ML20151U134

Solicitation Offer & Award of Technical Assistance in Support of NRC Reactor Licensing Activities to Science Applications Intl Corp

ML20151U134
Person / Time
Issue date:	10/30/1986
From:	Levick M NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), SCIENCE APPLICATIONS INTERNATIONAL CORP. (FORMERLY
To:
Shared Package
ML20151U054	List: IA-87-404, Solicitation Offer & Award of Technical Assistance in Support of NRC Reactor Licensing Activities to Science Applications Intl Corp ML20151U050 ML20151U134
References
FOIA-87-404 RS-NRR-86-051, RS-NRR-86-51, NUDOCS 8804290267
Download: ML20151U134 (155)

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! Technical Assistance l l

in Support of l NRC Reactor Licensing Activities Part I Administrative Data October 30,1986 -

i Submitted to:

[

United States Nuclear Regulatory Commission ,

Washington, D.C. 20555 '

~

In Response to: '

RS NRR 86 051

SAIC Proposal Number 1 263 71 870 06 ,

DISCLDSl'RE OF PROPRIETARY SAIC DATA NOTICE 7hu proresal or quotabon mcludes data that shall not be dubsed outade the Ccwrnment and shan not be duplated. uwd. or dwbwd-cn = hole or m part-for any purpou othtt than to enluate this progetal or quotabon If, W, a contract u a.arded to this offefor or quoter u a result of-or in connection =1th-the submtuson of thu data, the Co*mment shall haw the ryht to duplate, vu. or dwlow the data to the catent prouded [

, ts the resultmg contract This restrxt>on cbes not hmn the Coernment's rght to uw miormation conta2ned in thu data d a is c+ tamed from another f

tource adhout restruten The data subst to thu restnction are contuned in all pages"

=SAIG" p*[ 1'* '

Science Applications International Corporation i 1710 Goodridge Drive r

/ ,

McLean, Virginia 22102

r-RS-NRR-86-051 Page 2 Section B - Supplies or Services and Prices / Costs B.1 Brief Description of Work

Title:

"Technical Assistance in Support of NRC Reactor Licensing Activities" Independently the contractor shall perform technical evaluations in support of licensing actions, generic and plant-specific safety assessments, risk assessments, evaluation of selected safety issues. ,

cost-benefit impact analyses, regul6 tory requirements, and analyses of operating experience, the technical evaluations perfonned will cover the full spectrum of NRC licensing activities.

8,2 Proposed Cost and Fee Offeror is to complete proposed costs below:

Basic Contract (3 year performance period)

Estimated Cost $

Award Fee $

Total 5 I

I Option (? additional years of perfonnance)

Estinated Cost $

Award Fee $

Total $

i GRAND TOTAL $

B.3 Remittance Address If item 15c. of the Standard Fonn 33 has been checked, the offt ror shall enter the remittance address below, ham' __ Science Applications International Corporati)n Address, c/o First National Bank of Maryland Account No. 401-9197-2 P.O. Box 64115 Baltimore. Maryland 21264

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5 RS-NRR 86-051 Page 3 Section C - Disci.iption/ Specifications / Work Statement C.1 Statement of Work 1,0 GENERAL DESCRIPTION Independently, and not as an agent of the Goverrment, the contractor shall per-fonn approxirately 700 technical evaluations over a three year contract period

' (and approximately 350 technical evaluations if NRC exercises an option to extend the period of perfonnance an additional two years) in support of licensing actions, generic and plant-specific safety assessments, risk I, assesseents, evaluations of selected safety issues, cost / benefit im analyses, regulatory requirements, and analyses of operating experience. pact The E technical evaluations to be perfonned by the contractor will be selected from i- the topics described below for each general topic group or similar topics of i equivalent cosplexity.

e The types of technical evaluations considered within the scope of this procure-ment shall include the full spectrum of NRC licensing activities including, but -

I not limited to, the following: applications for Construction pennit. Operating L License, and Operating License timendrent; irplementation of new or revised f regulatory requirements; application of information resulting from research or E

other technological advancement; implementation of requirements generated by I the lessons learned from the accident at Three Mile Island; and Systenatic F Safety Evaluation of Operating Re ac tors , including the Safety Assessment Program.

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The contractor shall be capable of providing multi-disciplinary talent and experience in the nuclear industry to perfonn work under this contract. All T- work to be perforred under this contract will be initiated by the issuance of Task Orders by the Government. Some task orders may require the use of a i limited nwter of experts contributing a small percentage of time (5 to 50 a

percent) for one to six months to complete the task. For planning purposes, talents needed for this contract may be distributed by percentage as follows:

20 percent Nuclea r Plant Systems, 20 percent Nuclear Plant Electrical Engineering, 20 percent Materials and Structural Engineering, 10 percent Reactor Operations Personnel and Hur.an Factors Engineering,10 percent Nuclear Engineering, 5 percent Radiological Engineering. 5 percent Risk and 411abt11ty

_ Engineering, 5 percent Mechanical Engineering, and 5 percent er less Meteoro!ccRal and Geologic Engineering.

