated payment office, without request from the contractor, if a j discount'for prompt payment.is taken improperly. The interest penalty will l i

be calculated as described in subparagraph (a)(6) of this clause on the amount of discount taken for the period beginning with the first day after the end.of the discount period through the date when the Contractor is paid.

(8) If this contract was awarded on or after October 1, 1989, a penalty  !

j amount, calculated in accordance with regulations issued by the Office'of Management and Budget, shall be paid in addition to the l interest penalty' amount if the Contractor-(1)- Is owed an interest penalty; p (ii) Is not paid the interest penalty within 10 days after the date the invoice amount is paid; and s

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-(iii) Makes a writton deman'd, not later than 40 days after the'date the invoice amount is paid, that the agency pay such a penalty. ,

(b) Contract Financing Payments (1) For purposes of this clause, " contract financing payment" means a

. Government disbursement of monies to a Contractor under a contract clause or other authorization prior to acceptance of supplies or services by the Government. Contract financing payments include advance payments, progress payments based on cost under the clause at 52.232-16, Progress Payments, progress payments based on a percentage or stage of completion  !

(32.102(e)(1)) other than those made under the clause at 52.232-5,. Payments

' Under Fixed-Price Construction Contracts, or the clause 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 specifiednin

, 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 reqerstLby the designated billing office. In the event that an  ;

audit or.othet review of a specific financing request is required to' ensure compliance with the terms and conditions of the contract, the designated '

l payment office is not compelled to make payment by the due date specified.

(3) For advance payments, loans, or other arrangements that do not  ;

!nvolve recurrent submissions of contract financing requests, payment shall  !

be made in accordance with the corresponding contract terms or as directed j by the Contracting Officer.

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

(c) If this contract contains the clause at 52.213-1, Fast Payment i Procedure, payments will be made within 15 days after the date of receipt of the invoice.

1.3 ELECTRONIC FUNDS TRANSFER PAYMENT METHODS (52.232-28) (ApR 1989)

' Payments under this contract will be made by the Government either by ,

check or electronic funds transfer (through the Treasury Fedline Payment  :

System (FEDLINE) or the Autom' a ted Clearing House (ACH)), at the option of the Government. After award, but no later than 14 days before an invoice or l contract financing request is submitted, the Contractor shall designate a 1 financial institution for receipt of electronic funds transfer payments, and I shall submit this designation to the Contracting Officer or other Government j official; as directed.

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I (a) For payment through FEDLINE, the Contractor shall provide the following information:

(1) Name, address, and telegraphic abbreviation of the financial

. institution receiving payment.

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

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

(4) If the financial institution does not have access to the Federal Reserve Communications System, name, address, and telegraphic abbreviation of the correspondent financial institution through which the financial institution receiving payment obtains wire transfer activity. Provide the telegraphic abbreviation and American Bankers Association identifying number for the correspondent institution.

(b) For payment through ACH, the Contractor shall provide the following information:

(1) Routing transit number of the financial institution receiving payment (same as American Bankers Association identifying number used for FEDLINE).

(2) Nun;ber of account to which funds are to be deposited.

(3) Type of depositor account ("C" for checking, "S" for savings).

< (4) If the Contractor is a new enrollee to the ACH system, a " Payment

-Information Form," SF 3881, must be completed before payment can be processed.

. (c) In the event the Contractor, during the performance of this

':ontract, elects to designate a different financial institution for the receipt of any payment made using electronic funds transfer procedures, notification of such change and the required information specified above must be received by the appropriate Government official 30 days prior to the date such change is to become effective.

(d) The documents furnishing the information required in this clause must be dated and contain the signature, title, and telephone number of the Contractor official authorized to provide it, as well as the Contractor's

'name and contract number.

(e) Contractor failure to properly designate a financial institution or to provide appropriate payee bank account information may delay payments of amounts otherwise properly due.

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f I.4 CLAUSES INCORPORATED BY REFERENCE m (FAR 52.252-2) (JUN 1988)'

This contract incorporates one or more clauses by reference, with the L

same force and effect as if they were given in full text. Upon request, the L Contracting Officer will make their full. text available.

(End of Clause) 1.5 REMEDIES FOR ILLEGAL OR IMPROPER ACTIVITY (52.203-10) (MAY 1989)

(a) The Government, at its election, may reduce the price of a-fixed krice type contract or contract modification and the total cost and fee e

under a cost-type contract or contract modification by the amount of profit or fee determined as set forth in paragraph (c) of this clause if the head of the agency or his or her designee, determines that there was a violation '

of' subsection 27(a) of the Office of Federal Procurement Policy Act (41 U.S.C. 423)'as' implemented in the FAR. In the case of a contract i modification, the fee subject to reduction is the fee associated with the particular contract modification.

(b) Prior to making such a fee or profit reduction, the agency head or his or her designee shall provide to the Contractor a written notice of the action being considered and the basis therefor. The Contractor shall have a period determined by the agency head or his or her designee, but in no event.

less than 30 calendar days after receipt of such notice, to submit in person, in writing, or through a representative, information and argument in opposition to the proposed reduction. The agency head or his or her designee may, upon good cause shown, determine to reduce the contract ot- contract modification price or fee by an amount which is less than the amount determined under paragraph (c) of this clause.

(c) The price or fee reduction referred to in paragraph (a) of this clause shall be --

(1) For cost plus-fixed-fee contracts, the amount of the fee specified in the contract at the time of award; (2) For cost plus-incentive-fee contracts, the target fee specified in the contract at the time of award notwithstanding any minimum fee or " fee floor" specified in the contract.

(3) For cost plus-award-fee contracts --

(i) The base fee established in the contract at the time of contract award; (ii) If no base fee is specified in the contract, 10 percent of the amount of each award fee otherwise payable to the contractor for each incentive period or at each award fee determination point.

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j; (4) For fixed price-incentive contracts, the Government may --

(1) Reduce the contract target price and contract target profit both  !

by an amount equal to the initial target profit specified in the contract at j L

the time of contract award; l (ii) When the contract provides for multiple deliverables, reduce the  ;

amount otherwise payable to the contractor upon each delivery and acceptance by an amount determined by the Contracting Officer to be the profit portion  !

of each payable amount until the cumulative total of such reductions is ,

equal to the initial target profit amount specified in the contract at the i time of contract' award; (iii) In addition to any other withholdings, retentions or reserves, 1 reduce the amount of progress payments otherwise payable in connection with each invoice or voucher properly submitted by the contractor for payment  !

until the aggregate progress payments amounts so withheld equal the initial i target profit established at the time of contract award; or l (iv) If the Government elects either (c)(4) (ii) or (iii) of this clause, at the time of total final price establishment, the price l established in accordance with the incentive price revision provisions of  !

the contract shall be reduced by an amount equal to the amount of initial l target profit specified in the contract at the time of contract award and.  !

-such reduced price shall be the total final contract price. Any progress payments amounts retained by the Government in (c)(4)(iii) of this clause shall be returned to the contractor, if appropriate.

(5) For firm-fixed price contract or contract modifications, by 10 percent of the initial contract price; 10 percent of the contract modification price; or a profit amount determined by the Contracting Officer from records or documents in existence prior to the date of the contract award or modification.

(d) The Government may, at its election, reduce a prime contractor's l price or fee in accordance with the procedures of paragraphs (b) and (c) of {

this clause for violations of the Act by its subcontractors by an amount not to exceed the amount of profit or fee reflected in the subcontract at the time the subcontract was first definitively priced.

(e) In addition to the remedy in paragraph (a) of this clause, the Government may terminate this contract or modification for default. The rights and remedies of the Government specified herein are not exclusive and are in addition to any other rights and remedies provided by law or under this contract.

I.6 PROTECTING THE GOVERNMENT'S INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED,' SUSPENDED, OR PROPOSED FOR DEBARMENT (52.209-6)

(MAY 1989) 1

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Page 21 NRC-04-89-098 (a) The Government suspends or debars Contractors to protect the Government's interests. Contractors shall not enter into any subcontract

' equal to or in excess of $25,000 with a Contractor that has been debarred, suspended, or proposed for debarment unless there is a compelling reason to do so. If a Contractor intends to subcontract with' a party that is debarred, suspended, or proposed for debarment (see FAR 9.404 for information on the.

list of Parties Excluded from Procurement Programs), a corporate officer or designee of the Contractor shall notify the Contracting Officer, in writing, before entering into such subcontract. The notice must include the following:

(1) The name of the subcontractor; 3

(2) The Contractor's knowledge of the reasons for the subcontractor being on the list of Parties Excluded from Procurement programs; (3) The compelling reason (s) for doing business with the subcontractor notwithstanding its inclusion on the list of parties Excluded from Procurement Programs; and (4) The systems and procedures the Contractor has established to ensure that-it is fully protecting the Government's interests when dealing with such subcontractor in view of the specific basis for the party's debarment, suspension, or proposed debarment.

(b) The Contractor's compliance with the requirements of 52.209-6 will be reviewed during Contractor Purchasing System Reviews (see FAR Subpart 44.3).

I.7 DRUG-FREE WORKPLACE (FAR 52.223-6) l (a) Definitions. As used in this clause,

" Controlled substance" means a controlled substance in schedules I through V of section 202 of the Controlled Substances Act (21 U.S.C. 812) and as further defined in regulation at 21 CFR 1308.11-1308.15.

" Conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of the Federal or State criminal drug statutes.

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

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

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NRC-04-89'-098L Page 22 e

l l~ Employee" means an employee of a contractor directly engaged in the '

performance of work under a Government contract.

" Individual" means an offeror / contractor that has no more than one employee including the offeror / contractor.

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

(1) Publish a statement notifying its employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled l

substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violations of such.

prohibition; (2) Establish a drug-free awareness program to inform such employees about--

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

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

(i) Abide by the terms of the statement; and (ii) Notify the employer of any criminal drug statute conviction for a

- violation occurring in the workplace no later than five (5) days after such conviction.

(5) Notify the Contracting Officer within ten (10) days after receiving notice'under subdivision (a)(4)(ii) of this clause, from an employee or otherwise receiving actual notice of such conviction; (6) Within 30 days after receiving notice under subparagraph (a)(4) of this clause of a conviction, impose the following sanctions or remedial measures on any employee who is convicted of drug abuse violations occurring in the workplace:

'NRC-04-89-098 Page 23 i

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(1) Taking appropriate personnel action against such employee, up to j and including termination; or l (ii) Require such employee to satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency.

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

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

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

I.8 RESTRICTIONS ON CONTRACTING WITH SANCTIONED PERSONS (52.225-13) (MAY 1989)

(a) Definitions. (1) " Component part," means any article which is not usable for its intended functions without being imbedded or integrated into any other product and which, if used in production of a finished product, would  ;

be substantially transformed in that process.

(2) " Finished product," means any article which is usable for its intended function without being inibedded in, or integrated into, any other product.

It does not include an article produced by a person, other than a sanctioned persnn, that contains parts or components of the sanctioned person if the parts or components have been substantially transformed during production of the finished product.

(3) " Sanctioned person," means a company or other foreign person upon whom prohibitions have been imposed.

(4) "Substantially transformed," when referring to a component part or finished product, means that the part or product has been subjected to a substantial manufacturing or processing operation by which the part or product is converted or combined into a new and different article of commerce having a new name, character, and use.

(b) General. Section 2443 of the Multilateral Export Control Enhancement l

Amendments Act (Pub. L. 100-418) and Executive Order 12661, effective December 28, 1988, impose, for a period of 3 years, with certain exceptions, l a prohibition on contracting with, or procuring (including rental and

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L lease / purchase) directly or indirectly the products or services of (1)

Toshiba Machine Company, (2) Kongsberg Trading Company, (3) Toshiba Corporation, or (4) Kongsberg Vaapenfabrikk. The Act and Executive Order also prohibit, for the same 3 year period, the importation into the United States of all products produced by Toshiba Machine Company and Kongsberg

. Trading Company. These prohibitions also apply to subsidiaries, successor entities or joint ventures of Toshiba Machine Company or Kongsberg Trading Company.

(c) Restriction. Unless listed by the Contractor in its offer, in the solicitation provision at FAR 52.225-12, Notice of Restrictions on Contracting with Sanctioned Persons, or unless one of the exceptions in paragraph (d) of this clause applies, the Contractor agrees that no products or services delivered to the Government under this contract will be products or services of a sanctioned person.

(d) Exceptions. The restrictions apply --

(1) To finished products of nonsanctioned persons containing components of a sanctioned person if these components have been substantially transformed during the manufacture of the finished product.

(2) To products or services of a sanctioned person provided --

(i) The products are designed to the specifications of a nonsanctioned person marketed under the trademark, brand or name of the nonsanctioned person; (ii) The business relationship between the nonsanctioned person and the sanctioned person clearly existed prior to June 30,1987; and (iii) The nonsanctioned person is not directly or indirectly owned by a sanctioned person.

(3) If a determination has been made in accordance with FAR 25.1003 (a) or (b).

(e) Award. Award of any contract resulting from this solicitation will not affect the Contractor's obligation to comply with importation regulations of the Secretary of the Treasury.

(End of clause)

I.9 DISCOUNTS FOR PROMPT PAYMENT (52.232-8) (APR 1989)

(a) Discounts for prompt payment will not be considered in the evaluation of offers. However, any offered discount will form a part of the award, and will be taken if payment is made within the discount period indicated in the offer by the offeror. As an alternative to offering a p

. NRC-04-89-098'- Paga 25 L

prompt payment discount in conjunction with the offer, offerors awarded-contracts may iriclude prompt payment discounts;on individual invoices.

'4 (b) In connection with any discount offered for prompt. payment, time L ~ shall.be computed'from the date of the invoice. For the purpose of computing the discount earned, payment shall_be considered to have been made on the date which appears on the. payment check or the date on which-an electronic funds transfer was made.

(End of Clause) l

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1. PART III - LIST OF. DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS y i: ,

Section J - List of Attachments

' A'tt ;chment Number- Title p

k- 1- 'NRC Contractor Organizational Conflicts of Interest 2 NRC Manual Chapter 3202 3 Billing Instructions for Fixed Price Contracts 4 Contractor's Technical Proposal dated March 24, 1989, in response to the FY89 Small-Business Innovative Research Program (SBIR) j

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SAPPENDIX'B-(  :.

O.'S.-NUCLEAR REGULATORY COMMISSION SMALL' BUSINESS INNOVATION RESEARCH PROGRAM (SBIR89)

PHASE'I - FY: 1989 PROJECT

SUMMARY

FOR NRC USE ONLY

_Prrgram Office- TIM Proposal No. Topic: No.

10 BE COMPLETED BY PROPOSER Name and Address of Proposer Risk Engineering, Inc.

5255 Pine Ridge. Road Golden. Colorado ~ 80403 m

'Name and Title of Principal . Investigator Robin K. McGuire,' President Title of Project-

Quantification of Conservatism'in. Seismic Risk Estimates Through

~ Engineering Advancement of Seismic PRA

Technology, hesearcn Thrust.ana/or Potential Commercial Application (Limit to $ words)

Multiple-Macnitude Hazard / Fragility Approach to Seismic PRA Tecnnical Abstract (Limit to 200 worcs)

Significant conservatism in modern seismic PRA derives from simplifications in ground-

. motion characterization at the, interface of seismic hazard and fragility methodologies.

<This conservatism arises because a single composite-magnitude, broad-band, ground-motion

. spectrum is'usedito derive fragility functions, whereasL the' majority-of motiens

< contributing to site hazard have (less-damaging) narrow-band spectra. This researchi refines motion characterization, using explicit multiple, magnitude-dependent spectra, and develops' magnitude-dependent fragilities and magnitude-decomposed hazards, to quantify conservatism in seismic PRAs. For an existing PRA,.this work will first implement advanced linear and nonlinear' structural and component _models, and calibrate these against existing PRA fragilities, using motions characteristic of the composite-magnitude spectrum.

Then,7new. magnitude-dependent fragilities will be developed with the calibrated models,

.using several site-specific ground motions. Simuistions using available Boolean logic will'be conducted to construct plant-level, magnitude dependent fragilities. Seismic

. hazard'will be.cceputed and decomposed into magnitude ranges specific to the new fragilities. Tinally, hazard / fragility convolutions will be performed to obtain an

accurate seismic core-melt frequency distribution. Comprehensive comparison of the FRA and the new assessment will be made, delineating the specific nature of conservatism in Ecurrent practice.

Anticipated Results/ Implication of the Approach"(both Phase I and II/ Potential Commercial application of Research Morefaccurate assessment of seismic hazard and fragility will advance the engineering quality of seismic'PRA. Increased sophistication of motion characterization in hazard / fragility Lassessment,'and use of realistic nonlinear structural models, will delineate conservatism believed to exist in seismic PRAs. Phase I will identify the levels and sources of conservatism for a particular nuclear plant. Phase II will, for several, plants explore the effects of the predominant sources of conservatism identified in Phase I, resulting in

-specific methods and recommendations to most effectively enhance the realism of seismic risk estimates. Accurate evaluations of seismic risk will help the NRC better implement its safety policies and effectively focus on the primary sources of risk in decision making.

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= C. : Identification and Significance of the Problem or Opportunity L Technical Problemi Conservatism in Seismic PRA Results ,

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'Results obtained from'several probabilistic risk assessments (PRAs) performed to date for nuclear power plants (NPPs)in the eastern United States (EUS) ' indicate that the seismic -

.t contribution to core-melt frequency is often a substantial fraction 'of the total core-melt

< risk. For example, seismic initiators have been calculated to be significant contributors to I

core-melt risk in the Zion 1 & 2, Limerick 1:& 2, Seabrook 1 & 2,- Millstone 3, Oconee 3, and Shoreham PRAs. NRC-sponsored and published TAP-45 studies of Turkey Point 3

'k 4, Point Beach 1 & 2, Saint Lucie 1 & 2, and Cooper have also shown seismic events to be important contributors to total core-melt risk; in addition, TAP-45 studies of ANO 1 and Quad Cities 1 & 2 have indicated earthquakes to be a major source of the total

. core-melt risk. Most recently. tentative risk results obtained from NUREG 1150 studies of Peach Bottom and Surry also show that seismic initiators are " major contributors' to core

. damage frequencies at these plants (Stello,19S9).

L These observations based.on seismic risk computations. however, are counter intuitive for the following reasons: the eastern United States is generally a tectonically stable region.

earthquakes are rare phenomena. nuclear plants are not sited near the sources of large his-torical shocks (specifically, the 1811-1812 New Madrid. Missouri sequence. and the ISS6 Charleston event), and design practices generally ensure that plants have substantial seismic ruggedness. For these reasons (and others detailed), many engineers believe that seismic risk estimates for NPPs are conservatively biased.

Importance of Problem

. Risk results are intended to be founded on realistic estimates of initiating event frequencies and plant response: it is desirable to eliminate, to the extent feasible, any conservatism or unconservatisms from the risk analysis process. In this manner. decision makers can use risk results to make proper judgments within a risk management framework that rationally reflects societal risk preferences. If, as many suspect, substantial conservatism is innate to current seismic risk estimation, then the decision-making process will weigh too heavily the

- seismic aspects of plant safety.

The proposed research willidentify significant sources of conservatism in seismic PRAs and '

l quantify the implications of these conservatism on seismic core-melt frequency estimates.

The results of this research will be of critical significance to implementation of NRC safety policies (including safety goals) and to evaluation of existing design regulations.

1 East of the Rocky Mountains.

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g D. Background, Technical Approach and Anticipated Benefits l is L A number of possible sources of conservatism in seismic risk analysis can be hypothesized. a Fundamentally, however, the framework for seismic risk assessment,i.e., the manner in which l

iplant modeling, recovery analysis, and probabilistic techniques are applied, does not diffe

from methodology employed in assessment of risk for random internalinitiating events fundamental aspects of risk assessment, within the context of the above-stated problem, have -

not been called into question as being substantially conservative; even if they were, such -

conservatism would likely' apply similarly to both the seismic and non seismic assessments.

~ What is largely native to the treatment of seismic events, as opposed to other event's fou k

to be signifkant risk initiators, is the specific technique used to evaluate and combine haz-ards and fragilities. Futhermore, professionals specializing in these aspects of seismic risk assessment generally acknowledge conservative elements in these specific methods. althoug l

no formal ana)<ses have been previously undertaken to specifically delineate these and quan-J tify their effects on risk. Below, we present an overview background of the seismic fragility and hazard aspects of seismic risk assessment, and indicate some of the likely'significant conservative elements in these analyses:

Seismic fragilities may be obtained rigorously (1) Backcround: Fragility Assessment.

by stochastic analysis of all basic random variables effecting structural and compo- _

nent seismic failure responses. However, earthquake motions are non stationary. non- j gaussian processes: nuclear plant structures are complex multiple-degree-of freed Therefore such a systems: and fragility or failure involves nonlinear system behavior.

stochastic assessment would be a tremendous effort for just a single structure within j In addition, technology to treat fragility assessments in a particular nuclear plant. l this manner (i.e.. through a nonlinear random vibrations approach) has only recently 1 emerged, and efficient algorithms that would make such an approach practical for P implementation have not yet been developed. Numerical methods are a more practil  !

cal alternative to analytical stochastic fragility evaluation, and involve simulating a ]

set of structures (from distributions of basic random parameters) and ground motions (from probabilistic ground motion models), performing nonlinear time-history response

^

calculations, and making failure assessments. Numerical simulation. although still ex-pensive,is commonly applied to PRA models for assessment of plant response du internal initiators, containment response to various core-damage states, and offsite-damage response to various release categories.

Modern practice in seismic fragility assessment is based neither on detailed stochas tic process analysis nor on numerical simulation of structural-/ component-system re- ,

sponses. Rather, due to practical restrictions in scope and detail of seismic PRAl simple analytical analysis that requires substantial engineering judgement has b '

developed and implemented. The fundamental format of this analysis has gone es-sentially unchanged since the earliest seismic PRA and since formal documenta PRA procedures (PRA Procedures Guide.19S1).

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12 g .

i Seismic fragilities, in the present fundamental format, are characterized by the three parameters ), Sn, and Su of a doubly lognormal distribution. ) is the " median-p median" ground acceleration capacity; i.e., it is the median value from a lognormal

~

-distribution reflecting the uncertainty in the median acceleration capacity 2.' For a ,.

given value of median acceleration capacity 5, the variability due to randomness in acceleration capacity A is described by th'e logarithmic standard deviation #n. The uncertainty in fragility is described by the variability in the values of j! through the

" logarithmic standard deviation Sv. In seismic PRA procedures, Bn is explicitly asso-ciated with inherent variations in component response due to the random character of the earthquake motions, whereas #u is explicitly associated with lack of knowledge

. about material behavior and the response of any particular component.'

. Yalues of 3, Sn, and Se are obtained through analysis and judgment of safety factors.

An overall safety' factor F is defined simply as an ultimate failure (or non operability) capacity divided by a reference working (e.g., a design bas r) load or demand. Under this definition, the median acceleration failure capacity 2 can be obtained as follows; b , .

.4 = F Assr (1) where P is the median overall safety factor and Asst is the.SSE (Safe Shutdown

- Earthquake) design acceleration.

The overall safety factor F consists of various elemental safety factors: a list and description of typical elemental safety factors is shown in Table L Consistent with the

. assumptions of lognormal fragilities, elemental safety factors are assumed lognormal.

and Equation 1 can be expanded (using the notation for elemental safety factors in Table 1) in the following form:

) = Ps P, Pro 'Pss fc ?>1 Psic Psnss fssi Asse (2)

Additionally, the values of Ja and de can be constructed from elemental values: again assuming lognormality, these variability parameters can be expressed as:

8n = \ /($s)n + (#,)h + (8Eo)n + . . . (3) and du = /(85)b + ($y)[; + (dro)[ + . . . W lt is worth emphasizing that fragility assessments within this format are obtained by comparison with design procedures and calculations, as opposed to direct computation

[

and analysis of failure. Most fragility assessments are determined exclusive from ex-isting plant design information and linear analysis results. Determination of seismic fragilities in this manner has clearly involved the use of substantial engineering judg-ment, and despite the apparent comprehensive array of safety factors seen in Table 1, some important elements of conservatism are evident in this procedure.

One potential source of significant conservatism in current seismic PRA derives from simplifications in the treatment of ground motion characterization at the " pinch point" i

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- Table 1: Typical Elemental Factors of Safety Used in ,

Seismic Fragility Assessment.

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- Elemental

Safety Factor- Description

j Y" Fs . Elastic Strength Reserve q F, inelastic Capacity Reserve.

Fro Earthquake Duration / Response-Cycles Safety Factor Fss Spectral Shape Safety Factor ,

Fe . Damping Safety Factor i L

Structural Model Safety Factor l

? Fu F3rc - hdal Combination Safety Factor l Esass Combination of Earthquake Components Factor of Safety ,

Fssi Soil Structure Interaction Factor of Safetr l

l- j l

or interface of seismic hazard and fragility assessments. These simplifications have sub-stantialimpacts on the manner in which safety factors Fy, Frp, and Ess are obtained and also have some (likely lesser) impacts on the other safety factors. l I

To illustrate,in current practice. a single, rather broad band ground motion spectrum is used to describe the seismic threat, and forms the basis for motion characterization in

,- 1 ll seismic fragility assessments. The problem with this simplified. single spectrum treat-ment is that the array of earthquake motions representing the site seismic hazard may be quite different from that used in deriving the fragility functions. More specifically, the majority of motions contributing to site hazard will have narrow-band, rather than

' broad-band, spectra. Recent research on the engineering characterization of ground motion (Sewell and Cornell,1989: Kennedy et al.,1954) has shown that spectral band-l width has a predominate effect on earthquake damageability; narrow-band spectra are less likely to be damaging for the following reasons:

(a) They affect structures only within their narrow-band frequency window. and (b) Even if a structure happens to have an initial (linear) frequency that lies within the narrow-band, upon experiencing nonlinearity. the structure's frequency will decrease and readily shift cut of the narrow-band of peak spectral amplification. J

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. l The central frequencies of narrow band spectra are quite variable, and can span a wide l l

frequency window. As a result, a composite (e.g., an average) of these spectra will be very broadly banded, and hence, will fictitiously represent all (narrow band) ground motions as being damaging to all structures. Recent seismic PRAs have implicitly *

. l used a composite spectrum not based on all motions, but based on motions typical of a particular narrow magnitude range. Although these corcposite spectra could be obtained using seismicity specific to a particular site in the EUS, they are univer-sally obtained from ground motion relations derived from small magnitude events in the Western United States (WUS). Recent studies of EUS ground motions (Toro and McGuire 1987) have demonstrated that typical EUS motions have considerably more high frequency content and higher peak ground accelerations (PGAs) than WUS mo-tior" for the same magnitude and distance. This means that, conditional on a PGA level (which is the way fragilities are assessed), the WUS motion will be scaled up to meet that level and will have too much energy at low to moderate frequencies (1 to 10 Hz). It.will thus overpredict damage for components in that range, implying a significant conservatism in seismic PRAs performed to date.

Additionally, seismic PRAs use a broad-band composite of WUS motions derivedfrom 2

all magnitudes to describe the nonlinear damageability of (EUS and WUS) ground motions and to derive a safety factor Fy. The use of a composite broad band spectrum in this manner is very conservative; it implies that all motions have damageabilities representative of a composite of WUS motions, and it does not allow for the benefit that when a structure yields under a narrow-band motion, the accompanying reduction in its frequency will cause it to move otT a spectral peak. Also, the lower frequencies (1 j

to 5 Hz) scale more strongly with magnitude than does PGA, so the small magnitudes l

will cortribute less damage than the simplistic scaling of a standard spectral shape by  ;

PGA would indicate. The shorter duration of small magnitude ground motions also  !

contributes to less damage, and is not represented by scaling PGA. All of these factors will be accounted for in the refined methods to be examined in this project.

Backcround: Hazard Assessment. Seismic hazard analyses for PRAs present a com-posite picture of the hazard from all possible earthquakes. This treatment is both a strong point and a weakness of seismic hazard assessment (Panel on Seismic Haz-ard Analysis.195S). On the positive side, it allows a comprehensive analysis to be performed with simple. straightforward calculations by combining the threat from all

- possible earthquakes into a single ground motion parameter, typically the peak ground acceleration. On the negative side, for a given PG A level, the damage caused by an l

earthquake is well-known to be correlated with the magnitude of the shock, because (among other reasons) large-magnitude earthquakes cause ground motions of longer duration, and the duration of shaking and number of cycles of response affect damage in structures. This dependence is treated (at best) only implicitly, however. when scis-mic hazard curves for PG A are used to calculate frequencies of component failures. It is likely that this composite-magnitude treatment of hazard has resulted in substan-l tial conservatism, because the much larger number of small earthquakes means that

By nonlinear damageability, we mean the potential of a ground motion. once if has caused a structure to yield. to then "ra:chet" the structure through damaging nonlinear cycles.

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l same seismic risk as in the original PRA is immaterial. We are looking for changes in j

relative hazard; the use of modern catalogs, attenuation equations. and hazard programs is the only way to ensure that EUS earthquake ground motions are properly portrayed in this  !

project. -

Task 2: Fragility Assessment. This task consist's of two steps, fragility model calibration and simulation of magnitude-dependent fragilities; these two steps are detailed below: .

J (a) Fragility Model Calibration. In this phase of the fragility assessment plan, existing fragility data will be used to calibrate structure and equipment models. The purpose of this calibration is to ensure that the PRA fragilities can be replicated, so that the j

new, magnitude-dependent fragilities will be based on established failure parameters, '

and that the constructed analytical models will be substantially the same as those used in the PRA.

(b) Simulation of Magnitude-Dependent Fragilities. This phase of fragility assessment is l based on numerous ground-motion and plant-model simulations. The ground motion l '

simulations will be made using the random-vibrations model of Toro and AlcGuire.

This is a state-of-the art model of ground response that has been applied extensively to sites in the EUS. This model has been used to derive spectral and PGA attenuation relationships for the EPRI hazards assessment program for the EUS.

For the chosen plant site, approximately 100 motion time histories will be synthesized for a set of magnitudes (e.g., 5.25. 5.75. 6.25, etc.). For each component, several model simulations will be performed from distributions of predominant random variables (e.g..

yield strength, stiffness, etc) of the models, using the Latin-Hypercube form of Afonte-Carlo simulation. Information on distributions of the basic random variables will be derived from current literature, of which Risk Engineering and its consultants, Drs.

C. Allin Cornell and Robert P. Kennedy, are well acquainted. It is anticipated that some judgment will also be required in these determination; the project team has the best background and experience in making these assessments. On the order of 50 simulations will be obtained for each component model.

Once the simulated structural / component models and ground motions have been ob.

tained, fragility curves will be evaluated. For any given structure / component, and for a set of motions simulated for any given magnitude, the process for obtaining a fragility family will be as follows:

1. Choose one simulated model of the structure / component.

2. Scale all 100 site ground motions (associated with a particular magnitude) to have a peak acceleration equal to a starting value at.

3. Subject the simulated model to each of the 100 motions. Determine the frac-tion of motions that caused the structure's response to exceed its failure or non-operability threshold (as defined in the PRA fragility assessment). This failure fraction defines one point (at acceleration ai) on the fragility curve of the partic-ular component subjected to a particular magnitude earthquake.

J' 11

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. a given ground motion is much more likely to have been caused by a (less-damaging) small earthquake than a large one. Discussions, for instance at the 1987 EPRI Work- ,

shop on Engineering Characterization of Small-Magnitude Earthquakes, have gener-ated significant interest among utilities, NRC representatives, and consultants, related ,

't'o magnitude-disaggregation of seismic hazard results and its effects on probabilistic estimates of structural damage. To date, h6 wever, magnitude-disaggregation of hazard -

and failure (fragility) assessments have not been seriously studied, particularly with

.x respect to their effects on seismic risk estimates.

Technical Approach. The purprese of this research is to examine and quantify the ef-

fects of the conservatism noted above in seismic hazard and fragility assessment. The -

= approach taken in Phase I will be to explore the effects of these conservatism on the i

seismic safety assessment of an EUS nuclear power plant for which a seismic risk study has already been performed. This will nvolve using existing core-melt plant logic, and for the important structures and components, generating'new, magnitude-dependent fragilities.that have been calibrated against the failure criteria in the PRA fragility.

assessments. Magnitude-dependent, plant-level core-melt fragilites will be developed from the existing seismic core-melt Boolean logic, using state-of-the-art techniques for plant simulation. Seismic hazard curves, disaggregated by magnitude, will also be ob-tained for the PRA-plant site. These will be convolved with the magnitude-dependent.

plant-level fragilities to obtain a new seismic core-melt frequency distribution, to quan-tify the overalllevel of conservatism in seismic risk estimates. The dominant sources of conservatism will be determined through direct observation and limited sensitivity study. Specific details of the effort are described in Section F. " Phase I Work Plan" below.

(2) Anticipated Results of the Technical Approach. It is anticipated that the research will be successfulin identifying primary sources of conservatism in current methods of seismic PRA. If carried over to Phase II, the work is expected to produce extensive verification of seismic conservatism, to develop specific methods to eliminate these conservatism in PRA practice, and to bring a greater confidence to seismic PRA estimates. As such, the work will increase the realism and advance the quality of PR A:

the project results, for instance, will be of particular use in explaining the counter-intuitive result from past seismic studies that seismically induced failures appear to be significant contributors to total plant core-melt risk. Specific benefits, costs, and implications anticipated from Phase I and 11 research are outlined below:

(a) Benefits. The primary benefits of the work will be to enhance the technical quality of seismic risk analysis and of the PRA process. The results will be of immediate benefit to the NRC and utilities in decision making. The technical benefits will be reaped not only by these bodies, however, but also by agencies and researchers involved in general applications of seismic risk analysis. In addition.

by removing conservatism in seismic risk assessment and increasing the realism of risk estimates. it is anticipated that unnecessary public anxiety over the seismic threat to nuclear facilities can be somewhat alleviated, with accompanying societal benefits.

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~(b) Costs. The cost of Phase I contract' research will be $49,809; Phase Il project :

costs are expected to' total between $120,000 and $130,000.

L l* _ (c) ' Policy and Decision Implications. .The proposed research is not foreseen to cre-p ate a need. for a change ~in current policy or development of new policy. -It 'will e '

h likely effect policy and safety. decisions, however,in the' context of a change in H a tes will mean that effort and resources can .

emphasis

-improved ~ seismic risk estim' be expended in a more optimal fashion on the truly: dominant sources of risk.

F ~

Implementation in PRA practice of efficient (practical) technical ad_vancements revealed after Phase 11 work, will help. verify the general adequacy of present-

['

seismic design regulations, and sharpen focus on specific elements in the seismic -

r design process, if any, that ma'y require improvement. "l p

Phase 1 is envisioned to be

-(3) Phase 1 Effort as a Foundation for Phase 11 Research.

a comprehensive single case-study of seismic conservatism in PRA practice. It will involve development of specific methodologies'of hazard and fragility assessment and implementation:of these methodologies in integrated. computer programs. Phase II; study _ involving a fuller scope'of plants, will use these automated methods and more

. fully' exploit them than will Phase 1. It is anticipated that approximately five plants

~

will be studied comprehensively in Phase II. As a foundation for Phase 11 work. Phase 1-will additionally pinpoint the most significant directions of study for Phase II.

E. ' Phase I Technical Objectives A summary of Phase I technical objectives is listed below:

1. Identify a plant for investigation.

. 2. For the components important to core melt risk, develop accurate. magnitudd e- ependent seismic fragilities that are specific to local expected ground motion characteristics.

3.' Deve' lop a magnitude-disaggregate seismic hazard algorithm, and perform computa-

tions for the plant site.

1

4. Evaluate a new, more-accurate core-melt frequency distribution for the plant. and compare with PRA' results.

5. Delineate the sources of greatest conservatism in the PRA analysis.

Phase I research will address the following questions:

1. What are the greatest conservatism in a typical seismic PRA analysis?

2. What level of conservatism, measured in terms of core-melt frequency. is implied in a typical seismic PRA?

i 9

a. a .

3.'What are the characteristics of magnitude-disaggregate hazard and fragility results.

and how do these differ from present assessments?

4. What are the specific practical problems in implementing advanced seismic PRA tech- '

nologies, and how can these be resolved through further research and development of accurate simplifications in Phase ll? -

- F. Phase I Work Plan The Phase I work plan is divided into four distinct tasks. Task 1, ' Data Collection" details concisely the data needed for the research and how it will be gathered. Task 2, " Fragility Assessment" describes how component models will be calibrated against existing fragility results and how new, magnitude-dependent fragilities will be simulated. Task 3, " Hazard Assessment' presents the strategy for disaggregating seismic hazard results by magnitude and performing site hazard computations. Finally, Task 4, " Conservatism Quantification" details the method by which a new, accurate core-melt frequency will be obtained and how specific conservatism will be identified and their effects quantified.

Task h Data Collection. Phase I research first requires the selection of a plant for study.

This selection will be finalized under advice and agreement of project personnel. The plant selected must have a seismic risk study with documentation sufficiently detailed to conduct the work. Risk Engineering. Inc. has performed detailed analysis of existing seismic PRA data over the past two years and is well-familiar with the PRAs which qualify as candidates ,

for this project. Candidate plants include, but are not limited to: Seabrook 1 & 2. Indian Point 2, Indian Point 3. Limerick 1 & 2. Shoreham, Millstone 3, Zion 1 & 2, and Oconee.

Other studies which likely qualify as candidates for this project include the TAP-45 and NUREG-1150 evaluations. There will be no delay in collecting study data, as Risk Engi-neering. Inc. possesses in-house (and is well acquainted with) all seismic PRAs for Ells nuclear power plants.

Once a plant is selected, its seismic core-melt plant logic will be examined and seismically vulnerable components will be identified. Data to construct adequate mathematical compo-nent models will be collected from the existing fragility studies and from the plant FSAR.