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These percentages may vary significantly free one renth to another, depending on the needed expertist for the assigenent.

I 2.0 NUCLEAR PLANT SYSTEMS ENGINEERING k For planning purposes, 20 percent of the total level of effort for this contract will be needed in the nuclear plant systems engineering area, which includes reactor systems, auxiliary systems, and containrent systems engineering. The contractor may perform detailed safety assessments of significant operating reactor events, review design and performance of I

" essential nuclear plant systems (including support and auxiliary systers, such as service water and RCS cleanup, and containment systems and subsystems),

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RS NRR-86-051 Page 4 review engineered safety features and safety systems design and perforinance adequacy, evaluate mass energy models and hydrogen generation models for postulated accidents, and systems measures for mitigation, review design and performance of control room systems to ensure that operators are protected during accidents, pos t-accident systems including conti f rvnent. spray and ,

atmospheric cleanup systems, and review balance of plant systems.  !

Examples of the type of tasks that may be assigned follow.

2.1 Fire Protection Review The Fire Protection Rule,10 CFR 50.48 and Appendix R to 10 CFR 50, became effective on February 17, 1981. Licensees and applicants have requested exemp- '

tions and deviations from the rule based on the analysis of fire hazards. As I required, the contractor shall review this analysis to ensure that each alter-native to reeting the requirements of 10 CFR 50.48 and Appendix R provides an equivalent level of overall protection of plant safe shutdown capability. The contractor shall use only expert systems engineers and fire protection engineers in conducting these reviews, The contractor shall perfom a review -

and evaluation of each exemption request using the requirements of 10 CFR 50.48 and appendix R to 10 CFR 50 and the guidance of the Standard Review Plan (NUREG-0800), Section 9.5-1 Appendix A to BTP A PCSB 9.5-1, and the National Fire Protection Association Fire Codes. The final Technical Evaluation Report (TER) shall include recomendations that the NRC grant or deny the exemption or deviation request.

2.2 Coordination and Integration of Initiatives The design of the Safety Parameter Display Systee (SPDS), design of instrument displays based on Regulatory Guide 1.97 guidance, detailed control room design (DCRD), design review development of function-oriented erergency operating pro-cedures, and operating staff training should be integrated with respect to the overall enhancerent of operator ability to comprehend plant conditions and cope with emergencies. The three groups of initiatives--SPOS, control room improve-

, ments, and teergency response facilities (technical support center, emergency operation facility, operational support center) have r.any interrelationships.

'l Contract assistance will be used as needed by the staff in assessing the post-implementation validation and verification program of these initiatives. The evaluations may require expertise with experience in systems integration and familiarity with SPDS, DCRD, and Regulatory Guide 1.97 requirenents.

2.3 Unreviewed Safety Issues Changes related to safety of the plant requires the licensee to submit an ap-plication for ariendment to the license pursuant to Section 50.90. Contract assistance will be used as needed by the staff to review the unreviewed safety w issues such as Transamerica Delaval. Inc. (TDI) diesel engines and Salem

! anticipated transients without scram (ATWS).

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RS NRR-86-051

, Page 5 2.4 Unanticipated Events (Nuclear Systems Skills)

As required, contrictor assistance my be used in conducting initial safety assessment ities.

of unanticipated events occurring at operating power reactor faci).

Initial generic technical evaluations related to safety my include aspects of nuclear power plant design, construction, or operations that are directly related to operating facilities. This may include a rapid initial safety assesssent of unanticipated events. Results of the initial safety assessment within a weekNy of be thepresented orally on site and documented in a letter report oral presentation.

(See also 5.5.)

2.5 Shutdcnm Decay Heat Removal At the completion of the resolution of USI A-45, some of the plants may require an evaluation of the safety adequacy of systems for removing decay heat f rom a '

reactor core during shutdown and to assess the value and the impact of alterna-tiv'e measures for improving the reliability of those systems. In order to ac-complish these objectives, numerous tasks and subtasks have been identified, including system reliability assessments, system engineering feasibility studies, thermal-hydraulic analysis, power plant characterizations, reviews of emergency operating procedures, and evaluation of the vulnerability of the systems to special emergencies such as fire, flood, earthquake, and sabotage.

Work on these aspects is in progress.

As required, the contractor shall perfonn reviews and evaluations of the topics stated above for specific nuclear power plants and will provide a TER. This could include extensive analysis of auxiliary feedwater reliabilities for a limited nutter of specific designs.

2.6 Pressurized Thermal Shock Overcooling from transients in pressurized water reactors, such as those resultinq instrumentation and cont rol system mlfunctions, loss-of-coolant accidents (LOCts ), main steamline breaks, feedwater small-break pipe breaks, and stuck-cpen safety valves, can cause an overcooling of the reactor vessel concurrent with or followed by repressurization. This situation is called pressurized thermal shock (PTS). If the fracture toughness of the plate and weld uterials in the beltline region of the reactor vessel has been decreased by neutron vessel and melting irradiation,(USI PTS of the core .

A-49)rulesevere PTSextensive will require events could cause fai plant-sp*ecific risk analyses by licensees and tuplementation of necessary corrective actions for plants that will exceed the screening criteria in the rule. A detailed description of this issue can be found in NUREG/CR-2083, "Evaluation of Pressurized Themal Shock: Initial Phase of Study" (October 1981).

i As required, the contractor shall perfonn reviews and evaluations of licensee submittals for specified nuclear power plants or conduct evaluations and pro-vide technical evaluation inputs required for licensing actions.

l

RS-NRR 86-051 Page 6 2.7 Integrated Schedules for Nuclear Plant Modification Schedules for plant modifications at operating reactors, both utility initiated and hRC required, are being negotta?.ed between the NRC Project Managers and the licensees for operating reactors. MRC will establish realistic plant-specific schedules that take into account the unique aspects of work at each plant. The objective is to establish an integrated implementation schedule for new and existing requirerents reflecting relative priorities for each power reactor licensee. As required, the contractor shall assist the staff in providing an  ;

objective technical assessrent of the licensee's integrated schedule program  !

for plant modifications. The integrated schedule (IS) program review may include a thorough understanding of its contents and bases; e.g. the ,

methods employed for judging work priority, constraints of licensee resou,rces, I overall schedule integration, and the mechanism planned for r.aking changes to the 15. The contractor shall assess the overall validity of the IS as subettted by the licensee. Factors to be considered in the assessment are coverage (15 includes all NRC initiatives and licensee comitment s to NRC), timing (realistic estimates of work durations and planning), and other factors. At -

the .conpletion of the review, the contractor shall provide a TER with a recorrendation that the overall IS is or is not valid.

2.8 Non.Pewer Reactor Reviews A complete review of the Safety Analysis Report (SAR) is conducted by the NDC to ensure that the Non-Power Reactor (NPR) licensee reets all of the applicable rules and regulations for relicensing. The SAR must include information that thoroughly describes the facility, its 6perations, and all sa fe ty-rela ted changes made during the previous license period. The application for renewal will include the SAR, Technical Specifications, and Environmental Analyses.

The SAR will contain the design basis and operating limits for reactor operation; a safety analysis of the structure, coeponents, and systems showing that they will be able to perfort their intended functions; updated infomation on reteorological, seismic, and other natural and r.an-caused phenorena; and analyses of potential consequences of various accident scenarios. As required, the contractor shall review and evaluate the licensee's application submittal

' for each of the NPRs in accordance with the criteria provided in Appendix A

' Standard Review Outlined for Sections of Safety Evaluation Report for Licensing of Non- power Reactors." On occasion the contractor rey be requested to conduct independent evaluations related to NPRs. At the corpletion of technical evaluations the contractor shall provide TERs to the NRC.

• 2.9 Safety Assessment Program The Safety Assessrent Program will address all pertinent safety issues at an operating nuclear plant and provide an integrated cost-effective implerentation plan.powerThe licensee will provide probabilistic and deteministic analyses that address selected safety issues. The licensee's submissions will be reviewed by NRC to verify the validity of the proposed resolutions of the issues and the implerentation schedule and to estimate the relative safety importance of selected issues. Depending on the information submitted, as requi red, the contractor r.ay review the licensee's analysis or provide a separate assessrent based on other available probabilistic risk is sessenent (PRA) studies.

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RS-trRR-86-051 Page 7 2.10 Reviews for ATVS Topic or ATVS Rule Implementation Generic letter 83-28 permits plant-specific implementation schedules [ pursuant to 10 CFR 50.54(f)) to be established in coordination with the NRC Project

. Manager that take into account any unique cornpeting safety requirecents and priorities of each plant. Each licensee will be requested to submit a proposed schedule for completing the actions to comply with these intermediate-tenn re-quirements. The technical assistance may be used on an as-needed basis to assist the staff to cceplete the reviews in a tiinely manner. The contractor may be required to review the submittals of licensees and provide written TERs to the NRC. Similar technical assistance may be needed for implementation of an ATWS (anticipated transients without scram) rule. (See MUREG-1000, "Generic Implication of ATVS Events at the Salem Nuclear Power Plant " April 1983.)

2.11 Reliability of Systems and Equipment important to Safety The designs of a nuclear power plant are developed by groups of engineers ar.d -

seigntists organized into engineering and scientific disciplines. The reviews perforned by the designers include interdisciplinary reviews to ensure the functional corpatibility of the plant structures, systees, and components.

Reviews and evaluations of safety systems and equipment are accomplished in accordance with the Standard Review Plan (SRP). Occasionally there are ques-tions regarding the reliability of systems and equipment important to safety of various plant systems, both as to the supporting roles such systems play and as to the ef fect one system can have on other systems. Contract assistance may be needed in reviewing the reliability of plant-specific systems and related equipment important to safety. Results of the review will be reported in the TER.