Simultaneous with fragility data collection, a representation of the seismic hazard will be developed. This representation will be consistent with the seismic sources used in the PRA.

but will incorporate modern earthquake catalogs and attenuation equations. The resulting seismic hazard will be used with PRA core-melt logic and fragilities to compute (using I computer programs already developed by Risk Engineering explic;tly for these applications) a base-case core-melt frequency. This core-melt frequency will then be used for comparison with a core melt frequency derived using the refined fragility functions and hazards developed for this project.

1 I

Whether the use of modern earthquake catalogs and attenuation functions indicates the 10

4. Continue repeating Steps 2 and 3 for for a set ofincreasing ground accelerations.

In this manner, a single fragility curve is obtained for the one simulated compo-nent.

5 ' Continue repeating Steps 1 to 4 for all simulations of the structure / component ,

model. In this manner, a family of fragility curves is obtained for the particular conponent/ structure when subjected to site-specific ground motions of a given magnitude.

This process will be completed for all structures / components and for all magnitudes (each characterized by 100 motions). In this manner, a new set of magnitude-dependent These fragility families will be obtained for all components important to core-melt.

fragilities are more accurate than typical PRA fragilities because they are derived from detailed characteristics of the ground motions expected at the plant site. In addition, being magnitude-dependent, these fragilities can be readily combined with disaggregate-magnitude hazard results derived under Task 3, " Hazard Assessment.~

Tack 3: Hazard A seament. Seismic hazard analyses will be conducted in the proposed work using standard established procedures. Risk Engineering. Inc. is well-qualified to perform this work; Risk Engineering. Inc. is an acknowledged leader both in seismic hazard appli-cations to nuclear power plants and in pioneering research in seismic hazard methodology.

particularly for the EUS.

All computer programs necessary to perform hazard computations in the proposed work have been developed in house by Risk Engineering and have been thoroughly tested and verified. .\linor programming changes will be made to the calculation code to obtain hazard results in a disaggregate ma5nitude form. For example,in the analysis code, the total seismic hazard is obtained as a summation of the hazard derived from all discrete magnitudes. To disaggregate the total hazard into a particular set of ciiscrete magnitude " bins. one simply performs separate summations of the hazard derived from magnitude elements within tho bins. These magnitude bins will coincide with the specific magnitudes for which fragility assessments are made under the -Fragility Assessment Plan above. To ensure that total probability is conserved, the results of hazard and fragility convolutions must be summ for each magnitude specific combination, when obtaining a final seismic core-melt frequency.

Task 4: Conservatism Quantification. This phase of work involves development of magnitude-dependent, plant-level core-melt fragility curves, using the magnitude-specific fragility curve obtained under the Fragility Assessment Plan and the core-melt Boolean logic available in the plant PRA study. Risk Engineering. Inc. has developed and tested computer programs that accomplish this task and hazard / fragility convolutions, and have used these extensiv in analyzing seismic PRA data. The programs involve simulation of various plant-level m els from component fragility functions and performing a plant core-melt analysis (using the core-melt Boolean logic) at several accelerations. Similar to the iterative procedure describe above for component fragility assessments, a set of magni ude-dependent. plant-lcrcl fragility families will be generated.

12

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L. .

Once the plant-level fragilities are obtained, fragilities for a' specific magnitude are convolved 2

l' '

? ' Lwith hazard results disaggregated for the same magnitude. In this manner, a partial seismic core melt frequency distribution, that for a specific magnitude bin or event, will be obtained.

1 Performing similar convolutions. for corresponding (i.e., magnitude similar) fragilities and .

hazardst a total seismic core-melt frequency distribution is obtained. To quantify overall _ '

L conservatism in the seismic PRA, t_he mean from,' this distribution will be compared to the; mean seismic core-melt frequency obtained from a conventional (composite-magnitude) PRA cnalysis._ Specific dominant sources of conservatism in the conventional PRA analysis will i > be identified by inspection and sensitivity analysis, as required. l Task 5 Documentation. The final task.will be documentation of the project results in the form of a final report to the NRC. This report will describe the tasks conducted for the study and the results obtained. Quantification of conservatism will be in the form of factors by which seismically induced frequencies of core-melt have been over-estimated for the example  ;

plant, because of the broad-band WUS spectra used to determine component fragilities and the grouping of all earthquake magnitudes into a single seismic hazard curve.

REFERENCES  :

l

1. American Nuclear Society and Institute of Electrical and Electronic Engineers. FRA j Procedures Guide. Technical Report NUREG/CR-2300. U.S. Nuclear Regulatory Com-  !

mission, January 19S1.

2. Robert P, Kennedy. S. A. Short. K. L. Merz, F. J. Tokarz. I. M. Idriss. Maury S. Power and K. Sadigh, Engineering Characteri:ation of Ground 31otion - Task 1: Efects of Characteristics of Free-Field 31otion on Structural Response. NCREGlCR 3505. Yol.

1. U.S. Nuclear Regulatory Commission. February 1984.  !

3. Panel on Seismic Hazard An.alysis. Probabilistic Seismic Hazard Analysis, National I

- Academy Press, Washington. 97 pp.195S.

l

4. Robert T. Sewell and C. Allin Cornell. ' Nonlinear-Response-Based 31casures of the Damage Potential of Earthquake Ground 3fotion and Their Use in Seismic Ha:ard

. ' Analysis, EPRI Technical Report (To be published 19S9).

t

5. Victor Stello, Jr., " Status Report and Preliminary Results of NUREG-1150", SECY-89-055, NRC Policy issue Information hiemo from V. Stello to the Commissioners.

February 17,19S9.

6. Gabriel R. Toro and Robin K. McGuire, "An Investigation into Earthquake Ground l 4

Motion Characteristics in Eastern North America,' Bulletin of the SeismologicalSoci-ety of America. Vol 77, No. 2, pp. 46S-4S9, April 19S7.

13 .

1

_________-____-____________-_Q

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7 ' % Phcsa I Ststern;nt sf Work i

~ 1.- Project Objective .

Risk Engineering, Inc. (REI) and its consultants shall investigate and ~ quantify conser-vatisms in current seismic PRA practice, primarily those conservatism arising from i

simplifications in ground motion description and the implication of these.simplifica- -l i

~

tions on hazard and fragility assessments. The effort shall be conducted for one plant for which'a seismic risk study has been performed and published, and will include a new assessment of seismic core-melt frequency using existing plant logic. This research

'is intended to clarify conservatism in seismic PRA, and to ultimately improve the 1

. quality of risk' estimates for use in decision making.

2. Scope of Work The research to be performed consists of the following tasks:

2.1 Data Collection. Identification of a case-study EUS power plant; derivation of .

seismic. core-melt' logic, existing fragility data, structural and component data sufficient to reconstruct analytical models. Compilation of seismic source geome-

[

I try and seismicity data.

2.2 Fragility Assessment. Construction of mathematical structure and equipment l

models and calibration of these against existing fragility data and failure crite.

ria. Synthesis of site-specific ground-motion time histories using a random vibra- l tions model. Simulation of component models. Nonlinear time-history analysis of structure / component' model responses, and failure assessments. Development of magnitude-dependent fragility families for components in plant seismic core melt logic.

2.3 Hazard Assecsment. Computation of site hazard disaggregated into magnitude ranges specific to new fragilities.

2.4 Conservatism Quantification. Simulate numerous magnitude-dependent seismic plant models from component fragilities and failure (core-melt) responses of sim-ulated plants using plant Boolean logic. Construct magnitude-dependent, plant-level fragilities; convolve these with magnitude-dependent hazard results; obtain new seismic core-melt frequency distribution.

2.5 Documentation. Document study results, conclusions recommendations in final report.

\ .

3. Performance Schedule Task 2.1 completed 1 month after start of work.

Tasks 2.2 and 2.3 completed 3 months after start of work.

Tasks 2.4 completed 5 months after start of work.

Task 2.5 completed 6 months after start of work.

I

4. Deliverables Risk Engineering,Inc. will fully document the study description, study results and its conclusions, and make reconunendations in a final report to the NRC.

14 L _- _- _ _

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'H. Facilities /Equiprnent j :-

s

.. R EI owns a Digital Equipment Corporation MicroVax 11 Computer, which is the main facility. '

's.

J used for project computations. This is a 32-bit microcomputer that supports multiple users and the DEC VAX/VMS operation system.' Memory and storage capabilities consist of 2- -

(Mbyte physical memory, two 33-Mbyte hard disks, one 300-Mbyte hard disk, a j " magnetic

. tape drive, and a dual 400-Kbyte floppy diskette system. Peripherals include a DEC LA-210

= printer, a QMS PS-810 laser printer plotter, a Hewlett-Packard HP-7074 two-pen plotter, five terminals, and two 1200-baud modems.

~ REI maintains time-share services with two commercial computer services in the Denver area which offer Digital Equipment Corporation VAX ll/780's.. Other facilities available are a -Zeta 36" pen plotter, a VERSATEC 22" electrostatic plotter, a SUMMAGRAPHICS digitizer, and 9600-baud telephone communications. Computer services at these facilities are available at standard commercial rates.

REI also owns a COMPAQ 3S6/20e personal computer (PC), for facilitation of data transfer.

This machine.is a high-performance PC capable as a back-up for engineering computations:

it has full 32 bit architecture, based on the Intel 80386 microprocessor and 803S7 math

- coprocessor. The size of random access memory (RAM) is 2 Mbyte, and permanent strage capability consists of one 40-Mbyte hard disk, one 1.2Mb/360Kb 5{" floppy drive, and one 3}" disk drive. .i No additional items including purchase of new equipment, will be required to conduct the proposed work.

I. Consultants Risk Engineering, Inc. will act as prime contractor for the proposed work, will have full responsibility for its coordination and execution including all computations and analysis.

Dr. Robert P. Kennedy will review component fragility assessments, provide expert advice

'on modeling components and performing fragility calibrations. will review the project report and results, and provide recommendations and interpretation of results. Dr. C. Allin Cornell will provide expert advice, review, and interpretations on all aspects of the project in general.

REI personnel, Dr. Kennedy, and Dr. Cornell have worked together on numerous previous projects; no problems in coordination or execution of the proposed work are anticipated.

J. Related Work The personnel at Risk Engineering,Inc. have. for the past 6 years conducted a major project for the Electric Power Research Institute to quantify seismic hazards at some 60 nuclear 15 4

c

- i plants in the eastern U.S. In addition, they have examined 22 available PRAs for eastern US plante and have developed computer programs that model seismic fragility functior.s and plant logic as done in the original PRAs, so that the effect of different seismic hazard curves on frequencies of core melt can be quantified. As a result of these projects, all of the

• computer programs and algorithms are in place to conduct the research proposed here.

Consultants R. P. Kennedy and C. A. Cornell have been involved in seismic PRAs since their inception, and have been consultants to NRC-sponsored research to define appropriate seismic safety margins. Early collaboration led to the standard method of defining seismic fragilities with randomness and uncertainty quantified, which is now used in all seismic PR As throughout the world. Recent research and applied work has concentrated on defining seismic fragilities for plant components using advanced !inear and non-linear models of structural response, incorporating the changes in frequency and damping that structures undergo when subjected to high levels of ground motion.

I K. Key Personnel Personnel proposed for this project form the best qualified team available to investigate q

the accuracy of seismic PRAs. Their expertise covers the areas of seismic hazard analysis.

seismic fragilities, and integration of component effects with plant logic to determir.e plant response.

Dr. R. K. McGuire has performed seismic hazard analysis specifically for PRA application at 25 nuclear plants in this country and abroad, and is author of the computer program EQRISK that is used throughout the world for seismic hazard analysis. He also is the principalinvestigator for a major. 6-year program sponsored by the Electric Power Research Institute to quantify seismic hazards at some 60 nuclear power plants in the eastern U.S.

Dr. R. P. Kennedy has 20 years of experience in the dynamics of structures and their response to earthquake motions. Iie has participated in defining the seismic fragilities of nuclear plant components for most of the seismic PRAs conducted throughout the world, and is a recognized leader in methods of specifying seismic fragilities.

Professor C. A. Cornell wrote the seminal papers on probabilistic seismic hazard analysis.

and has been involved in the seismic hazard - structural response interface for 20 years.

He has recently conducted research projects on the non-linear behavior of nuclear plant structures and equipment subjected to extreme loads.

Dr. R. T. Sewell has a strong background in structural dynamics and structural response to earthquake motions. His Ph.D. thesis was in the area of quantifying nuclear plant com-ponents' responses to earthquake motions using advanced non-linear modeling, and in de-veloping seismic hazard measures of non-linear response. He has also developed and applie ccmputer codes to model plant system behavior using Boolean logic, so the effects of alter-native hazard curves and fragility functions on seismic PRA results can be studied.

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c.  : Curriculum Vitae for these individuals are included below in Section Q.

U.- .

i IL.' : Potential Post ' Applications a i  !

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No specific potential commercial applications are foreseen for the proposed 7vork.at-this t time. Research results will be presented at appropriate conferences and reported.on.in '

the' literature, with possible general interest by nuclear utilities to support similar future research through Risk Engineering, Inc. as a small business in accord with the aims of the SBIR program.

The NRC will have immediate use for the project results and methods. The project results:

will have potential impact,on NRC seismic safety decisions, including use of seismic risk results, and'on evaluation'of SRC design regulation.

M. Current and Pending Support l

l.

. There is no current or pending support from any source for a similar proposal.

. N. Pre-existing Relevant Patents and Inventions The proposed work is in no way related to or dominated by any pre-existing patents patent

! applications. or inventions owned or controlled by Risk Engineering, Inc. or other entities, d

1

-O. Budget 1

The proposed budget for this work is included on pages 18 to 20.  :

P. Information on Applicant's Current Research Commitments Personnel at Risk Engineering,Inc. currently anticipate being approximately 50% committed j during the course of this project, so that conducting the research proposed here will not l

conflict with other obligations.

Q. Curriculum Vitae Curriculum Vitae for the personnel on this project are contained on pages 21 to 24.

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Risk Engineering,Inc.

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Curriculum Vitae t-ROBIN KEITH McGUIRE

' s.

, TITLE : President ,

EXPERTISE : Earthquake Engineering i Risk Analysis Decision Analysis Geostatistics s

LEXPERIENCE : President. Risk Eneineerinc. Inc.

. Technical Director of major project for Electric Power Research Institute to develop and apply methods of evaluating earthquake hazards in the castern U.S. This work involved directing the efforts of 50 carth scientists in charac-  !!

terizing the tectonics and earthquake potential of the region, and in using this information to characterize the earthquake hazard for nuclear power plants.

g e' Lead Consultant on numerous studies of seismic and environmental risk for. ,

i utilities, insurance groups, and commercial clients. Develops methods of risk analysis for a wide range of engineering facilities and financial investments.

ACADEMIC BACKGROUND: Ph.D. Degree - Structural Engineering Massachusetts Institute of Technology M.S. Degree - Structural Engineering University of California, Berkeley S.B. Degree - Civil Engineering Massachusetts Institute of Technology

RECENT PUBLICATIONS

McGuire, R.K., ed., Seismic Hazard Methodology for the Central and Eastern United States, Report NP-4726, Electric Power Research Institute, February,1957.

McGuire, R.K., "An Investigation into Seismic Ground Motion in Eastern North America," Bull. Seis. Soc. Am., Vol. 77, No. 2, April 19S7. (with G.R. Toro).

(A fulllist of publications numbering more than sixty is available upon request.)

Risk Engineering,Inc.

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Risk Engineering,Inc.

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4 L Curriculum Vitae 1

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- ROBERT THOMAS SEWELL

- TITLE : Senior Engineer EXPERTISE : Earthquake Engineering Structural and Dynamic Analysis Seismic Analysis of Soils and Earth Structures 1 Reliability Analysis of Engineering Facilities RECENT EXPERIENCE : Senior Engineer, Risk Engineering,Inc.. (Golden, CO) e Applied PRA techniques to assess changes in nuclear power station risks, reflecting improvements in seismic hazard methodology. Development of a safety goal based screening methodology for utility plants.

Research Assistant. John A. Blume Eartlapiake Entre. Center. Stanford Univershv

. Conducted research on the damage potential of ground motion. emphasizing implications to linear and nonlinear structure and equipment response.

. Conducted research on the seismic, static, and h.s diologic reliab!!ity of carth dams, for evaluating their overall risk. Developed a simplified procedure to derive seismic fragilities for carth dams.

ACADEMIC -

BACKGROUND: Ph.D. Degree - Civil (Structural) Engineering i Stanford University Engineer and M.S. Degrees - Civil (Structural) Engineering Stanford University B.S. Degree (with Distinction) - Civil Engineering California State University, Chico IRECENT PUBLICATIONS : Sewell, R.T. (1987). "Non linear-behavior intensity measures in seismic hazard anal-ysis." In Proceedings of the international Seminar on Seismic :onation, Guangzhou, China. (with C.A. Cornell).

Sewell, R.T. (1987). Fundamentals of the Analysis and Design of Shell Structures.

Prentice-Hall,Inc., Englewood Cliffs, N.J. (with V.S. Kelkar).

Sewell. R.T. (1956). A Study of Factors influencing Floor Response Spectra in 1 Nonlinear Multi Degree-of Frcedom Structures. Technical Rept. 62. John A.

Blume Earthquake Engineering Center, Stanford University. (with C.A. Corne2, R.K. '.icGuire, and G.R. Toro).

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EB.S.;--Civil l Engineering,' Stanford.UniversityJ. 1 M.S. wStructural Engineering Stanford University , j

<' . P h '. D .c - Structural Engineering; Stanford-University 4

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> v' REGISTRATION- \

Civil Engineer,. States of California, Tennessee, Texas,2and- Alabama l g:.

SUMMARY

y, !Over twenty years e'xperience in static. and dynamic analysis plus design of- special purpose civi1 and mechanical-type structures, particularly for  :

the nuclear, petroleum,^ and defense industries: designiof. structures to i f' . resist extreme loadings including seismic, missile impact, extreme wind, -)

impulsive-loads, and. nuclear . environmental effects; development tive and program of- .j

- computerized structural analysis.. methods; admii n stra 1

. management;~ and teaching.

PROFESSIONAL EXPERIENCE Seismic Ruogedness'- Nuclear Facilities Chairman, Senior' Seismic Review and Advisory Panf '55 RAP), jointly advis-

~

ing both nuclear power utilities and-the'US' NRC on .ssues Memberrelating of NRCtoExpert seismic ruggedness < of existing nuclear power plants.

' Panel on Seismic Margin for nuclear power plants. .Co-author of Electric Provided Power Research Institute (EPRI) Seismic. Margin Research Program. l technica1' direction on seismic fragility portion of seismic probabi.listic ^

risk assessments for.23 nuclear power plants. Developed the methodology most- commonly used for such-studies and author of many technical papers thereon. Taught. short courses on seismic PRA methodology in U.S., Spain,

' ' - Taiwan, and People's Republic of: China. Consultant on seismicDirected evaluation  ;

or design,for more than 40 nuclear facilities through world. j se,ismic analysis of many nuclear power plant buildings and components. j LDirected many-nonlinear seismic response analyses investig)ations.on nuclear i Evaluated effects-r.,f differential earth movement (f aulting l t f acility. ' Performed a number of dynamic. soil-structure interaction i analyses of nuclear reactor containment' building accounting for the non-Di

'inear effects of' base slab uplift.

j i  ;

of nuclear ' foci.lity to. demonstrate increased seismic capacity. Evaluated  ;

concepts for seismic response mitigation and increased energy absorption. j

-Chairman,- ASCE committee on seismic analysis of nuclear f acilities. l i

23 Structural Mechanics Consulting. Inc.

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+- o C. ALLIN CORNELL EDUCATION; i.

Stanford University Architecture AB 1960 g

Stanford University, Civil Engineering (Structures) MS 1961 Stanford University, Civil Engineering (Structures) PhD 1964 l.

Doctoral Thesis: " Stochastic Process Models in Structural Engineering" PROFESS 10 SAL EMPLOYMENT; Stanford University Acting Assistant Professor 1963-1964 Universidad Nacional Autonoma de Mexico Visiting Professor Summer 1966 University of California, Visiting Associate Berkeley Professor 1970-1971 Basler and Hofmann.

Zurich Research Engineer Succer 1972 Laboratorio Nacional de Visiting Research Engenharia Civil, Lisbon Investigator 1974-1975 Massachusetts Institute of Technology:

Assistant Professor and Fura Post-Doctoral Fellow 1964-1966 Assistant Professor 1966-1968 Associate Professor 1968-1974 Holder of Gilbert Winslow Career Development Chair 1971-1974 Professor 1974-1983 Stanford University Visiting Professor 1981-1983 Professor (Research) 1983-present Half-Time Consulting Practice Part-Time 1965-1981 Half-Time C. Allin Cornell, Inc. President 1981-present Cygna, Inc., San Francisco Senaer \1ce President 1984-1965 24

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REVISED 8/89 BILLING INSTRUCTIONS FOR FIXED PRICE CONTRACTS

' General: The contractor shall prepare vouchers or invoices as prescribed  ;

'herein. FAILURE TO SUBMIT VOUCHERS / INVOICES IN ACCORDANCE WITH THESE l

' INSTRUCTIONS WILL RESULT IN REJECTION OF THE VOUCHER / INVOICE AS IMPROPER.

Form: ' Claims shall be submitted on the payee's letterhead, l voucher / invoice, or on the Government's Standard Form 1034, "Public Voucher d for Purchases and Services:Other than Personal," and Standard Form 1035, ~l "Public Voucher for Purchases Other than Personal--Continuation Sheet."

These forms are available from the U. .S. Government Printing Office, 701 l Nortn Capitol Street,: Washington, D.C. 20801.

Number of Copies: An original and three copies shall be suomitted.

Failure to submit all the required copies will result in rejection of the voucher / invoice as improper.

.-Designated Agency Billing Office: Vouchers / invoices shall be submittea to .g the following address: 4 l U. S. Nuclear Regulatory Commission l

Division of. Contracts and Property Management

Contract Administration Branch, Mailstop P-902 i Washington, D.C. 20555 HAND-DELIVERY OF VOUCHERS / INVOICES IS DISCOURAGED AND WILL NOT EXPEDITE PROCESSING BY NRC. However, should you choose to deliver vouchers / invoices by hand, including delivery by any express mail services or special delivery services which use a courier or other person to deliver the voucher / invoice in person to the.NRC, such vouchers / invoices must be .,

addressed to the above Designated Agency Billing Office ano will only be accepted at the following location: ,

l U. S. Nuclear Regulatory Commission One White Flint North

. 11555 Rockville Pike Mail Room Rockville, Maryland 20852 HAND-CARRIED SUBMISSIONS WILL NOT BE ACCEPTED AT OTHER THAN THE ABOVE ADDRESS.

l Note that the official receipt date for hand-delivered voucners/ invoices will be the date it is received by the official agency billing office in the Division of Contracts and Property Management.

Agency Payment Office: Payment will continue to be made by the office desionated in the contract in Block 13 of SF 26 or Block 25 of SF 33, whichever is applicable.

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b 2 REVISED 8/89 Frequency: . The. contractor shall submit an voucher or invoice only after NRC's. final' acceptance of services. rendered or products delivered in performance.of the contract unless otherwise specified in the contract.

r Preparation and Itemization of the Voucher / Invoice': The voucher / invoice shall be' prepared in . ink or by typewriter (without strikeovers).

Corrections or erasures must be' initialed. To be considered a proper voucher / invoice, all of the following elements must be included:

I: Contract number

2. Secuential voucher / invoice. number.

3. -Date of' voucher / invoice.

4. Project Officer's name and mailstop as designated in the contract.

4 5. Payee's name and' address. (Show the name of the contractor and its

. correct address. In addition, when an assignment of funos has been made byLthe contractor, or a different payee has been cesignated, include,the'name and address of the payee.) Indicate the name and telephone number of the individual responsible for answering questions the NRC may have regarding the voucher / invoice.

.6. Description of articles or services, quantity, unit price, and total amount.

7. Weight and zone of shipment, if shipped by parcel post.

8. Charges for freight or express shipments. Attach prepaid bill if shipped by freight or express.

9. Instructions to consignee to notify the Contracting Officer of receipt of shipment.

10. For Indefinite Delivery contracts or contracts under which progress payments are authorizeo, the final voucher / invoice shall be markeo

" FINAL VOUCHER" or " FINAL INVOICE."

Currency: Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records and payments will be maoe in that currency. However, the U. S. dollar equivalent for all voucners/ invoices paid under the contract may not exceed the total U. S.

dollars authorized in the contract.

Supersession: These instructions supersede any previous billing instructions.

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PART 20-1 -- GENERAL Subpart 20-1.54--Contractor Organizational Conflicts of Interest-o Sec.

20-1.5401 Scope and policy.

20-1.5402 De.finitions.

1.5403 Criteria for recognizing contractor organizational conflicts of interest.

20-1.5404- Representation.

20-1.5405 Contract clauses.

20-1.5405-1 General contract clause. -

20-1.5405-2 Special contract provisions.

20-1.5406 Evaluation, findings, and. contract award. ~

20-1.5407 Conflicts identified after ' award. '

20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-1.5410 Subcontractors.

20-1.5411 Waiver.

20-1.5412 Remedies. .

. AUTHORITY: Sec. 8, Pub. L.95-601, adding Sec.170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 120-1.5401 Scope and Policy ,

l (NRC)(a) It is the policy of the U.S. Nuclear Regulatory Comissionto a of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organiz,ations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest, in the event of contract award.

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

- in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise; however, examples are provided in these regulations to guide application of the policy. NRC contracting and program officials must be alert to other situations which may warrant application of this policy. guidance. The ultimate test is: Might the contractor, if awarded the coni.ract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage?

(c) The conflict of interest rule contained in this subpart applies ter contractors and offerors only. Individuals or fims who have other L

relat'ionships with NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC 1

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Lc 7590-01

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I agreements with other government agencies, international organizations, or state, local or foreign governments; separate procedures for avoiding conflicts of interest will be employed in such agreements, as appropriate.

J 520-1.5402 Definitions (a) " Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be perfomed under an NRC contract which: (1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a j biased work product, or (2) may result in its being given an unfair competitive advantage. -

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

(c)

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

(d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the fomulation or administration of its programs, projects, or policies which nomally require the contractor to be given access to information which has not i been made available to the public or proprietary infomation. Such services typically include assistance in the preparation of program plans; arid preparation of preliminary designs, specifications, or statements of work.

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

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

(g) " Affiliates" means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR 51-1.606-1(e)).

(h) " Subcontractor" means any subcontractor of any tier which -

perfoms supplies andworksubcontracts under a contract with the in amounts NRC except of $10,000 or less.subcontracts for l (i) " Prospective contractor" or " offeror" means any person, fim, unincorporated association, joint' venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract.

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l (j) " Potential conflict of interest" means that a factual situation .l' exists that suggests (indicates) that an actual conflict of interest may

.arise from award of a proposed contract. The tem " potential conflict of interest"'is used to signify those situations which merit investigation

. prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be . reported to the contracting officer for investigation if they arise during contract perfomance.

I 20-1.5403. Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in detemihing whether I

actual or potential organizational conflicts of interest exist:. (1)Are l i

there conflicting roles which might' bias a contractor's judgment in  !

relation to its work for the NRC7 (2) May the contractor be given an unfair competitive advantage based on the performance of the contract?

The ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of common sense and good business judgment based upon the relevant facts disclosed and the work to be performed. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC  ;

personnel will pay particular attention to proposed contractual requirements a

. which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurement, and ,

research programs.  ;

(b) Situations or relationships which may give rise to organizational o conflicts of interest. (1) The offeror or contractor shall disclose :

L infomation concerning relationships which may give rise to organizational l conflicts of interest under the following circumstances:

(1)

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

i (ii) Where the offerer or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to any organization. regulated by the NRC. ,

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

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

(iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its

' judgment may be biased in relation to its work for the NRC or may otherw e

result in an unfair competitive advantage for the offerer or contractor.  ;

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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 i20-1.5405-2 in the following circumstances: o

, (i) Where the offeror 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 1

. approaches or methodologies that are to be incorporated into competitive ,

procurement using such approaches or methodologies. ,

(iii) Where the offeror or contra: tor is granted access to information

. not available to the public concerning NRC plans, policies, or programs which could form the basis for a later procurement action.

(iv) Where the offeror or contractor is granted access to proprietary information of its competitors.

(v) Where the award of a contract might othemise 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 C RFP. The XYZ Corp. is one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp.

advises that it is currently performing similar analyses for the reactor

. manufacturer.

Guidance. An NRC contract for that particular work norina11y 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 woulc be no reason for considering a waiver of the policy.

(2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various projects for several different utility clients. None of the ABC Corp. I 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.

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- .. 7590-01 Guidance. An NR'C contract noma 11y could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias l" 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 perfomance of similar work for the' company developing the advanced reactor mentioned in the example..

(3) Example. As a result of operating problems in a certain type of commercial nuclear facility, it is. imperative that NRC secure specific

-. ' data on vifious operational. aspects of that type of plant. so as to assure adequate safety protection of the public. Only one manufacturer

.has extensive experience with that type of plant. ' Consequently, that company is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data.in reasonable time. That company has a definite interest in any NRC decisions that might result from the data. produced because those dechions affect the reactor's design and thus the company's costs. '

Guidance. This situation would place the manufacturer in a role in which'its judgment could be biased in relationship to its work for NRC.

- Since the nature of the work required is vitally important in tems of

'NRC's responsibilities and no reasonable alternative exists,. a waiver of the. policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.

(4) Example. The ABC Co. submits a propdsa'l for a new system for evaluating a specific reactor component's performance for the purpose of developing standards that are imp'ortant to the NRC program. The ABC Co.

has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component.

Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors 1 will normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes information to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such infc.rmation is generally available to others. Further,. the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the contract is proposed to be used.

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~ (5) Example. The ABC Corp., in response to a RFP propeses 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)(1), ABC Corp. infoms the NRC that it is presently

doing seismolog'ical studies for several utilities in the Eastern United States but none of the sites are within the gecgraphic area contemplated-by the NRC study.

Guidance. The contracting officer would nomally conclude that award of a contract would not place ABC Corp. in a conflicting role where it's judgment migh't be biased. The work for others clause of a 20-1.5405-1(c) would preclude ABC Corp. from accepting work during the term of the NRC contract which could create a conflict of interest.

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

(2) It is not relevant that the contractor has the professional reputation of being abl.e 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.

I20-1.5404 Representation ,

(a) The following procedures are designed to assist'the NRC contracting-officer in detamining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a .

particular offeror or contractor.

l (b) Representation procedure. The following organizational i conflicts of interest representation provision shall be included in all solicitations and unsolicited propossls for: (1) Evaluation services or activities; (2) technical consulting and management support services; .

(3) research; and (4) other contractual situations where special organizational; conflicts of interest provisions are noted in the solicitation and would be included in toe resulting contract. This renresantation requirement shall also apply to all modifications for additional effort under the contract except those issued under the " changes" clause. Where, however,  ;

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

regard to the contract being modified, only an updating of such statement '

[ shall be required. '

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! ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION

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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'l20-1.5403(b)(1).

b (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 320-1.5403(b)(1) are involved..or the contracting officer otherwise ,

determine's that potential o. organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts biaring on his representation to the contracting officer. If the contracting officer determines that organizational conflicts exist, the following actions may be taken: (1) Impose appropriate

'c onditions 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 I20-1.5411.

(2) The refusal to provide the representation required by i20-1.5404(b) or upon request of the contracting officer the facts required- -

by ~520-1.S404(c), shall' result in disqualification' of the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other, remedial actions provided by law or the resulting contract.

(d) The offeror may, because of actual or potential organizational

+ conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror If the will be considered by the NRC in the evaluation of proposals.

NRC considers the proposed excluded work to be an essential ~or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerers, the proposal must be rejected as unacceptable.

(e)

The offeror's failure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be-permitted to correct the omission.

5 20-1.5405 Contract clauses

~ s 20-1.5405-1 General contract clause

7590-01 -

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

(a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor: (1) is not placed in a conflicting role because of current or planned interest (financial, contractual, organizational .

or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract. . ,

(b) Scope. The res'trictions described herein shall apply to I

performance or participation by the contractor as defined in 41 CFR s 20-1.5402(f) in the actitities covered by this clause..

(c) Work _for others. Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering _into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being 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 emplo~yee that any proposed consultant or other contractual arrangement with any fim or

-organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to exec.ution of such contractual arrangement.

(d) Disclosure after award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth

. in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a).

(2) The contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an 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 mitigat,e such conflicts. The NRC may, however, terminate the contract 'or convenience if it deems such temination 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 infomation, such as NRC plans, policies, reports, studies, financial plans, internal data  !

protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has i not been released to the public, the cohtractor agrees not to: (1) Use such released information for any(private to the public, ii) compete purpose for workuntil the Comission for the information has been based ,

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7590-01 on such information for a' period of six (6) months after either the l completion of this contract or the release of such information to the-public, whichever is first, (iii) submit an unsolicited proposal to the government based on such information until one year after the release of such information to the public, or (iv) release the information without prior written approval by the contracting officer unless such infctmation 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 l contractor shall treat such informatiori 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) Subcontract.s. Except as provided' in 41 CFR 5 20-1.5402(h), th'e contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms " contract," " contractor," and

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

(g) Remedies. For breach of any of the above proscriptions or for 3 intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies as may be

' permitted by' law or this contract.

(h) Waiver. A requ'est for waiver under this clause shall be directed in writing through the contracting officer to the Executive .

Director for Operations (EDO) in accordance with the procedures outlined ini20-1.5411.

I20-1.5405-2 Special contract provisions.

(a) If it. is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a waiver in accordance with 520-1.5411 neutralized through the use of an <

appropriate special contract provision. If appropriate, the offeror may negotiate the tenns and conditions of these clauses, including the

- extent and time period of any such restriction. These provisions include

' but are not limited to:

' ~

7590-01 l- (1) Hardware exclusion clauses which prohibit the acceptance.of production contracts following a related nonproduction contract previously performed by the contractor; I (2) Software exclusion clauses; (3) Clauses which require the contractor (and certain of his key personnel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data and guard against its unauthorized use. ,,

The following additional contract clause may be included as

. (b) section (1) in the clause set forth in5 20-1.5405-1 when it 'is determined that award of a follow-on contract would constitute an organizational .

conflict of interest.

I (i) Follow-on effort. (1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of work under this contract. Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perform any technical consulting or management' support services work or evaluation activities under this contract on any of its products or services or the products or services of another firm if~ the contractor has been substantially involved in the development or marketing of su'ch products or services.

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

. officer, in which case the restriction in'this subparagraph shall not apply.

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

5 20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of !20-1.5404(b) and other relevant information. After evaluating this information agains't the criteria of i 20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror. If it has oeen determined that conflicts of interest exist, then tne contracting officer shall either:

(a) Disqualify,tne offeror from award, j f *,

• y , 10

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

(20-1.B407 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 con. tract as provided in the clauses required by 520-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 120-1.5411, neutralize the effects of the identified conflict.

520-1.5408 (Reserved) 520-1.5409 (Reserved) 120-1.5410 Subcontracts The contracting officer shall require offerors and contractors to

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

I20-1.5411 Vaiver In the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and after consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.

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

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

s

+

'7590-01 520-1. 5412 Remedies l

In addition to such other remedies as may be permitted by law or contract f6r a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required *to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.

Dated at Washinoton. D.C this 27th day of Ma'rch 1979. ,

For the Nuclear Regulatory Commission .

A chudN Ghut .

. Samuel . Chilk Secretary of the Comission e

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!' - Form NRC 469 (176!

' U. 5. NUCLEAR REGULATOKY COMMISSION NRC MANU AL TRANSMITT AL NOTICE -

CiG.r.: , hm.;-3202 FJ:LICATION OF TECrBiICAL terORIS PREPARED BY NRC C0hTT4CIORS, INCwDING REPORTS PREPARED UNER OR -

FUETF TO IIG.AGDJOY AG*EMNTS

)

SUPERSEDED: TRANSMITTED: I Date Number Date Number -

TN 320N 21 M/29/82 . Chapter NRO-3202 8/29/54 Cha pter - NRC-32C2 page Page l'

k/2942 Appendix h30-3202 6/29/M l

Appendix I.' I- E l L

REM ARKS:

This re'.-ision cf Chapter 3202 expands the chapter from coverace of unclassified rep:r:s te in:1ude the rarkirE and handling' of sensitive unclassified irfc. Tation (Cfficial Use Only and Limited Official Use infc.Tati:n, Safeguards infomation, Proprietary Inferration) andA classified irle.m2:icn (7ep Secret, Secret,- and Confidential).

se::icn has also teen added to set fenh procedures for the handling cf u .:lassified rep;rts en h*:: cooperative proFra :s with foredrr,

' E:ve.i c.ents Fr.d Omar.izatier.s and with U.S. industry.

(

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A f(

U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL

-vclu e: .3000 Information and Foreign Activities Pa*1' 3200 Technical Information and Document Control ADM L

CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 32 > 0! COVERAGE This ' chapter ' and its appendix handbook establish responsibilities , basic req d:rement s . standards and procedures- for the documentation, production and dusem:natien cf technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memorandums of understand:ng. These reports are hereaf ter referred to as contractor re-ports . This chapter does not cover NRC staff-generated documents , NRC docket material or the documents generated by NRC boards, panels .

/ a:i'.is.rv ccmmittet s and- Officcs .that report to the Commission.

5 32W-02 OBJECTIVES 02! tc assure production and dissemination of technical reports as required by tne Energy Reorganization Act of 1974 and the Freedem cf Infor-mat. . A::

02 tt assure ths: disse minaticn of technical reports is consistent with requirements for public avails bility of information.