2.12 Balance of Plant Systems A number of unanticipated plant transients are caused by balance-of-plant (BOP) systens. Examples include reactor shutdowns caused by feedwater control system f ailures, other control sys te.n failures, turbine pilot valve / throttle valve failures, and leaks on overpressurization in the instrument air systems, or -

losses of offsite pcwer caused by failures of onsite distribution systems. The contractor shall support the NRC staff in evaluating the need for improving the quality and reliability of these systenis. The objective of this task will be to improve safety of plants by improving the operation of 80P systens. At the completion of this task, the contractor will provide recommendations in a final TER input to the staff's effort for improving the plant safety.

3.0 NUCLEAR PLAMT ELECTRICAL ENGINEERING For plar.ning purposes, 20 percent of the total level of effort for this con-tract will be needed in the electrical engineering area, which includes instrv-mentation and control (l&C) and power systems engineering.

As required, the contractor shall evaluate the design and maintenance of plant instrueentation that provides for automatic safety actuations or infomation to the control room or outside the control roon, including post accident nonitoring instrvrentation. This task shall include technical evaluations of plant instrumentation and control systems; 1.e., reviews of electrical and

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RS-NRR-86-051 Page 8 i physical standards; separation evaluates issues, plant redundancy, and other issues related to established shutdce , pcwer system power systems necessary to accomplish safe cold adequacy for systes performnce during accident conditions, offsite and onsite power sources and distribution systems related to safety equipment and instrumentation (including diesel generatbrs, offsite ,

power availability and reliability issues, and offsite grid issues). l l

Examples of the type of tasks that my be assigned follow.

3.1 Instrumentation and Control Power Interactions safe operation available of a nuclear to operators at power plant requires that sufficient information be all times to bring the plant tc a safe shutdown condition in the event of a loss of offsite power or some other emergency.

(1) An I&C power supply fault can engineering safety features (ESFs); cause a critical challenge to standby i.e., cases including reactor trips, loss of mtn feedwater, loss of offsite power, etc.

(2) The same the mitigate l&C power supply fault could defeat some of the ESrs called on to initiating event, for both core cooling systems and

, containment cooling systems.

(3) The same 1&C power supply fault could blind or partially blind operators to the status recovery of the plant and prevent them from taking appropriate actions.

As required, the contractor shall either co'nduct evaluations for the NRC or review informtion provided by the licensees to deter 1nine if the power supply and bus arrangecents for the status annunciator systems and indication instru-mentation are adequate to ensure that at least one channel of infor1 nation is available at all tires. The power supply system status annunciator system my also be reviewed to determine if it is adequate to ensure that the operators will be aware of any d'egradation that my have occurred.

3.2 Instrurentation to Assess Plant Conditions Instrurwntation for light-water-cooled nuclear power plants, used to assess plant environrental conditions during and following an accident and to provide inforntion pe rsonnel . irportant to safety, Instrurentation is required for the control room operating is also provided to indicate information about plant variables required to enable the operation of unually initiated safety systems and other appropriate operator actions involving systems important to safety. The contractor shall, as required, either conduct evaluations for the NRC or review information provided by the licensees to determine compliance with Regulatory Guide 1.97 and Supplement 1 of NUREG 0737, "Clartf tcation of TM1 Action Plan Requirements: Requirement for Eme rgency Response Responsibility" (January 1985) (SPOS and DCRD). As required, the contractor shall assist NRC in corpleting remaining unfinished SPOS and DCR0 reviews.

R$-NRR-86 051 Page 9 3.3 Safety Related DC Pcwer Supplies The NRC's study of the adequacy of DC power supplies was doctinnted in huREG 0305, "Technical Report on DC Power Supplies in Nuclear Power Plants"

'(July 1971). This study recomended the perfonnance of quantitative reliabil-ity assessnent. This assessment was perfonned and doeurented in is0 REG-0666. "A Probabilistic plants" (April Safety) 1981 . Analysis of DC Power Supply Requirements for Nuclear Powe NUREG-0666 recorrendations are being converted into requi reeents. Irplerentation guidelines are also being developed.

As required, the contractor shall review the Ifeensees' submittals in response to implerentation requirerents approved by the Comittee to Review Generic Requirenents(CRGR).

3.4 Diesel Generator Reliability Operation of a nuclear power plant requires that diesel generators supplying onsite emergency power be available on demand for safe shutdown of the reactor in the event of an accident or loss of offsite power. NUREG/CR-0660. "Enhance-rent of Onsite Erergency Diesel Generator Reliability,' has addressed operating exper_tence problems that have had an effect on the reliability and availability of onsite emergency diesel generators at various nuclear plants and provided recorrendations for correction of these problems. Pending final resolution of G51 B 56, "Diesel Generator Reliability," the interim diesel generator reliability improvement program r.ay require contractor technical assistance in conducting technical evaluations of the licensee submitals in this area and the contractor shall provide results in TERs to the NRC. Generic Letter 04-15 was issued to all licensees of operating ) plants. proposing staff actions to Licensees have described theirmaintaining and diesel ger.erator reliability improvement program, if any, for attaining a reliability goal. This information together with other studies is presently being considered to detennine the necessity for any further actions.