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

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

025 to provide for coordination of press or other media releases 3202-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director. Office of Administration:

a. de elops and maintains , in consultation with Directors of Offices f

and Divisions and Regional Administrators, NRC standards, proce-

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

Approved: August 29, 1984 1

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS,' INCLUDING REPORTS PREPARED NRC-3202-032 'UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

b. periodically surveys' report: activities throughout ' NRC to ascertain

?

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

' 032 The Director. Division of Technical Information and Document

- Control:

}

7 a. develops and administers a central report control system for identiv fying . printing and distributing contractor reports. and responding to requests for unclassified reports,

b. develops and maintains guides and standards for the documentation, formatting, printing, dissemination, and public sale of unclassified '

contractor reports.

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

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

e. In response to requests of Directors of Offices and Regional Administrators, establishes distribution data banks, maintains official standard distribution lists for automatic distribution of unclassified contractor reports. and controls distribution to assure adherence te the Governmer.t Printing and Binding Regulations. the Priveev Act.

and the Freedom of Inf ormation Act.

033 Directors of Offices and Regional Administrators:

a- establish the contreet or Standard Order for Work

• provisions.

Including those regt red by this chapter and its appendix; Cnapter NRC-3203, Distribuuon of Unclassified NRC Staff- and Contractor-Generated Document.s and its appendix; Chapter NRC-0260, Print-in g , Copying , Graphics and Photography and its appendix; and Chapter NRC-D02, 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 draft prior to printing and '

distribution . If the report is to be reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draf t , including the type of disclaimer to be used in addi- ,

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

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1 PUBLICATION OF' TECHNICAL REPORTS PREPARED BY

.  : NRC CONTRACTORS -INCLUDING REPORTS PREPARED

.UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS- NRC-3202-034 0 ,

(2) provide for the reviews necessary to insure that the national j

security , patent rights . copyrights , proprietary rights ~ and rights in other sensitive unclassified information - are not -

compromised by the release or dissemination of the reports. l.

If DOE. contractors are to be. authorized to make the reviews, b designate' the contractor officials who ere authorized to sign h NRC Form 426A prior to N R C distribution of reports (see l Appen dix , Part IV). Assure that sensitive unclassified - and '

classified ' reports are marked and - handled l properly . (see Appendix', Part V).

(3)' specify that all formal reports carry NUREG/CR or NUREG/CP numbers . as the - prime identification , as illustrated in the append:x .

14 specify whether formal. reports shall be printed by NRC or 'ne contractor if the contractor has a JCP-authorized federal prant -

ing plant. (see Appendix. Parts 11 and IV).

II (L) specify that all formal reports required by NRC shall bc ll; distributed by NRC.

t:

(C) establish the number of copies the contractor may retain or

{

request for internal and external distribution and charge ;d 1

e, agamst NRC. Written justification must. be provided. and  ;

approval obtained of the NRC JCP representative (the Director.

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

G) assure the protection of classified and sensitive unclassified i i

mforma tic n . if ar y , in contractor reports (see Appendix ,

Part V).

i

t. assure adherence to instructions and authorizations regarding the  ;

reprccuttnr. and dis' ibution of reports. ,

c. recommend standard distribution category (ies) for contractor reports

. to the Division of Technical Information and Document Control .

d. provide changes to the official standard distribu' tion lists to the Division of Technical Information and Document Control.

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

provides legal l 034 The Office c.f the Executive Inal Director {

review and advice to NhC staff on questions regardmg mventions, patents, l proprietary inf o"mation . use of copyrighted material, national security, and

[ other sensitive unclassified and classified information.

.035 The Director. Office of Public Affairs, upon request of the project canager, reviews proposed contractor's press or other media releases for appropriateness .

Approved: August 29, 1984 ,

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1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY I NRC CONTRACTORS, INCLUDING REPORTS PREPARED

--. N R C-3202- 020 - UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i

03L The D: rector. ' Division of Security: J a, - admmisters the overall information security program which inclndes -

management of the secursty classification program and other programs for the protection of sensitive unclassified information.

b. advises staff of NRC Offices and Regions on the preparation and handhng of reports.containing classified, proprietary and other sen--

sitive unclassified information.

i' 037 The Director. Division of Contracts:

a.. coordmates the ' flow of all reports to and from contractors (other than DOE contractors) where such reports may result in alterations in the terms and conditions of applicable contracts as they pertain te report production and distribution.

b. advises the contractor as to the source and method for obtaining rep;rts required frca the government for performance of the CCntract.

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

3207, and 3210. when appropriate.

d. determmes when requests for proposals and invitations for bids, as well as subsequent contracts, should melude statements requirmg

. contractor compliance with Chapters NRC-3202. 3207. and 3210 and the Government Prmtmg and Binding Regulations, e ensures that appropriate clauses are included in contracts regardmg the private use and protection of classified, proprietary and other sens2tive unclassified in'ormation.

3202-04 DEFINITIONS" 04; camera-ready ec+y - aages ready for printing by the offset prmtmg process. This as a colloquial t erm used even though the printing process may

- not involve the so-called copy camera (see also repmducible masters).

042 central report control system - means for developing and maintaining the policies, procedures and gu2 des needed to identify and produce regulatory and technical reports and to assure adherence to requirements and standards for documentation. formatting. printing and dis,tribution.

l 043 contractor report - record of work done (a report) prepared in =

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

"Words underscored in definitions are also defined in list.

l -l Approved: August 29, 1984 l

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PL'BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-044

'l'NDER OR Pl'RSU ANT TO INTER AGENCY AGREEMENTS

(.-

i.

044 copyright a form of- protection provided by the laws of the United States (Title M . E.S. Code) to ' the authors of " original works of authorship"

' including literery, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works' Copyrighted material may not be reproduced without the permission of the author or publisher.

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

046 distribute -_ to dispense reports to specific organizations .and indi-viduals to assure their participation in. the regulatory process and support of research and technological investigations. Such distribution may be accom-

~

plished by the use of standard distribution data banks established and main-tained by the Division of. Technical Information and Document Control based on the requests of the originating Office or Region.

047 documentation - classification and associated markings required for clas sified (: sensitive unclassified documents , the NRC . report number

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

and availability 046 draf t or final material for inclusion in " Safety Evaluation Reports" written material requested . for input to

[ or JEnvircr.menta; Statements" (ES / -

( SERs or.ESs to be issued as NUREGs. Such material may be edited or modi-fi(d at the discretion of the NRC staff.

049 formal technical reports - the final product of research, an original inve s tigMu n . c: a significar.t Compilation of information. This product is a formal technical report for pubbeation in the NUREG/CR series. For extensive long-term projects. formal moathly, quarterly or semiannual and annual peri-odic technical reports may be required. A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy.

0410 NB C project manJ_.ge_r -

the NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement.

04M patent review - examination by legal staff to asrure protection rights in inventions.

0412 proprietary information - trade secrets; privileged or confidential research, development, commercial or financial information, exempt and from undermanda-tory 10 CFR disclosure under Part 9 (Section 9.5); 10 CFR Part 2 (Sections 2.740 and 2.

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

0413 pplicly available documents - information (reports end references)

(

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

Approved: August 29, 1984

._-__-______________________________-_____a

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- . l PUBLICATION OF TECHN1 CAL-REPORTS PREPARED BY. 1 NRC CONTRACTORS, INCLUDING REPORTS PREPARED' l j? ' N R C-3202- 0414 - UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l: .

( .

0414 reproducible masters - camera-ready copy which includes- (1) origi-

• nals of -line drawmgs (or prmis- that can be copied), (2) glossy prmts of black and , white ~ photographs (colored photographs cannot be reproduced). ,,

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

printer can reproduce.

0415 ' technical reports - information on' the technical aspects of contract work. These may be interim or . final technical letter reports, draft or final.

formal technical reports for ' publication 2n the NUREG/cF or NUREG/CP series, or draf t or fmal material for inclusion m SERs or ESs. <

i 0416 technical letter reports (also called technical evaluation reports)  ;

- interim or fmal letters that provide information .on the technical aspects of contract work. Interim technical letter reports may be required at various stages of ~ a project. These reports usually are foDowed by a final technical letter report .or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and eval-uation ;of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, informal (interim) progress reports , quick-look reports, . data reports.

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

facility . certification reports, and test result reports.

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

3202-05 BASIC REQUIREMENTS 0 51 Applicability . The 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. Becuse of the unique requirements of NRC boards, panels , adviscry committee: and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the These exceptions do not preclude the use of the NUREG/CR Commission .

series designation on reports prepared for these entities that are to be given wide public dissemination.

052 Forms. NRC Form 426A, " Publication Release for Unclassified NRC #

Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-graphic Data Sheet" (Exhibit 7), and NRC Forin 190, " Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shan 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 i prepared by contractors and other government agencies in accordance with contract 2 requirements or interagency agreements. .

Approved : August 29, 1984

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PUBLICATION OF TECHN] CAL REPORTS PREPARED BY NRC CONTRACTORS.:!NCLUDING' REPORTS PREPARED:

2

' rNDER-OR PURSU ANT'TO ]NTERAGENCY AGREEMENTS NRC-3202-054

'l i

054 Preparation Requirements La, Reports to be Printed by NRC.. All contractor reports to be' printed .

. by. NRC shall be prepared . according .to Appendix 3202. The reprc.-- l

' ducible. masters for the requisite distribution shall be transmitted to the: Division of Technical Information and- Document Control accom-panied by completed NRC Form 426A and NRC Form 335.

b. ' Reports ' Printed by Authorized Federal Printing Plants. All contrac--  !

u tor: reports to be printed by the contractor (as specified. by the l contract , agreement, .or standard order for work) shall be prepared according .to Appendix 3202,- and a: reproducible master and suffi-  !

. cient copier for standard and incidental distribution sha!! be sup.

i phed to the' Division.of Technical Information and Document Control, j accompanied by completed NRC: Form 426A, signed by the authorized contractor official. Each such report shall include, as the last p.i,,e. i a completed NRC Fcrm 335.  !

055 References The NRC chapters referenced and NUREG-0794 (ref j) s and. SUREG-OW (ref. is are available from the Division of Technical Informa-tie n and ' Document Control . The other . pubhcations are available f rom the j Governmen1 Printing Of f ace.

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

-L Chapter ar.d ' Appendix NRC-2101. "NRC Security Program "

J c- Chapter NRC-3203. " Distribution of Unclassif2ed NRC Staff- and Centractc.r-Generated Documents ." ]

d. Chapit: N R C- : 10. . " Procedures for Placement of' Work with the Department of Energy "

e Chapter NRC-320C. "NhC . Contractor Speeches. Papers and Journal  !

Articles on hegulatory and Technical Subjects." I

' Conferences and Conference Proceedings . ' I

f. Chapter NhC-320;.

i

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

. Pr2nting Office,

h. Government Print ng and Binding Regulations of the Joint Committee I on Franting. Congress of the United States. No. 24, April 1977 (JCP l

Regulations). Government Printing Office. l Title 5. U F, Code. Government Organization and Employees ."

l i

Government Franting Office. l l

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^

Approved : August 29, 1964 l

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! PUBLICATION .OF TECHNICAL REPORTS PREPARED BY r

4 NRC. CONTRACTORS. INCLUDING REPORTS- PREPARED ~

. NR C-3202- Ci55 - YNDER OR PURSUANT TO INTERAGENCY AGREEMENTS j: ." Technical Writing Style Guide.". A. W. Savolainen et al. , compilers.

1S NRC Report NUREG-0650, . November 1979, and Supplement 'I .

February _1982. ,

k. '" Protection of Unclassified Safeguards :Information,"E D. J. Kasun.

USSRC . Report SUREG-0794, October 1981.

1. Chapter NRC-0255 " Mail Management." and. Appendix 02'55, Part V. ,

Annex A.

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Approved: August 29, 1984 i

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l PUBL1 CATION OE.. TECHNICAL REPORTS PREPARED BY

, NBC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTER AGENCY. AGREEMENTS 'NRC Appendix 3202 s

CONTENTS e

1 PAGE PAEi l' PREPARATION OF RE' PORTING-REQUIREMENTS PORTIONS OF STATEMENT 5' 0F WORT. FOR CONTRACTS.' GRANTS AND STANDARD ORDERS FOR DOE WDRN

.. 2

i. A. LIST OFTECHN] CAL REPORT REQUIREMENTS.....................

2

'B. REQUIREMENTS.FOR FORMAL REPORT 5................................

.2

.C . REQUIREMENTS FOR ORAFT REPORT5.................................

.C. NE 2 5.IN; UN;LA55]FIED. NON-SENSITIVE INFORMATION 3

IN OFEh LIT ER AT URE AND PRESENTING PAPER 5. . . . . . . . . . . . . . . . . . . . .

4

'E. TYP0GRSPet... ... . ... ...................................

F. REL;r. 5 CONTAIN]NS SENSITIVE UNCLASSIFIED AND

..... . .. 4 C p A5 51 f 3 ED' I NF ORMAT ION. . . . . . . . . . . . . . . . . . . . . . . . . . . . .

.G. PUEL15Wlh5 UNCLASSIFIED PROCEEDINGS OF CONFERENCES 4 Ah: WDh5nDF5................................................

/ 5 Wililta AN: PUEL15HING UNCLASSIFIED E00KS...................

'- 6 5

'c  : DI ST PIE L* 1DN Cr P E PORT 5 TO CONT RACTOR5. . . . . . . . . . . . . . . . . . . ..

i C0dR:hA?iONOf PRESS OR OTHER MEDIA RELEASES 5 Cr u'. .455;r!ED INr0RMA110N. ...... .. . ...

7 FAR* I: UN;; Ass;r:gg ropy, C'jNTRACTOR REPORTS TO BE PRINTED BY NRC. .

7 A. DD;uM'N AT:C'.. . . .. . ..

l.

... . . 7 1 1. A :licatility . . . .

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2. Front Cover eid Title Page. ......................... ...

h 9

3. A6ailability Information... ....................... .....

ll .. .. 9 4 Disclaimer. . ........... .... . .. ... . .....

9

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

........... .. .. . . 9

6. Atstract.. ... . ...........

9

7. References and Bibliographies........ ......... ......

20 E. Eitliog apnic Data Sheet.... . ........ ... .. . ..

\;

ID E. PM ENT AND SECURITY REVIEWS.... .......... .......... ...... .

20

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

10 Security Revie . . ... . . .. . .. ... . . .. ..

2.

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i Approved: August 29, 1954

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i. . PUBLIC ATION OF TECHNICAL REPORTS ' PREPARED BY u 1 i .. NRC CONTRACTORS. INCLUDING REPORTSL PREPARED ~

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l NRC' Appendix 3202- UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS?

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p -CONTENTS (Continued).

PAG!

II'

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C. PROCEDURE 5' FOR PRINTING AND DISTRIBUTING. . . . . . . . . . . . . . . . . . . . .

' 2 .' Printing................................................. Il l: '2. . Reprinting................................ ...... ...... 11

3. Distributionfof Reports.................................. II EFH10115 1.' Sample Cover for Unclassified Formal Contractor-Prepared = Reports.

Excluding.Those Printed by DOE _ Laboratories with JCP Authorizec Feoeral Printing Plants.... .................... ......... ....-... 13

2. Sar:.le Title.'Page f or Unclassified Formal Contractor-Prepared

,- Reports. Exclucing Those Printed by. DOE Laboratories with JCP Auttoei2e c F ece ral Printing Plants. . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 l

Sample Cover for Unclassified Formal Reports Printed by DOE p 33.

Lateratories with JCP Authorized Federal Printing Plants.... ... . 15

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

5. NRC Ferr 426A, F utlications Release. . . . . . . . . . . . . . . . . . . . . . . . 17

6. Disclaire and Availability Statements.. . . .......... . . ..... 16 L

7. . NRC F orm 335, Bibliographic Cata Sheet. . . . . . . . . . ..... ...... . 19

- PART III' UNCLASSIFIED TECHNIC AL 1 ETTER REPORTS. . . . . . . . . . . . . . . . . . . . . 21 A. FORMAT. .. .... .... . .......... . .......... .. .... 21 l

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

2. Requirements.... ......... ............................. 21 B. PATENT AND SECURITY REVIEWS.......... ........... ...... .. 21

1. Patent Review..................................... ... 21

2. Security Revie . ..... .. ... ................ ... . 22 l

PART IV UNCLASS!FIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR EEGULATORY RESEARCH BY DOE LABORATORIES WITH 23 JCP- AUTHOR 12ED F EDERAL PRINTING PLANT 5. . . . . . . . . . . . . . . . . . .

.I

.. .... .... 23 l l' A. DOCUMENTAT10h.. ...... ... ...... . . ....

g 23 j 2 Applicability. ... . . .. . .

23

2. Front Cover and Title Page. . . i I-I J Approved . August 29. 1964 ii 1

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_ _ . _ . _ . _ ___ __..___..______m______ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ . _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ -

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. PUBLICATION OF TECHNICAL REPORTS PREPARED BY-NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3002 L ', UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1 y .' '.- 1 ,

CONTENTS (Continued)

~l H~~ .

PAGE i,

n 25 r 3. Availability and Price Information...................... 25 F 4. Dist1 aimer......... .............................-....... 25' i L

' ' 5.- _ Previous Reports in 5erfes............................. 25

- 6. ' Abstract.'. ..... ............. ........................ 26

' '7. References and Bibliographies.......................... ... 26

.E. Bibliographic Data Sheet.. ................... ....

26

,B. PATEN 1.AND SECURITY REVIEW 5................................. ,;

L ............ .... . 26 Patent. Review................-......

s

1. '2e  ;

i:

2, Security Revies. ...................... ................  :

27 b I' C, . PROCEDURES FOR PRINTING AND DISTRIBUTING.............. ... . 'i 27 i

1 '. Printing .

27

Reprinting... ... ........ . .......... ... ......... 27

' ' ' 2.. ........ . . ..

Districation of Reports... .,.

3; .

-PART v ' REPCR15 CONT AINING. SEN5111VE UNCLASSIFIED AND 29 Il ti c

CLASSIFIED INFORMAT10h....

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'.i U ........-...... 29 i.

o . ..... ....... .....

N 2

A. APPLICABILITY.

. 29 l g. -

- E. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION..... ;i

.. 30 C: FRN M ETAN INFORMAi10N..

31  ;

. StJEGU:.RC5 ltJORM i10t..

....... .. 32  ;

n' E. C L AS S I F I E D I tJ ORM A110N . . . . . . . . . . . . . . . . . . . . . . . . '

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'EAnlEITS

'Satr.ple Cover f or a Contri.; tor Report Containing Of ficial Use 33 E.

Only Inf ern ation. . . ... ..... ................ ... . . ..

H

-9.

Sa vle Title Page for a Contractor Report Containing Official . 34 l s

Use Only Information. .

Sample Back Cover for a Contractor Report Containing Official

.... 35  :

10. .............. .. .

l Use Only Inforestion.. .

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Sample Co6er for a Contractor Report Containing Limited 36 Officiel Use Information.......

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22. Sarrie lit r- Page for a Contracto' Report............

i Containing Limited a'

Of ficia1 Ge Inf ornation. ..

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iii Approved: August 29, 1964 o

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY j NRC CONTR ACTORS. INCLUDING REPORTS PREPARED J

. NRC - Appenda 3202- l'NDER OR P1'RStiANT .TO INTERAGENCY AGREEMENTS' CONTENTS (Continued) '..

PAGE-Sample Back Coser for a Contractor Report Containing Limited'

- 13.' i.

Offittal use Information. ........................................ 3B L "34. Sample Cover for a Contractor Report Containing Proprietary ls Inf e rrr.ation Ottainec f rom a U. S. Organization. . . . . . . . . . . . . / . . . . 39 I

g  : 15.- Sample Cover Page for a. Contractor Report Containing Proprietary,Inferrration Obtained from a Foreign Source..... ...... 40 7

16. 'Sartple Title Page:for a Contractor Report Containing.

. Proprieta*y inf erration Obtained f rom a U.S. Organization. . ... . 41

17. ' Sample: Title Page f or a Contractor Report Containing

'Proprieter)"Inferration Obtainee from a Foreign-Source. .. . . 42

16. Sample Eac6'Cever fer a Contractor Report Containing Proprietary- lef ctrration. .. . . ... ....... ........... . . 43

< 19. Cover Sheet for Reports Containing Proprietary Information.......

44

20. Sample.Coser for a' Contractor Report'Containing Unclassified:' Saf eguards. Inf errration. ,

l' .. . ... . .. ..... ... . 4E

21. Sample Title Page for a Contractor Report Containing Onciassifisc Safeguares Information. ... .. .. ... .... . . 46 #

l 22. Sample Back Cover for a Co*tracter Report Containing.

l- Unclassified Safeguarcs Information. . . .. ...... . . 47

23. Cover Sheet for a Contractor Report Containing Unclassified

. Safeguards Information... .. . . ..... ..... . ... .. 4E PART VI. HANM INS Or UN"LA551F nD INFORMATION ON NRC COOPERATIVE PROGRAMS WITh FOREIGh GOVERNMENTS AND ORGANIZATIONS AND Wlin l, . .I NDUST R Y . . . . . . . . . . . . . .... ................................ 49 I

. A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT..... ... 49 B. DISTRIBUTION BY NRC PROJECT MANAGER 5......................... 50 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT...... . . ... 50 D. REPORT IDENTIFIERS.. . ....... ........ .. .......... .... 50 E. MAILING TO PROGRAM PARTICIPANTS. .. . . .... ..... ... . 51 F. SECUR111 . ... ........ . . .... . 51

, . Approved: August 29. 1984 iv

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i Pl'bL: CAT]ON OF TECHNICAL REPORTS PREPARED BY  !

NRC CONTRACTORS. INCLUDING REPORTS PREPARED l'NDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202

( CONTENTS (Continued) 1 PAGE DnIEl15 24 Sample Cover for a Draft Preliminary Report (Code) for Comment... 52

25. 1ranseitta' Letter f rom Contractor to NRC Project Manager for Dre't Preliminary Report (Code). .. . ... ... . ...... .. . 5:-

2E. Transmittal Sheet for Requesting Mailing to Cooperative Program ,

,,,,,, ,,,,,,,,,,,,,,,,,,,, ,,,,,, ,,, $2, Participants, ,,, , ,,

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i v Approved : August 29, 1954 l-

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY '

w NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Append)x 3202 -

UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS t

PARTI i

PREPAR ATION OF REPORTING REQUIREMENT PORTIONS OF l STATEMENTS OF WORR FOR CONTRACTS. GRANTS AND STANDARD ORDERS FOR DOE WORN l l

'A. LIST.OF TECHNIC AL REPORT REQUIREMENTS List the technical reports required from each project. task or subtask, '

as '. applicable._ State when and to whom they should be submitted and what they should. contain. These reports may be unclassified, sensitive unclassified or classified. Standards The for each of. these categories are following definitions describe the

. presented in Parts .11 ' through V J

types of reports that may' be specified: \

technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draf t i or final formal technical reports for pubhcation in the NUREG/CR cu "

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

technical letter reports -(also called technical evaluation reports) 2nterim or final letters that provide informatio'n on the technical

-[ aspects of the contract work. Interim technical letter reports may 4 be requ2 red at various stages of a project. These interam letters l

l i

L usually are followed by a final technical letter report or a formal

! technical report. Final technical letter reports are usually specified in situations where the technical work is review and evaluation of j

work cf others or work to be used by the staff in the licensing j and regulation proc (ss. Interim letter reports may include, but are "

not hmited to.

inf armal (interim) progress reports, quick-look reports, data reports. status summary reports. project descriptions.

pre-ten predict 2cns , model verifications, experiment safety anal-yset. experiment operating procedures . facility certification reports . and test result reports . These reports must be identified with the financial number (FIN) assigned to the project. They are The num-not to be identihed with DOE registered report codes. j ber of copies to be prepared and the distribution of those copies will be specified by the project manager. l j'

formal technical reports - the final product of research, an original invest 2gatten , or a s2gnificant compilation of information. This pro-duct is a formal technical report for publication in the NUREG/Ch or NUREG /CF series. For extensive long-term projects, formal monthly.

quarterly or semiannual and annual periodic technical reports may be required . A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy.

t i

1 Approved: August 29, 1964

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. . PUBLICATION OF TECHNICAL REPORTS PREPARED BY

. NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS - PREPARED Fa rt 1 ' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS draft or final material for publication or inclusien in SERs . ESs.

let en . er heense amendments - -wratten matersal requested for use in the NEC heensing process. Such material may be (1) abstracted -

in a NUREG report or attached to a NUREG report. (2) attached te a letter or an amendment to the license, or (3) abstracted and used as necessary by the NRC staff. NRC requires ' patent review and full management review of this material by the performing organiza-tacn. This material is to be submitted to NRC as a technical letter report addressed to the project manager and identified by the FIN number.

For purposes of this Part, contractor means a private contractor, con-sultant . grantee. another State or Federal Agency working under . an

- intera gency agreement. or a DOE /f acility or National Laboratory (con-tractor) and subcontractors.

B. REQ 11REMENTS FOR FORMAL REPORTS If the contractor is to prepare a final formal technical report for pubh-caticn. state that it will be printed and distributed by NRC from ewere-ready ecpy submitted by the contractor, unless the work is being done

~for the Office of Nuclear Regulatory Research by a DOE f aciht y or Laboratory with a JC P-authorized printing plant . The camera-ready copy is to be prepared in accordance with the provisions of this appen-dix. Parts 11 and V (for contractors other than DOE contractors). or Parts lY and V of this append;x and Chapter 1102 (for DOE centrac-tors) A style guide is also available free, upon request (NUREG-005U if the report is to be printed by NRC and it is unclassified, the camera-ready copy is to be submitted by the contractor to the Director Divisicn of Technical r. formation and Document Control, NRC Wash:ngton.

D C. 20155. by first class mail. For handling of sensitive unclassified l and classified reports see Part V of this appendix and NRC Appendix 2101 Unclass:fied reports printed for the Office of Nuclear Regulatery Research should be handled in accordance with Parts IV and V 'of this appendix and/or Chapter 1102.  !

C- REQUIREMENTS FOR DRAFT REPORTS ]

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if a draft is desired prior to completion of a final technical letter report.

i formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-ernments and organizations and with U.S. industry, state that require-ment and the time frame for delivering the final camera-ready copy after receiving NRC and/or participant comments on the draft. State that all draft material should be submitted to the cognizant project manager. ,

i When the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program .'

and er participant comments the contractor will be asked to make changes If agreement on the changes is reached, the NRC manager will au: hor 2ae the contracter ic prepare the final copy and submit it to the project manager, if it is a letter report or input to an SER or ES. er to the D2recter. Division of Technical Information and Document Control. if it 25 f Approved: August 29,19M 2 ,

x 3 3_

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' PUBLICATION OF TECHNICAL REPORTS PREPARED BY - NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 1

UNDER OR PURS1* ANT TO INTER AGENCY AGREEMENTS L  ;

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 nullify the agreement. If 3- caveats were agreed to and the project manager wishes to check the final document for their presence. he/she should inform TIDC of that desire.

In that case. upon-receipt of the camera-ready copy by TIDC, the project manager- will be informed and requested to prepare and sign the NRC Form 420A.

Also - state that if agreement on changes to a formal- technical report to be issued in the NUREG/CR series is not reached, the NRC project manager may l request the contractor to- prepare the camera-ready copy with . in addition to the ' standard disclaimer required on all contractor formal reports' (see Exhibit 6), any caveats deemed necessary to cover NRC objectier.s such caveats may range from the "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" tc the addition of a preface setting forth the NRC opinion er footnotes at appropriate locations within the text.

State' that if NRC objections cannot be covered in this manner, NRC can ref use to pubbsh the report. In the case of DOE / National Laboratory reports. the DOE Operations Office Manager responsible for that !abora-tory should be informed by the NRC Office Director or Regional Adminis-trator of the decision and the reasons therefor , with a copy to the Laboratory Director. In the case of another Federal agency, a State, or.

[

g a pr:vate contractor, the person who executed the contract should simi-larly be . inf ormed by the NRC Contracting Officer. The contractor is then free to publish without NRC identification of the report. Project manager or higher level decisions may be appealed to the NRC Executive Director f or Operations.

D. PUBLISHING UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS If the contracter's principal investigator is to be allowed to publish in the open literature inmad of submitting a final report and/or present papers at pubhc or association meetmgs during the course of the work.

add the following state aent to the Statement of Work:

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

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

The principal investigator (s) may publish the results of this work in the open literature mstead of submittmg a final report and/or pre-sent papers at public or association meetings at interim stages of the

(

work, if the article or paper has been reviewed by the NRC project 3 Approved : August 29. 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202. NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS manager m draft form and ' agreement has been reached on the con-tent. The applicable procedures ' set forth in Chapters NRC-3206.e:

NhC-Il02 must be followed if agreement is not reached, NRC may also ask that the paper include m addition to the standard statement " Work supported by the U.S.

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

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

The contractor is then free to publish wititout NRC. identification of the informa tion . This will not affect payment of the contract work costs .

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

If the contractor proposes to pubbsh in the open literature or present the mformaticn at meetmgs in addition to submitting the required tech-nica! reports, approval of the proposed article or presentation should be obtamed from the NRC project manager. The NRC project manager shall either approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, a project manager may disapprove or' delay presentation or publication of papers on infor-mation that is subject to Commissioner approval that has not been ruled upon or which has been disapproved.

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

E. TYPOGRAPHY The text of reports must be single spaced on 6 x ll-in. paper, unless ctherwise specif2: ally authorized. Occasionally , reports with many sym-bols and mathematical exp'essions may require one and one-half spacing to provide for supersempts and su bscripts . This spacing should be allowed where needed, but should be considered an exception, not the standard.

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F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSlFIED INFORMATION Details of the marking of reports designated Official Use Only. Limited Proprietary Information, Safeguards Information , and l Official Use,

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

l C. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND ,

WORKSHOT5 NRC publishes or assists in the publication of compilations of papers presented at meetmgs . conferences, and symposiums in which NRC Approved : August 29, 1964 4

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A 'PUBLICAT]ON OF TECHN] CAL ' REPORTS PREPARED BY NRC Appendix 3202 e

NRC 'CONTR ACTORS.. INCLUDING REPORTS PREPARED Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS participates as a sponsor or cosponsor., Chapter NRC-3207, Conferences

' ' and Conference Proceedings," provides general information and guidance for. this . More detailed guidance is available from TIDC upon request

.H- WRITING AND' PUBLISHING UNCLASSIFIED BOOKS NRC may. under certain circumstances, publish books prepared by-grantees or contractors. For general information and guidance on book pubbshing, see Chapter NRC-3210, " Book Writing and Publishing."

4

1. DISTRIBUTION OF REPORTS TO CONTRACTORS ,

0; Up 'to 50 copies of unclassified formal technical reports may be retained 4 by or will be bulk shipped to the contractor by NRC for internal use.

If fewer than,50 copies are needed, indicate the desired quantity on NRC form 426A.. Single copies for specific individuals in organizations other

" than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project bas:s er on a report-by-report basis. The request, with written justif2-cation, should be addressed to the NRC project manager, with a copy' to NR C /TIDC. If the- additional distribution is approved by the NRC project manager. the contractor shall send these copies (if printing is j done by the' contractor) and address labels, even if printing is done by "

NRC to NRC/TIDC. where the distribution will be made along with the )'

.,- standard' distribution. Distribution of sensitive . unclassified and classi-f fled repcrts will be made by the project manager on a case-by-case basis.

J. COORDIN ATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSI-l FIED INFORMATION A contractet may request permission to. issue a press or other media releur cen the work bemg done. Such request shall be made to the project manager. who will consult with his/her management and with the Off2ce of Pubbt Affairs. Tne contractor may not issue a press release on ntnroutine information witnout this prior coordination. This coordination may be accomphshed by telephone, with the NRC project manager respon-s2bh fer exped:tious hundhng. Decisions not to release information or delays in handhng by 11e prolect manager may be appealed to the NRC Executive Director for Coerations.

l 5 Approved: August 29, 1964 L____ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . - - _ . - _ _ - - _ _ - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

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. PUBLICAT10N OF TECHNICAL REPORTS PREPARED BY

. NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 l*NDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Na-V.- PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE' PRINTED BY NRC

.*h A. DOCUMENTATION

.ls Applicability The requirements of this part apply to contractor. and inter-

'i a.

agency agreement reports that are to be printed by. NRC . O

/

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

.t With respect to sensitive unclassified and classified reports.

' the requirements set forth in Part V of this appendix shaII be used in conjunction with NRC Appendix 2101.

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

( Fren Cover and Title Page 2

3-

s. Separate covers and title pages are required (see Exhibits 1 and 2 f or contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency a greement s ) . "

b. The items shawn in Exhibits 1 through 4 and discussed below sha" appear on the title page and cover, as appropriate.** a (1, NRC R.: cert Number Each report shall be identified by an NEC-controlle d alpha-numeric designation as the prime designation unique to the.1 report. The centralized report control system for unigt:e identification is maintained by the Division of Numbers Technical Information and Document Control.

may be obtained by calling the Division of Technical Infor-matien 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, the data elements shown in Exhibit 1 must be included.

These requirements meet the specifications of American Natienal Standard n

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ANSI Z'9 M-1974. Guidehnes for Format and Production of Scientific an Technical Reports . and ANSI 239.23-1974. Technical Report Numbers.

7 Approved: August 29, 1984

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i: NRC Append 2x 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY i NBC CONTRACTORS, INCLUDING REPORTS PREPARED J l

Part B UNDER OR' PURSUANT TO INTERAGENCY AGREEMENTS .

6 '

F The'.NR'C 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 l: NUREG number on the title page and. cover, as shown in l Exhibits 1 through 4, if desired by the contractor.

When _a report consists .of more than one volume or bind-ing or is issued in more than ~one edition, an appropriate volume . supplement. part or revision designation shall '

appear immediately below the report number.

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

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

repeat the pnmary title on each volume.

(c) If appropriate . show the type of report (e.g.,

annual report , final' report, thesis , etc.) and the period covered as part of the v3btitle.

(3) Persona! Author (s Y Name(s)

Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contra-Lutions are as edators, compilers, etc.., so indica:e on the title page fol!owing .the names. In addition, list affiliation of each auth6r only if affiliated with an organization other than the organization generating the document.

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

(5) Basis fer Report Date(s)

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

completed , date published, date distributed , etc.

(b) More than one date, with the basis for each, may be shown where this is necessary Approved : August 29, 1954 8

~ ,j j M? '

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P LPlBl.1 CAT 10N OF' TECHNICAL REPORTS PREPARED BY

,1 NRC CONTR ACTORS. INCLUDING REPORTS PREPARED . NRC Appendix 3200 p UNDER OR' Pl*RSU ANT TO INTER AGENCY AGREEMENTS Part II.

+

I..

3. (Availabihtv Information ,

l LAll' formal

reports will be made available for sale by NRC and. by the' National Technical Information1 Service (NTIS). Exhibit- 6 . will-be inserted ~ on ' the inside of the. front. cover by the Division . of l 4 - Technical Information and Document Controls 1

4. - Disclaimer l

. Thel following- notice will be added during the printing step on the inside fror.t . cover 1(Exhibit 6):. "This report was prepared as' an account: of work L sponsored by an agency of the United States ,

[ a. .

. Government. Neither the United States Government nor any agency 1

J u thereof: or any of their employees, makes any warranty, expressed i

or implied, or- assumes any legal liability or responsibility for any n

!' , third . party's use, or the results of such use . of any information.

apparatus, product or : process . disclosed 'in this report. or repre-sents that . its use by such third party would not infringe privately g owned rights ." ~ The following additional. statement , The '. views i

J expressed < m , this report are not necessarily those of the U.S. _1 K

.Suelear Regulatory Commission" will be. printed below the standard L

' disclaimer, if appropriate. . Other qualifying statements ' may be added e if needed (see Part I.C. , Requirements for Draft Reports).

6. Previous Reports in Series '

i

(. . :1f the report - being prepared is one in an ongoing series. list all l

\ previous reports . in the series, include report numbers anci issu- J ance dates. - Place this list, on .the back of the title, page. .  ;

6- Abstract L

An abstract of 200. words or less shall be prepared for each formal rep; rt . Within the report, the abstract shall appear on a separate )

page between the list of previous documents in the serin and the contents page."  !

l T. Ref erences and Bi'.:iographies .

reference sections,

. Reports or other documents referenced in text, bibliographies , fod appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the pubhc either'in . the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service , or - at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not be made to personal communications and interviews . unpublished This preferred positioning of the abstract in the report need not be followed if the style manual of the originating organization requires a different

{- locatwn 9 Approved: August 29, 1984

(

. /,

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Append 2x 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED '

Part 11 UNDER OR PQR,_SU ANT TO INTER AGENCY AGREEMENTS information and information with restricted distribution (e.g . ,

proprie ta ry , national security , 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 credit is d.,e to mdividuals, they can be mentioned in the text or in an acknow- ~ .

ledgement se ction . Availability may be stated collectively for all entries (see Exhibit 6). +=

Guidelines for developing and presenting reference material are provided in NUREG-0050, " Technical Writing Sfyle Guide . ' r published in November '1979 (see Appendix A. pp . 19-23. for specif2e guidance) and Supplement 1 dated February 1982.

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

l L l

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shan be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. If the work bemg reported

.s contractually managed through another government agency (e.g. .

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

lf NRC d2rectly admmisters the contract or the contractor is unable to cttam a patent clearance from the government agency admmister-ing the contract. the responsible NRC contracting officer shaU be censult ed , and the responsible NRC project manager shan consider the patent implication s . If there is no need for patent review because of the certimty that the report contains no description of novel technical devMopments which may be of an inventive nature.

NRC Form 426A m. y be completed with the statement "Not Appb-cable" or "N/A" in the space for the Patent Counsel's signature lf there is a possibility that there is disclosure of developments of an

, inventive nature, the contracting officer shaU request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.