3.5 Station Blackout Concurrent less of offsite and erergency onsite sources of alternating current electric power is referred to as station blackout (USI A-44). % ny safety sys-tems required for decay heat removal from the reactor core and containment heat removal are dependent en the availability of this power. The NRC staff has corspleted MUREG-1032 l Power Plants" (Ny 1985)

• Evaluation of Station Blackout Accidents at Nuclear presenting the technical findings on this issue.

Recorrendations for specific improvecents to reduce risk from loss of all AC power have been developed. These recomendations are being incorporated into a proposed rule and regulatory guide. Irplementation may require technical assistante of the contractor to conduct plant-specific or generic reviews.

3.6 Qualification of Safety-Related Electrical Equipment for Seismic and Dynaelt loads (Electrical Engineering Skills)

I The USl A-46 progran inve:tigated the adequacy of seismic qualification rethods used for electrical equi; rent installed in older nuclear plants, and detennined that it is necessary to develop proposed requirerents that could be impleoented 1

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RS-NRR-86-051 Page 10 in a practical cost-beneficial way to ensure that equipment in older plants can adequately withstand a seismic event and ensure the capability to safely shut down the plant (NUREG-1030, ' Seismic Qualification of Equipment in Operating

, Nuclear Pcwer Plants ' with attachmnt August 1985). .

Each licensee of an operating reactor which has not been previously reviewed to current licensing criterion would be required to perform a seismic verification review and report the results. Seismic verification my be accomplished  ;

generically by vendor design analysis.

As required, the contractor shall review the licensee and applicants' submittals for compliance with NRC criteria using a set of review guidelines developed by the NRC. The review guidelines will be based on Regulatory Guide 1.100, Institute of Electrical and Electronics Engineers (IEEE) Standards 344-1975 and 323 1974; and Sections 3.9.2, 3.9.3, 3.10, of the Standard Review Plan. 4VREG-1018, ' Seismic Qualification of Equipment in Operating Plants " was issued in Septerter 1983. .

(See also 9.4.)

4.0 MTERIALS AhD STRUCTURAL ENGINEER!hG For planning purposes, 20 percent of the total level of effort for the contract will be needed in the uterials and structural engineering area.

As required, the contractor shall (1) evaluate the uterials engineering, in-service inspection, and sterials integrity aspects of design and perfomance of systems structures and components ($58C) of nuclear power plants; (2) '

evaluate design loads, structural criteria and urgins, static and dynamic analyses, and potential impact of exte rnal events, such as earthquake and of sterials used inside containment to flooding; (3) evaluate the stability (including aging) and determine impact determine post-accident system performance; and p(erfomance4) review structural and sterials aspec facilities, such as spent fuel pool rodifications.

Examples of the type of tasks that my be assigr,ed follow.

4.1 Welding The staff occasionally conducts technical evaluations of welding, fabrication, inipection, quality assurance of welded structures, cocponents and systems in nuclear pcver plants. The analyses are conducted based on the Codes 1) of Mechanical (ngineers (ASME)Section III, NF, Merican kerican Society (AWS) Standard 0.1.L and kerican National Standards Institute Welding Society

( ANSI) Standard 8.31.1. As required, the contractor shall assist NRC in conducting evaluations of welding practices used in the field. At the cogletion of the task, results shall be reported in a final TER. The .

contractor shall have field experience in welding /m terial s/s tructural e ngineering.

4 RS-NRR-86-051 Page 11 4.2 Stress Corrosion Crackino in BWR Pressure Boundary Piping inspections conducted at several. boiling water reactors (BWRs) revealed inter-

' granular stress corrosion cracking (!GSCC) in large-diameter recirculation and residual heat removal piping. Generic Letters 84-07 and 84-11 provide guidance to Itcensees planning to replace recirculation tystee piping (or other reactor coolant system pressure boursdary piping) with sterials that are less suscepti-ble to intergranular stress corrosion cracking. In particular guidance regarding NRC reviews and approvals that may be necessary is pro,vided. As required, contractor shall assist NRC in reviewing or analyzing stress analysis for the recirculation and other replaced piping . systems that verify the licensee's demonstration that allowable limits have not been exceeded. The contractor chemistry. shall be knowledgeable in all aspects of IGSCC uterials and water 4.3 Bolting Degradation or railure in huelear Pcwer Plants A large nueber of the reported bolting incidents are related to prir.ary pres-sute bendary applications and r.ajor component support str9etures. Therefore there is increasing concern regarding the integrity of tae prir.ary pressure, boundary in operating nuclear power plants and the reliabiluy of the component support structures following a LOCA or an earthquake. As reivired by the NRC.

the contractor shall conduct independent evaluations or review the sutcittals of the licensees and provide written TERs to hRC.

4,4 Intervice Inspection Program .

i Liceraets for boiling or pressurized water reactor nuclear power facilities are

' required by 10 CFR 50.55 to have an inservice inspection program that reets the requirements of hRC and the ASME Boiler and Pressure Yessel Code, if the licensee determines that it is impractical to meet certain Code requirteents, a iustification sust be providcd to the Cecrnission that can grant relief from specific rtquirements or impose alternate requirements.

As required, the contracter shall review licensee submittals for the

! implementation of inservice inspection programs that request relief from the requirements and provide writte.n technical evaluations to the NRC. In soee l cases, independent evaluations by the contractor my be necessary.

The reactor vessel is an integral part of the pressure boundary and its struc-tural integr:ty must be evaluated throughout its service life. Periodic exami-nations of the vessel are performed to detect service-induced flaws in the ves-sel welds and base uterials. To deterinine the vessel's capability to continue its function with an adequate safety urgin during steady-state and transient conditions sufficient data relative to each reactor vessel is necessary for input to structural integrity analyses.

The purpose of this program is to provide a compilation of data on reactor ves-sels (including design, sterials of construction, fabrication history, preser-vice and inservice examination rethods and results, identification of welds in-accessible for state-of-art examination techniques, and the identification and location of any recordable flaws fcund during examinotions or inspections). As required, the contractor shall assist NRC to compile and update the data neces-

l RS-NRR-86-Of1 l Page 12 l

sery to assess the structural integrity of each reactor pressure vessel (throughout its service life) at all licensed facilities. Some of the data input will be based on inforration contained in reports required to be

, submitted by licensees under the inservice inspection program. .

4.5 pwR Steam Generator Tube Integrity Tube degradation results fror, a combination of problems related to mechanical design, reterials selection, fabrication techniques, and secondary system design and operation. An integrated program for the resolution of this problem (U5!s A.3. A-4, and A-5) has been draf ted by NRC staff and focuses on the following topics: prevention and detection of loose parts and forei in stear generators, inservice inspections of steam generator tubes, gn objects control of secondary water chemistry, inservice inspection of the condenser for converting steam back to water, the limit on primary-to-secondary leakage, the limit on iodine radioactivity in the coolant water, and the reset of the safety -

injection si9nal after tube ruptures in steam generators. The contractor may be required to evaluate the licensee's and applicant's submittals for compliance with requirerents and report the results of the review in a TER.

4.6 Spent Fuel Pool Modifications New spent fuel storage rack designs proposed by licensees are reviewed for struc tural des 19n, raterials a spec ts , analysis procedures for all loads (including seissic and impact loadings, loading corbinations and structural acceptance criteria), and quality control for fabrication and installation.

The review is perforired in accordance with Sections 3.7 and 3.8 of the Standard Review Plan and the associated branch technical position on spent fuel storage.

As required, the contractor shall review the licensee-proposed rodification for corpliance with WRC criteria or conduct independent technical evaluations and provide the results in a TER.

5.0 REACTOR OPERATIONS PERSONNEL AND HUFM FACTORS ENGINEERING l

t For planning purposes,10 percent of the total level of effort for this contract will be needed in the reac'.or operations personnel and human factors engiretring areas.

As required, the contractor shall review human factors issues of plant

( operation (including operator response to transient and accidents, control room l displays and faformation access, adequacy of equipmtat for the operator to respond to accidents inside and outside the control room, plant staffing issues, procedures for normal and abnormal events including eme rgency procedures, administrative and ranagement issues for control of safety at i facilities, and hear factors design issues), as well as crganizational ratters .

j of plant staffs dealing with the training and licensing of personnel (including examination of simlator operations, organizational review activities, technical specification adequacy for maintenance and surveillance, plant startup and preeperational test programs, and test procedures and prugrams).

As required, the contractor shall also review quality assurance / quality control (QA/QC) prograss that include docurentation of and associated infomatica and interviews with appropriate personnel, plant inspection, and assessment of allegations.

Examples of the type of tasks that ray be assigned follow. ,

. - - , _ , , _ ~ . . , , - . _ _ . _ - , . - _ - - - - . - , , . . - - - . - - - - . . - - - - - - - - - - - - - - - - - - - - , - - - - - - - - - ' ' - - ' - - -

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RS hRR 86-051 Page 13 5.1 Man-Machine Interfaces The purpose of reviewing the human factors aspects of un-mchine interfaces in control roorns of nuclear power plants is to minimize the potential for operator e rror. As required, the contractor shall assist NRC in the development of regulatory guidance for local control stations, annunciator systems, and other n.an- mchine interface areas. Results will be provided in a TER for each l evaluation cogleted.

5.2 Paintenance and Surveillance '

Ouring the perforrance of the Maintenance and Surveillance Program plan (MSPP) activities. as required, the contractor shall assist the NRC in assessing the nature and cause of both plant specific and generic issues and problems per-taining to Nintenance, by providing technical evaluations and recorrending appropriate courses of action. For example, a loss-of-feedwater event at Davis Besse was assessed to have been further compounded by deficiencies in the licensee's Nintenance program. An NRC team mde up of staff and contractnr '

personnel conducted a detailed site survey of the Davis-Besse Nintenance pro-gram and practices and provided a technical evaluation. It is alto possible that a generic problem my develop that, because of its magnitude and/or its technical specialization, may require the assistance of a contractor. As MRC proceeds to carry out the activities of the HSPP and conduct a review of nuclear power plant maintenance, it is espected that difficult technical issues related to mintenance will require technical assistance.