2. Security Review ,

In most cases, contractor reports will be unclassified. Should a report ci sensitive unclassified or classified work be required ,

however, the NRC project manager must work with the NRC Divisior, of Security to establish the appropriate procedures and mf or a the contractor of such procedures through the contractmg offic er . The standards for marking and handling such reports are

~

given m Part V of this appendix and NRC Appendix 2101.

1 Approved : August 29, 1984 10 -

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C PUBLICATION 'OF' TECHNICAL REPORTS . PREPARED BY

.NRC CONTRACTORS., INCLUDING REPORTS PREPARED' NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 i C PROCEDURES FOR PRINTING AND DISTRIBUTING

1. Printinr -

U Reproducible masters prepared in accordance with this append 2x  ;

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.

i Such authorization. shall be reported in writing to TIDC.

The' Division of Technical Information and Document Control ' will review the masters' for adherence to the standards set forth in this :

chapter and appendix and will arrange for printing and distributing-the . report. . Unsatisfactory masters will be reported to the NRC project . manager for appropriate contractual action by the contract-ing officer or, in. the case of government agency or interagency agreement work, the publications manager of the performing organization . 1 1

2. Reprinting

(

Requests for reprinting any report subsequent to the initial print- j ing require approval of the Division of Technical Information and Document Control. Each request shall-include a written justification  ;

i and the project manager's approval for reprinting along with ad-

' dress labels for the recipients.

~.

'S- Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Divisxn of Technical information and Document Control j in accordance with : instructions on NRC Form 426A (Exhibit 5). The  !

D2 vision of Technical Information and Document Control will also )

arrange automatic distribution of these reports to the NRC Docu- 1 ment Control System, the NRC Public- Document Room, the National Technical ' Inform nion Service (NTIS), the Government Printing Office and the Depository Library Service, j

11 any .distributnn is to be made other than, or in addition to, the i

• standard distribution established for the report, written justif2 cation '

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.

Distrabruon of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis.

s-11 Approved: August 29, 1964

l

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY I

NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSPANT TO INTER AGENCY - AGREEMENTS m-  :

'(6 EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO

. INTERAGENCY AGREEMENTS 1

i I

NRC Report No. NUREGICR-1676 Contractor Report No. (if any) ' NUSAC 556 Vol 1 Vol., Part, Rei., etc. (if any)

,, tie Using Advanced Process Monitoring to improve Material Control

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subtitle and Type of Report Final Report

( Annual, Topicat, etcJ - Septembe* 1979 - September 1980 l 1

Author b) 5 e$a e: t. 5 Esa..ns 5 L L.n:* F F La t Contractor husAcincc roeteo {

NRC { ego;ej ,;', ,, ,,,,,,,,

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i 13 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED . BY ShC Ap;andix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED

• Part 11 _ . . . , _ _ _

UNDER OR PURSUANT TO INTER AGENCY AGREEMESTS EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR. ,

PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No. NUREG CR 1670 Contractor Report No (if any) NVSCLM

1. 8' I Vol., Part, Rev., etc. (if any)

Distribution Category No. (if any) 1,ti. Using Advanced Process Monitoring to improve Material Control Subtitle and Type of Repon Fme. Rep;~

( Annual, Topical, ett j Septe*or 1979 Septembe 190 Report Dates and Bases u.,ge :e . : ser;.-e. see:

l Author (s), Editor (st e..:.. e i ,

i. Compile r(s), etc.

1 Contractor Na ne .s . - .

and Address 04'.Of.,

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. NRC $ponsorshm pee..eetv o.,eien o seies on ce et r ,cies..,seenMetenet e seteiv sae se'eewares e s N.,r.. .. m eouie en co--....e-NRC Contract No. Na[M ' sp37 l .

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Approved : August 29, 1954 14 i

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PL'BLICAT]ON OF TECHNICAL REPORTS PREPARED BY' NBr Annandiv 9909 NRC CONTRACTORS. INCLUDING REPORTS PREPARED pt m. :t l'NDER OR PURS1' ANT TO INTER AGENCY AGREEMENTS EXHIBIT 3 I

SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED

'UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No NUREG CR 1952 contractor Report No S AND810151 Vol., Part. Rei .. etc

< LOCA-Simulation Thermal-Shock

• Test of Sliding-Link Terminal Blocks

/

• T ype o' R epor t . ' independent Verdication Testing Program or suesiti, l independent verification Tesd1 Auth ot{$ , [ 0.tD'lld 1

p, 'p f,,, 'g gg gh gi g-I c oet',:w . .s...,_.u...........

I sponsoots {l* .j*c..*.}

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15 Approved: August 29, 1984

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V PUBLICATION OF TECHNICAL REPORTS PREPARED .BY

. NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPA'.ED ,

Part il _. 1*NDER OR PURSU ANT TO INTER AGENCY AGREEMENTS EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED ,

UNDER OR PURSUANT TO INTERAGENCY AGRE'4MENTS NHC Report No.

Contractor's Report No.

Vol., Port, Rei,. etc. NUMG'CR 19f2 Distribution N# 'C'E Category T t'. LOCA-Simulation Thermal-Shock-Test of Sliding-Link Terminal Blocks Subtitle ine,p,,e,,, y,.4c,,,c,, t,,,,,; p,og,,_

inoepencent vevit.cano . Test 1 Report Dates t - +

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' hec.e'e O .. .oa e e s ec- sae see..nei ae cio, inspecoca aes,eeni l oee.c. e+ ane.oeci.ea er e e aeo,c meai U 5 hweies' ae viste , Commiss<oa NRC FIN No UbIe51c1 i

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1 Approved August 29.19M 16 1

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY  !

NRC CONTRACTORS, INCLUDING REPORTS PREPARED' N R (' Appendix 3202  !

UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS Pa-.: n EXHIBIT 5 l NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED l NRC CONTRACTOR AND CONSULTANT REPORTS . I i

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Append 2x 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED hih !! UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS .

EXHIBIT 6 .

DISCLAIMER AND AVAILABILITY STATEMENTS (BACK OF COVEfu esDT6CE .

This soport on yeenroe as en emment et work ensures tv e aesmay et es Weinf SIsus os nn nt sesiew we useine seen o ne.e am one assuv maist.er av et as-ossonovess snake any morrenty, myousse er emissand. er emuseus muy agul tuttRY of so-asweispist, tus on, shwat sorty's ens, or see tensen et assh iss.of en, asennuuseen.mpestas.

pas e4 er possu eastuese sa some essert, er seymenes shot en ene av east esse prey tseief set enftsege prwetssy owned eghts NOT8CE Ave.nebihty o' Re5 Flee WSfFles CHed in OIRE PWbO8estW's enor. occumean citec in h RC puniaterm unit to ousasons bem era of the telessmng snaren 1 The h#C P Duc Docun wnt Rsom 1717 M 5Fest.N W weshmeton. DC 30655 2 The h RC/Geo Seess Pregem. U.S hwcies' Reewistorv #

mashington. DC 30655 3 Tne Noteens' Technicet 6mfortwton Erves. Esrmy* eld. VA 22181 AMhowet the lertmg that tolews rayserna the mesarity of esasmants esses in NRC pukassemere, et es not intener0 to tse enhawetive Rebentec cetwawns evedoble toe esmeerten osus serving ter a fue trem the NRC PuWs Desu ment Roo* mcappe NRC eorressonerice end entems! NRC momerones NRC ONes of Isesarten

, enc En'o'ce'nent bwhetms cierwie's entormatea vietems enessetaan esas enuestgoten setems.

Liceaere iveat Repo9s venoor toporo one correnseneance. Commuseen peert.and egenerit pre!

l tece inse cocunens and eerresponesnc The sonovaas eacua oan an the NURf G eres o's evedete for passem bem en evRC/GPO leen Proya* to' met NRC sum and sene sc1er seperu. NRCguensored senterres yeussestps. end No C tone arn one beechu'es Asse evoileDie m Aspitesury Gwies. seRC vepsestou en she Cass of Fears' Aapudefeng, e*ts Aareer Asinidergry Conungsmsen desenses Decw,r, e.e.,eos f.o. ,he te.e, T ,.. s.e,,,e.en sm..we, unio -

esocrn one teennsw rewo ts prep.* ec Dv ether teessi agree e one ressrs yearse tv see Aesmic Enr3y CeaWMonson. tererWnsW' e6pncy to the OutsERBf $lery h-Desunene endeWe trem gutet seus emusst ansluesel albreries tuhsee ok essilausehoe lupuis.

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• c1 booms. govmel and persormeel petress, ensi tsareertssee Asierof Aspuser nerseus, tenure 4 esef suete tegneten,one erspreescret repers een neuelly to cheHned trem them hhnerus.

Dansneno esem os immes aumerwises. tunne seers one wesensiese, was sendeRC annemense pressummes an ensemen he ensessun trem the asyssoassen summereig the sembusman esus.

Smgie cop.ei ov NRC att esse is are evenemie tres ie we essent of moelv.esen wreien season to the Divisioe of ?sennsat enformaten one Desument Corarol. U.S enessaar handsesry com minen.mashmston DC 30665 Comes of moWrn coom one senere umme en e massentwe menny an we DIRC sepsessary pecun are meinamec et the NRC Lierser. 7930 fuerosek Aeress. tsissues, teerytrie. sw we ensimman the v tot esie ence um Dv We public. Cess and sundre n esemHy empyrighead og ney be ow'thesed f*'D* The erupWtetertg erymesteen er. W 18W, Fe As'eragen featueret $mpigst, tvem 1Ne Ameca we m'E., ares eret,twu uso s eee , su , vws. hv toota coo *+i.e saan emme Apprc nd Augue' 9. 19F1 16

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PUBLICATION ~OF TECHN] CAL REPORTS PREPARED BY NRC Annendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED t s.- n L UNDER OR PURSUANT TO INTER AGTNCY AGREEMENTS

' EXHIBIT 7 -

NRC FORM 336 - BIBLIOGRAPHIC DATA SHEET

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i 1

4 EXHlBIT 7 (Continued)

BACK OF NRC FORM 335 9

l DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT enefauCTeens het somw 335 sit.t00* Aem:0 CATA lutET. el S ASED ON CulDELehts FOR 80mwAT AND peoDvCTiO4 08 BCithTi8 C AND TECmhiCAL mtPCats ANs 23913 197e A va LAsti pmDes AutniCAN NATIONAL STANDARDS isust Tutt.543C 940ADw Av hte voet h v 10018 E ACm 5E'Amattiv govhD at*0mt.pon E mAsis*Lt.t AC** v0Luwt 84 A Wssf av0Luwt SIT-$m A.L mavt 1T5 UhtCst 8:8.80GR AemlC DAT A laf f t 1 at*omT tevedeta .t c' ,ae+ eve 4 nov e aeeso t sae's 10 080essoaiseo Omeassi2ATsch Lis* he: 0. sea 0"ic e ee e, e v< cue ecae*>me" see.,yte* thum t G e se gaee u s hocwmeg,isie., Commies.oa. weematio* DC 20655 .

Lv t% , D. s e* c* Tocaa co eato, met.o* sas Docume i

' omi c ADW .* eccocesace evia A mricea ha t.e at - 11 Steace c Aht- 236 23 19?e Techance meso t homer e TYPE tocan.cetOfreevistoes.

atP0mt. eveSiete tee.ere',t. etc.feas<. ene d o'eum.as soo*se e , . too.ce .

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8 DATI eiPORT ISEVED tece eese't sw a ce", e este etc use eseaeases soev=eced teme m'ettea ** esecte'o*

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1 Ome+*. OHice. 0 sea seier o Gove amen esence. ene seseese te. StcualTV CLamspeCATIOeu, ta,c y s nece,4, Cess b ut++ ea acco<eeace wita v s Se ven, me ge:steas i e .

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i Apprcved: August 5.1964 20

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4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY

.L NRC CONTRACTORS,' INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART 111 UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT

1. ' Applicability

a. The requirements of this part apply t'o unclassified contractor technical letter reports. (See Part 1. A for definition.)

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

2. Requirements Technical letter reports are prepared, duplicated and distributed in accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the project . The number of copies to be prepared and the distribution f

of those copies wiD be specified by the project manager. If unclas-1' sified and non-sensitive , the NRC project manager is responsible for making such reports available in the NRC Public Document Room

'(PDR)-by sending them to the PDR through the NRC Document Control System.

B. PATENT ' AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure wiD not adversely affect the pater.1 rights cf liRC. If the work being reported is contractuaUy managed through another government agency (e.g. , DOE labora-tories), that government agency should be requested by the con-tractor to perfom 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 shan consider the patent implications.

If there is a possibility that there is disclosure of developments of an inventive nature , the NRC contracting officer shad request assiatance from the NRC Patent Counsel Office of the Executive Legal Director.

21 Approved: August 29, 1984

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PUBLICATION OF TECHNICAL REPORTS ' PREPARED BY 3 NRC ' Appendix 3202 - NRC CONTRACTORS, INCLUDING REPORTS . PREPARED Part ll?- UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1

2. Security Review -

1 In' most cases. contractor technical letter reports will be' unclassi-

• I fied . Should a ' report of sensitive unclassified or classified work .

Le required . however, the - project manager must work with the ,

Division of Security to establish the appropriate security procedures  !

and inform ~-the contractor of such procedures. The standards for marking and handling such reports are given in.. Part V of this appendix and NRC Appendix 2101.

I Approved: August 29,19B4 22

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l PUBLICATION OF TECHNICAL REPORTS PREPARED BY

' NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202

.. ]

y PART IV UNCLASSIFIED FORMAL REPORTS ,TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE j

LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS i A. DOCUMENTATION

-1. Appbcability

a. The requirements of this part apply to NRC staff who are responsible for agreements with DOE Laboratories and their contractors who print regulatory and technical reports re-quired oy NRC. (See also Chapter NRC-1102). l

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

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.

2. Front Ccver and Title Pare

a. Separt.te covers (of different paper than that of the text) and l title page are required." l

b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-priate ." Whi'e layouts and typefaces need not be exactly the same as in Exnibits 3 and 4, the items shall appear in approxi-  ;

mately the beations indicated and with the same relative prominen ce .

(1) NRC Report Number Each report shall be identified by an NRC-controlled alphs-numeric designation as the prime designation unique o that document. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may "The cover stock of the performing organization may be used; however it must include the data elements shown in Exhibit 3. ,

i "These requirements meet the specifications of American National Standard ANSI Z39.15-1974, " Guidelines for Format and Production of Scientific and Technical Reports ," and ANSI Z39.23-1974, " Technical Report Numbers . "

23 Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY-NRC Appendix 3202 - NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part lY UNDER OR PURSU/>NT TO INTERAGENCY AGREEMENTS be obtained by calling the Division of Technical Infonna-tion and Document Control or by submitting a copy of. .

NRC Form 426A (Exhibit 5) with a request for a number.

The NRC identification number will have the form:

NUREG/CR-XXXX or NUREG/CP-XXXX, The contractor's report number, if any, will be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4, if desired by the contractor.

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 shan appear immediately below the report number (s).. NRC report numbers on covers and title pages shall be shown entirely on one hne to facilitate computer processing.

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

1 (b) When a report is prepared in more than one volume, repeat the primary title on each volume.

(c) If appropriate , show the type of report (e.g.,

annual report, final report, etc.) and the period covered as part of the subtitle.

(3) Personal Author (s)' Name(s)

(a) Authors' names should be given on the title page and erver unless this is impractical, as in the case l

l cf ar qual reports which have many contributors . If authcrs' contributions are as editors , compilers ,

l etc. so indicate on title page and cover following the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the report.

(b) Authors may be identified on backstrips (spines) of bound volumes.

(4) Organization Identification (a) On the cover, provide the name of the contractor responsible for preparing the report, foDowed by

" Prepared for the U.S. Nuclear Regulatory l Commis sion . " ,

Approved : August 29, 1984 24

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY HRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV

' {"

'(b) On. the title page, provide information of the type illustrated in Exhibit 4.

(5)' Basis for Report Dates (s)

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

l (b) More than one date, with the basis for each, may be shown where this is necessary.

3. Availability and Price Information All formal reports' will be made available for sale by NRC and NTIS.

The statement shown in Exhibit 6 is required on the inside of the front cover

4. Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government.

l, Neither the United States Government nor any agency thereof, or

'. any of their employees, makes any warranty, expressed or implied.

or assumes any legal liability or responsibility for any third party's -

use, or the results of such use, of any information, apparatus, product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow-ing additi:na! statemert.. "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission"

- will be printed below the standard disclaimer, if appropriate.. Other qualifying statements may be added, if needed (see Part I.C.,

Requirements for~ Draf t Reports).

5. Previous Reports in series If the report being prepared is one in an ongoing series, list au 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 of 200 words or less shall be prepared for each formal repert. 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 style n.anual of the originating organization requires a different location .

25 Approved : August 29, 1984

=

e NRC Appendix 3202 Pl'BLICAT]ON OF TECHNICAL REPORTS PREPARED BY Part IV NRC CONTRACTORS. INCLUDING REPORTS PREPARED 1'NDER OR Pl'RSUANT TO INTER AGENCY AGREEMENTS r

I References and Bibliographies Reports or other documents referenced ~in text, reference sections. '

b2 biographies , and appendixes of unclassified regulatory an6 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 Pubbe Document Room. This means that references should not be made to personal communications and interviews , . unpubbshed information and information with restricted distribution (e.g.,

proprietary , national security , official use only, etc.). If . the unretraevable information is important and unrestricted, it can be qucted in the text in footnotes, or in appendixes. If credit is due to mdividuals., they can be mentioned in the text or in an acknow-ledgement section . Availability may be stated collectively for all entr2es (see Exhibit 6).

G u)dehr.es for developing and presentmg reference mater 261 are prev;ded m N1*RE G- 0650, "Techr.ica; Wratmg Style Guide , pub-hshed m November.1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement I dated February 1982.

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

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent imphcations shall be considered prior to approval of reports fcr public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The DOE Operations Office resp:nsit;e for the ecntractor should perform the patent rev;e.

The results of such review shall be reported by the contractor on NRC Form 426A in item II (Exhibit 5).

. 2. Security Review In most cases, reports will be unclassified. Should a report of sen-sitive unclassified or classified work be required, however, the NRC project manager must work with the Division of Security to establish the appropriate classification procedures and inform the contractor. The standards for markmg and handhng such reports are given in Part V of this appendix and NRC Appendix 2101.

Approved . August 29, 1964 26

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' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC AppendN 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED .

~

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV '

i  ; '

C. PROCEDURES FOR PRINTING AND DISTRIBUTING  ;

1; i 1.. Prmtmg Contractor reports may be printed only by a JCP-authorized print--

ing plant and then only if prepared for the NRC Office of Nuclear Regulatory Research . Reports printed by the contractor and one reproducible master shall be submitted to the Division of. Technical

. information ~ and Document Control, with completed NRC Form 420A.

The number of- copies specified by the Statement of Work for stand-ard and incidental distribution shall be provided. .The appropriate identifying number (NUREG/CR ,,_) may be obtained as discussed in Section - A . 2. b. (1) . ..