As required, the contractor shall perform'onsite reviews and evaluations of licensee.provided information for specific nuclear power plants and will pro-

vide technical evaluation inputs required for licensing actions.

5.3 Technical Specifications l Licensees occasionally propose amendments to existing Technical Specifications for operating convenience and improved safety. As required, the contractor shall review the proposed individual Technical Specification amendnents fur compliance with existing NRC requirements for their plant. In addition, tFt contractor my perfors generic or plant-specific assessments of the need for Technical Specification changes at the request of NRC. Such assessvents my range from a review of the bases and methods to establish power reactor Tech-nical Specifications to a need to change specific limiting conditions of operation (LCOs).

i 5.4 Technical Specification Modification Program As required, the contractor shall assist in irplecenting a program to modify existing operating reactors Technical Specifications so as to realize the im-proverents identified by the Technical Specification Review Group. This effort would result in the elimination of existing regulatory requirerents that are not necessary for safety and bring about vore efficient and effective utiliza-tion of NRC and Itcensee resources in the future. This program my be initiated in the beginning of FY 1987 and will include approxistely one-third of the operating plants (30 to 35) each year through FY 1989.

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aer-RS NRR 86-051 Page 14 5.5 Operational Safety Assessrents (Reactor Operations and Human Factors 511115)

Prompt reviews and technical support my be required on issues related to unan-

'ticipated events of ;ossibly I trynediate safety concern. In addition, when re-quired, the contractor shall review event sequences against licensing analyses, evaluate plant and operator performance during events, evaluate the adequacy of Ifcensee procedures for responding to events, identify pneric implications, review licensee analyses, and evaluate corrective actions before plant restart.

Examples of such events include (1) the discovery of an inoperable contairraer.t spray system. (2) break in a main feedwater line due to water hamer.

(3) failur2 of autostic shutdown systees, and (4) unavailability of all three auxiliary feedwater pueps.

(Seealso2.4.)

5.6 Near-Tem Operatino License Reviews As required, the contractor shall assist the NRC in determining dether or not alleged irproper practices during the construction at the nuclear power plant i

were valid, and whether any departures from proper practice were significant to the safety of the plant and have generic implications concerning other quality control practices or other safety systems at the plant. As required, the con-

[

t tractor shall assist NRC in determining whether there is proper implementation

' of the applicant's and vendor's quality assurance programs at the plant site.

Activities will include intensive investigations conducted at the plant site or at its Njor Contrac tors or vendors and followup documentation of the investigation in a Safety Evaluation Report (SER) formt.

The contractor shall possess technical capabilities to corplete these types of evaluations that shall include engineering and project unagement expertise in the areas of plant systems, quality control / quality assurance programs at nuclear pcwer plaits, and industry standards, as well as technical talents in specific areas such as welding, fire protection, cablepulling, mechanical piping, and structural engineering, Multi-disciplinary teams my be required to conduct technical evaluations, and conclusions will be presented in a written TER. Contractors my be called to testify at the licensing Boa rd Hearings in support of their technical evaluation reports.

6.0 NUCLEAR ENGlhEERING l

l l

For planning pur:cses.10 percent or less of the total level of effort for this

, contractor will de needed in the nuclear engineering area. I As required, the con'ractor shall review and evaluate the nuclear core design i

and performance, potential and observed fuel failure mechanisms and consequences relative to design bases, reactivity centrol systems, submittals for spent fuel pool modifications and rod consolidation or storage nethodologies and applications, source-tem issues regarding fuel performance or release of radioactivity.

Examples of the type of tasks that may be assigned follow.

l

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RS-NRR-86-051 Page 15 6.1 Accidents in Spent Fuel Pools The risks of beyond design basis accidents in the spent fuel storage pool wore examined in the Deceeber 1975 WASH-1400 (NUREG-75/014), ' Reactor Safet An Assessment of Risks in U.S. Comercial Nuclear Power Plants,' (App.y 1,Study:

pp.

1-96ff). It was concluded involving the reactor core. that these risks were orders of magnitude below those pool accidents are tw-fold. The reasons for re-examining spent fuel storage Fi rs t , spent fuel is being stored instead of reprocessed. This has led to the expansion of onsite fuel storage by reans of tigh density storage racks, which results in a larger inventory of fission products in the pool, a generator heat load on the pool cooling system, and less distance between adjacent fuel as sefrtlies. Second, some laboratory studies have provided evidence of the possibility of fire propagation between assemblies in an air-cooled environrent scenario which was not previously conside red. This subject is presently identified as Generic Issue 82, the resolution of which may require licensee evaluations and modifications of existing facilities, or modifications thereto. Until resolution of the Generic Issue, evaluations the criteria of in contained accidents the SRp.in spent fuel pools are to be evaluated using As required, the contractor shall review the submittals free licensees that request spent fuel storage expansion and provide written TERs to the NRC.