2 Reprintmg Requests for reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of Technical Infctmation and Document Control . The request shall' include . a written justification and the project managers . approval for the re- '

prmtmg, along with address labels for the recipients.

3, Distribution of Reports l I - AU copies of unclassified formal contractor reports will be distrib-- l uted by the Divisicn of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). I NRC Form 42CA must be signed by a contractor official authorized .

by the project manager . Such authorization shall be. reported in' j

wr:tmg tc the Division of Technical Information and Document Contrd ,

If any d2stribution is to be-made other than, or in addition to, the j standard' distribution established for the report, written justification ,

and the , project manager's approval for printing additional copies I shau acec:.pany the reproducible masters. when submittedAddress to the-Division of Technical Information and Document Control .

labels for the auditional distribution must be supplied.

The Division of Technical Information and Document Control will arrange auto:r.atic distribution of these reports to the NRC Docu-l l

ment Control System, the NRC Publie- Document Room, the National i Technical Information Service (NTIS), the Government Printing '

Office and the Depository Library Service.  !

Distribution of sensitive (unclassified) and classified reperts will be made by the NRC project manager on a case-by-case basis.

I 27 Approved: August 29, 1964

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 ,

1(;

PART- V ,

REPORTS CONTAINING SENSITIVE UNCLASSIFIED

, AND CLASSIFIED INFORMATION A. APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi-fied and classified reports prepared by NRC contractors . These reports include those designated:

Official Use Only Limited Official Use Proprietary Infomation Safeguards Information Confidential Secret Top Secret Only sufficient information is presented here to aid in the preparation of the properly marked covers, title pages, back covers, and text pages.

Details of the NRC Security Program and specific provisions for deter- '

I mining wher. to use the markings exhibited are. contained in NRC s Appendix 2101.

The reports covered are defined as sensitive unclassified er classified.

Sensitive unclassified information refers to information designated Official Use Only . Limited Official Use, and Proprietary Information.

Sensitive unclassified information also includes Safeguards Information that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 and Sectien 147 of the Atomic Energy Act of 1954, as amended, information withheld from public dissemination under the Freedom of Information Act or Privacy Act, and information not . to be experted to or disclosed to foreign countries.

Classified information as used in this part ' includes Restricted Data, Formerly Restricted Dnta or National Security Information that rrequires

• protection in one of the three classification categories described in Executive Order 1235G: Top Secret, Secret or Confidential The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and exhibited in the following sections. AB sensitive unclassified and classified reports are to be sent directly to the project manager.

B. .OFFICI AL USE ONLY AND LIMITED OFFICI AL USE INFORMATION.

,- NRC regulations require an Official Use Only marking to be placed on a

! repert only when the originator or other holder believes the marking is s

29 Approved: August 29, 1984

+ _ __-_ -__-__- ___ _ _ -

=-

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'. PUBLICATION OF TECHNICAL REPORTS PREPARED BY i

!NRC ' Appendix 3202 L NRC CONTRACTORS, INCLUDING REPORTS PREPARED. '

Part V- ' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i

' essential- to ensure proper handling. . Reports' designated Official Use Only will conton only unclassified information originated by or furnished to an NRC- contractor which is to be withheld from pubbe disclosure.. The l, report on which 'the marking appears must be reviewed at the time a'-

• request' for release is received to determine its releasability. The Official Use' Only marking is notice of the originator's determination of the applica-1;, bility of an exemption under the Freedom of Information Act or. Privacy

. Act or both at the time of origination. -

~

c Official Use Only . NRC contractor reports shall be marked as shown in Exhibits 8 through 10.

J Limited 'Officia14Use information is information originated by the U.S.

Department of State. A report originated by. an NRC contractor that contains Limited Official Use information shall be marked as shown in Exhibits Il through 13.

, Procedures . for reproducing, transmitting , protecting. and handling l reports- containing Official Use Only and Limited Official Use information L an.d . removing such reports from those categories are detailed in NRC il

Appendix 21CI .

l C. PROPRIETARY INFORMATION l

L Proprietary information is a specific type of Official Use Only informa-tion . Proprietary informati n includes:

1 trade secrets.

I 2- privileged or confidential research, development , commercial er

, financial information exempt from mandatory disclosure under i 10 CFh Part 2. Rults of Practice for. Domestic Licensing Proceed-ings ." Sections 2.740 and 2.790 and under 10 CFR Part 9, "Pubbe Records," Section 9.fi, " Exemptions . "

3. information submitted in confidence to NRC by a foreign source.

which has been detwrmined by NRC to be unclassified.

Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 14 through 18. In each instance.

the optional wording that describes the material being presented should j be selected.

l- If a report contains both Official Use Only information and proprietar.v l inf ormation , the front cover shall be niarked as proprietary information ,

l and may also be marked as Officiai Use Only information, if necessary.

L Pages in tne report that contain proprietary infomation may be marked i accordingly, including, marginal or other indicators of the specific l wording that is proprietary . Similarily, the pages that contain Official b Use Only information without proprietary information may be markec Official Use Only 1

Approved : August 25, 1954 30

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'NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V

" Procedures for reproducing, transmitting, protecting and handling pro-prietary 2nformation reports and removing them from the proprietary information category are detailed in NRC Appendix 2101. A cover sheet

. (Exhibit 19) is. to be placed on each hard copy of a report containing

. proprietary information.

D. SAFEGUARLS INFORMATION Safeguards information may be of three types: (1) classified .informa-tion , which is marked and handled as indicated in Section E (2) un-classified information restricted under Section 147 of the Atomic Energy

~ Act, which is marked and handled as described in this Section, and (3) unclassified . information, which is publicly available and handled as mdicated in Parts I through IV.

The safeguards information that is to be protected as described here is un cla s su .e d information used in a report which specifically identifies certam heens.ee's or applicant's detailed:

1. security measures for the physical protection of special nuclear materia'.

2. security measures for the physical protection and location of certain plant equipment vital to the safety of production or utilization f f acilitie s Unclassif2e d ShC contracter reperts containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through 22 Procedures fcr reproducing. transmitting, protecting, and handling safe-guards information reports and removing them from the safeguards information catercry are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is te be placs.d on each hard copy of a report containing safeguards informati:n E. CLASS:FIED ISTORMATir"i Classified information is limited to Restricted Data, Formerly Restricted Data and National Sec arity Information. The procedures for making

• classification determinations and for marking, reproducing, transmitting, protecting , and handhng reports containing classified information and

' removing such reports from classified categories are detailed in NRC Append 2x 2101. These procedures are too complex for summarizing here.

Classification determinations regarding NRC information may be made solely by authorized classifiers designated by NRC or DOE. Authorized clas sifiers are responsible for insuring that reports they determine to be classified are marked and protected in accordance with the provisions cf NRC Ar per.d:x 210; .

c' t

33 Approved: August 29,19H

.l NRC Appendix 3202 PUBLICATION OF- TECHNICAI., REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED ].i Part V - UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS .

i It is important to note that information may not be classified in order to prevent or delay the release of information that does not require protection m the interest of national security. Basic scientine research .

' information not clearly related to national security may not be classified. -

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I

- Approved : August 29, 1984 32

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pm Y EXHIBIT 8 i SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG'CR-XXXX (Si Title '

Subtitle and Type of Report Authoriss. Ec tons' Coates:to+

Properec for U $ huctose Reguistory Commission f

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33 Approved : August 29, 1984

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY !i NBC Append:x 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V ,_

l'NDER OR PURSP ANT TO INTER AGENCY AGREEMENTE EXHIBIT S SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING -

OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG'CR xxxx (St Title Swet't.e en: Type o' Repe-u.w..e. c. e+.: . . . . .

o.s. e. . .e . . ..

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OFFICIAL USE ONLY

<a Approved : August 29. 1984 34 j

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-NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202  ;

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l' UNDER OR Pl'RSUANT TO INTER AGENCY AGREEMENTS  %*V -!

I. I EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING 1 OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY

.i k.

OFFICIAL USE ONLY .

I ~

35 Approved : August 29, 1964

NRC Appendix 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY Part \' NRC CONTRACTORS INCLUDING REPORTS PREPARED UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 11:

SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREG'CR XXXX (5, Title Subtitle and Type Of Report d;?;;;;."*"'

6 eat Reguletory Commission

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LIMITED OFFICIAL USE App rcive d August 29. 1954 l 36 -

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PUBL1 CATION'OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS Fa-+ i EXHIBIT 12 St.MPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION i

LfMITED OFFICIAL USE NUREGICR XXXX iSI Title Satmoe one Type o' Repo :

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( l 37 Approved : August 29, 1984 l

d PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appenciix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 13 -

SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE LIMITED OFFICIAL USE I

Approve c' . August 29, 1984 36 1

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. . . I l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Per Y

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EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREG'CR XXXX (P, Title Subtitle and Type of Report Awtm0*+s . (d.10*isi Coet a:te-Preparet for U $ hweleet Regwistory Commission

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39 Approved : August 29, 1984

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l t PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NBC CONTRACTORS. INCLUDING REPORTS PREPARED Part \' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 15 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A POREIGN SOURCE PROPRIETARY INFORMATION NUREG CR XXXX (Pi Title Subtitle and Type of Report AJthD'15' (detDN8 '

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PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION J

NUREGICR.XXXX (P, Title Subtfor anc Type o' Repor.

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l 41 Approved : August 29,19S4

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Port Y UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINEO FROM A FOREIGN SOURCE PROPRIETARY INFORMATION I

NUREG'CR XXXX (Pi Title Sutnnie en: Type of Repo-o u.a .u..< -c,o-o.c.e ore imo- iere-Astac e sow e wes.u r comere: .are Dre pe>>sse smo" voe-Astmo"e foie e Coat acte no e sac ese saa Preparee for D vrs ca OHece U S huclose Reputatory Commission weeshm ot oa D C 205bE NRC FIN Nc sesg ;s insceva s inis oe:,me-. ceaie+e eto mr.e-s r-ce: : %6; t.

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Approved August 29, 1954 42

I f . PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING BEPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS rr1

(

EXHIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING-PROPRIETARY INFORMATION I ,

PROPRIETARY INFORMATION I

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PROPRIETARY INFORM ATION i

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43 Approved: At gust 29, 1984

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202' NRC CONTRACTORS. INCLUDING REPORTS PREPARED l

Part V UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION. .

l PROPRIETARY INFORMATION

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1 PROPRIETARY INFORMATION 4

Aarewee Omemme it iSK Approved . August 29, 1984 f,4

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.;,i PUBLICATION OF TECHNICAL REPORTS PREPARED BY l NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Antianriiv 3707 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pm V I,

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EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARbS INF-ORMATION I

SAFEQUARDS INFORMATION - i l,

3 NUREG'CR XXXX (SGi Title l Subtitle and Type of Report Author (s1. Editoris)

Contractor j Propeeed toe U.S hucles' Regulatory Commission

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I 45 Approved : August 29, 1954 l

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED .

L Part'V UNDER OR Pl'RSPANT TO INTERAGENCY AGREEMENTS L .

l-EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEQUARDS INFORMATION NUREG'CR XXXX (SGI Title Suetnie one Type o' Repe-t:: 1 ? % ::

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S wei e gegwg Commission i

S AFE G U ARDS INFORs/ ATION a l Approved : August 29, 1984 46

PUBLICATION OF TECHNICAL REPORTS PR'EPARED BY NRC CONTR ACTORS,' 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 SAFEGUARDS INFORMATION I

i S AFEGU ARDS INFORM ATION ,

i 47 Approved : August 29, 1984

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY

• NRC Appendix 3202 NRC CONTRACTORS.' INCLUDING REPORTS PREPARED  ;

Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

, EXHlBIT 23

. COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSillED SAFEGUARDS INFORMATION T .

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4 $ SAFEGUARDS INFORMATION O

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~ ' TH'S DOCUYENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM , y -

. UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147. ATOMIC ENERGY  ;

, ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO CIVIL OR CRIMINAL PENALTIES.  ;

TH'S DOCUMENT IS NOT TO BE LEFT UN ATTENDED OR ACCESSIBLE TO UNAUTHORIZED C PERSONS. WHEN NOT IN USE,IT MUST BE STORED IN A LOCKED SECURITY STORAGE r i CONT AINER 4

3 IT IS YOUR RESPONSIBILITY TO F'iOTECT THE INFORMATION CONTAtNED IN TH!S DOCUMENT FROM COMPROMISE. THEFT OR UNAUTHORIZED DISCLOSURE.

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[ SAFEGUARDS INFORMATION -

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PUBLICATION 01 ~ECHNICAL REPORTS PREPARED BY L NRC CONTR ACTO. 8. INCLUDING REPORTS PREPARED L UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 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 all NRC cooperative nuclear safety research program partici-

- pants are served best by early, rapid dissemination for comment of informa-tion on these programs developed for NRC by NRC contractors. This can be

' accomplished by distribution of. "Draf t Preliminary Reports (or Codes)" for -

y comment for a specified period of time followed by issue as formal NUREG/CR.

a reports, with the concurrence of the participants. Specific procedures for N

• 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 following sections. The procedures de--

tailed here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers as guidance.

A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of mformation by a contractor shall be designated "Draf t Prel=dnary Rep .ct (or Code)," and shall include the cover sheet shown in Exhibit 24.

The following notice :s to be printed on the bottom of the cover sheet

. (Exhibit 24):

NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action . It has not have received patent review and may con-tam mfermation received in confidence. Therefore, the con-tents of this report should neither be disclosed to others nor

[ reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office.

The recipient is requested to take the necessary action tc ensure the protection of this report.

49 Approved : August 29, 1984

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. . . . PUBLICATION OF~ TECHNICAL REPORTS PREPARED BY NRC: Appendix,3202; ' NRC CONTRACTORS,~-INCLUDING REPORTS PREPARED 1Part VI- " UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS -

g ..-

a ' . ThisLnotice has been agreed to.by the legal staffs of both NRC_ and DOE

!and; is .nct- tc be' added to or changed. ' Any problem in this regard shall

'be: brought to the attention of the NRC project manager, who will consult - '

o qi :with the NRC legal staff. .

The , "Draf t - Preliminary Report '(or Code)" shan be submitted by first p class; or- express mad - by1 the contractor to the NRC project manager, m '

withithe' letter shown 'in Exhibit 25; in the number 'of_ copies, specified by the project manager (in most instances lthis' will be fewer than 20 copies).

The, contractor (DOE facility, contractor. or subcontractor- or' othericoi.-

U DOE facilities and -

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tractor) may retain copies only for ' internal use.

contractors and. their - subcontractors shad ' not. distribute ' copies of this

draftLreport to DOE /TIDC. Draft reports may be distributed to interested

• DOE ' program ' offices . Subsequent issues of the information shall also be-

?<

designated :"Draf t . Preliminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report.

4 , ' "Draf t Preliminary . Reports (or Codes)" - shall. not- be. identified as NUREG/CR reports or carry any contractor: report number or NRC dis-

- tribution ' Code s .

i , b. ' DISTRIBUTION BY NRC PROJECT MANAGERS The; NRC project manager will distribute the copies received only to (1)

.the l participants in the program, (2) the NRC: staff with a need-to-know.

and - (3) .others authorized by the program' or, project manager. Trans-mittal to participants shall be by first class or express. mail, including L air ' mai! to foreign participants If premium . cost mail services are to be used, a: Division . Director, or ' comparable or higher authority must certify to the - need on NRC- Form'420,' " Request for- Premium Cost Mail Service ' Premium cost maa is:

1. Express L D, Pr;ority mad (First ' Class ' weighing more than 12 ounces)

-2 International F . press Mail ( Air Mail weighing more than 10 ounces)

(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A)

C; COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six months will be aDowed for comments and resolution of -

comments . - At the end of the comment , period, the NRC project manager shad, with the concurrence of the participants, authorize the contractor to . issue the information as a NUREG/CR report in accordance with the provisions of this Chapter.

D. REPORT IDENTIFIERS ,

The " Draft Preliminary Reports (or Codes)" wiD be uniquely identified only by the Financial identification Number (FIN) assigned by NRC and

. Approvad: August 29,198.; 50

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' o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202

., UNDER OR PURSl' ANT TO INTERAGENCY AGREEMENTS Part VI the appropriate periodic notation , if any , included in the title (Ex-hibit 24). They shall not be given standard report nomenclature until the NRC project manager authorizes publication as a NUREG/CR report.

At that time , the con'.ractor may add its own designation below the NUREG/CR number, as binown in Exhibits 3 and 4.

L 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 sensitive unclassified or classified information (see statement of work) l the procedures of Part V also apply. The report (or code) may ny be classified solely for the purpose of limiting distribution to the partici-l pants.

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s 51 Approved : August 29, 1984 l

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f PUBLICATION OF' TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE)

FOR COMMENT ,

DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT FIN NO. -

Title of Program Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1) l Prepared by (Name of DOE Facility, Contractor and/or Subcontractors, if any) for U.S. Nutlear Regulatory Commission NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM ,

This report was prepared in contemplation of Commission action. It has not received patent review and may contain information received in confidence.

Therefore, the contents of this report should neither be disclosed to others .

nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate llSNRC office. The recipient is requested .

l to take the necessary action to ensure the protection of this report. l 1

l Approved : August 29, 1964 52 .

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS peyt n I

k EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR t@ AFT PRELIMINARY REPORT .

TO: NRC Project Manager

SUBJECT:

DRAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMMENT The enclosed " Draft Preliminary Report (Code)" is being submitted for comment.

~11 is our understanding that the comment period shall extend six months from the date of mailing of the draft to the participants. Upon resolution of the comments after that period and with concurrence of the cooperative program

. participants, the NRC Program Manager will authorize publication of this 1

j' report in the NUREG/CR series under the provisions of NRC Manual Chapter U C2 or 3202.

DOE Facility or Contractor Representative d

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53 Approved : August 29, 1954

( . . . .

PUBLICAT]ON OF TECHNICAL REPORTS' PREPARED BY

l. 'NRC CONTRACTORS. INCLUDING REPORTS PREPARED .NRC ' Appendix 3202 R

UNDER OR PURSTANT TO INTER AGENCY AGREEMENTS Part VI EXHIBIT 26 -

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TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS 1 Rec 2plents : Addresses on attached labels Method cf Mailing C/ First Class Postal Service to U. S. addresses C/ Express mail' to U S. addresses *

(-

O ' Air mail to' foreign addresses *

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

. THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENSITIVE UNCL ASSITIED INFORMATION l Specia} Instructions .

Individual Requesting Mailing:

Project Manager or High Authority

Enclosures:

1 Address labe;s

2. Documents to be maued

• 1f ~ premium cost mail serv;ces are to be used, a Division Director or compar-able or higher authority must certify to the need on NRC Form 420, " Request

' for Premium Cost Mail Service," Premium cost mail is:

1. Express Mail, Priority Mail (First Class weighing more than 12 ounces)

2. International Express Mail (Air Mail weighing more than 10 ounces) '

(See Chapter NRC 0255-056 and NRC Appendix 0255, Part V, Annex A).

54. Approved: August 29, 1964

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