6.2 Reload Evaluations The NRC receives plant reload applications from Westinghouse, General Electric (GE), Combustion Engineering (CE), and Babcock and Wilcox (B&W) plants. Areas of evaluation may involve detersiination of (1) significant increase in the probability or consequences of an accident previously evaluated, (2) the possibility cf new or different kinds of accidents from any accident previously evaluated, or (3) rargins of safety. The changes in system design and operation and in safety analysis rethods introduced in reload applications require an independent assessment and safety evaluation. As required, the contractor shall assist in conducting technical reviews of the reload applications as wil as detailed safety analysis audit calculations. The scope of these caleviations may include static and transient pcwer distributions, reactivity coef ficients , variation of core parameters with fuel depletion, menon characteristics and stability, control requirements and worth, startup procedures 2nd testing, and transient and accident analysis. The results of these audit calculations are used to confirm the licensee prediction of the key reload safety input parameters (reactivity coefficients, rod wort, F ' F H.

etc.) as wil as the calculation of specific O --

aspects of reload safety analysis.

7.0 RADIOLOGICAL ENGIREERlhG For planning purposes,5 percent of the total level of effort for this contract will be needed in the radiological engineering area that includes radiation protec tion.

l

R3.NRR.86 051 Page 16 The contractor, as required, shall review radiological aspects of plant systems desigt. (containeent cleanup, etc.), plant operations and radiological programs that address the radiation sources during norral operations, anticipated opera-tional occurr2nces and accident conditions, effluent systes design, trestrent evthods for effluent, expected releases during waste trestrent, gaseous waste unagerent. solid waste ranagerent, radiological protection design and perfor-Nnce features of nuclear plants; and shall evaluate source term issues. '

Examples of the type of tasks that my be assigned follow. I 7.1 tow tevel Waste Disposal Procedures l k i A licensee or applicant for a license ray apply to NRC for approval of propcsed procedures to dispose of licensed material in a mnner not otherwise authorized in the regulations. Each application includes a description of the licensed mterial and any other radioactive material involved, including th6 quantities and Linds of such raterials and the levels of radioactivity involved, and the -

proposeg unner and conditions of disposal. As required, the contractor shall review the anlicant's analysis and evaluations of pertinent inforration as to the nature of the environment, grcund and surface water in general areas, potentially affected facilities, and procedures to be observed to minimize the risk of unexpected or hazardous exposures. Proposed disposal procedures my include sanitary sewage systems, treatrent, and incineration.

7.2 here Accident Policy Implementation The objective of this assignnent is to assist in the implementation of the l

Ccsinission's Policy on Severt Accidents and to uke regulatory use of new source terin inforration. The implerentation plan provides for the resolution of severe accident issues through the (1) systeratic examination of existing plants for particular vulnerabilities to severe accidents, (2) clarification of procedures and requirerents for new plant applications concerning severe accidents, and (3) regulatory utilization of irproved inferration on source t

terms.

The initial analysis of the operating reactors, to be performd using a forul nethodology approved by the NRC. is likely to identify more than one potential vulnerability per pla r t. The process of dec iding which of these vulnerabilities represents a real safety problem and deciding what rendial action is advisable will reout re technical analysts on the part of the utilities and reviews by the NRC. The clarification of procedures and requirerents for new plants regarding severe accidents will largely involve the developrent of guidance on the role of probabilistic risk assesstent (PRA) in the regulatory process.

Because of the wide diversity of tasks involving severe accidents as well as PRA, the contractor should have expertise and capabilities to perform the full range of disciplines involving severe accident >henocena. This includes esper-tise in the caltvlation of accident sequence l'kelihood, both from internal as l well as external eventst assessrent of core darage frequency; assessrent of I

containrent loads as well as containrent performance under severv accidents; evaluation of fission product behavior and transport within the core, prirary

! coolant systee, and containment under severe accidents; and assessrent of of f-l

site consequences in the event of release of a fission products.

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RS-NRR-86-051 Page 17 As required, the contractor shall perforin evaluations for the (1) systematic examination of existing plants for particular vulnerabilities to serve accidents, (2) clarification of procedures and re new plant applications concerning severe accidents, and (3) quirements forregulatory utilizati improved information on sourte terus. The results of the analypes shall be

'provided in a TER to the NRC.

7.3 Radiological _ Equipment and Corponent Replacement Programs Steam generators at several PWs have experienced tube degradation, which re-quired tube repair or replacecent. Previous analyses of the radiological impact of repeving and replacing corroded steam generators have been updated based on experience at Surry Units 1 and 2 and Turkey Point Units 3 and 4 The sleeving repairs of degraded tubes at San Onofre Unit 1, Point Beach Unit 2, and Ginna were also analyzed. Actual occupational doses incurred during h application of the various technologies used in repair work were included, along with radioactive waste quantities and constituents. As required, the contractor shall review the licensee's plan for coepliance with NRC criteria -

and regulations. The NRC criteria will be those established based on past reviews covering such topics as

1) occupational radiation exposure estimates,

2) radiological effluent estinates, and

3) licensee efforts to unintain occupational radiation exposure as low as is reasonably achievable (fLARA).

Wen necessary, the contractor shall conduct' independent evaluations to confirin I the licensee's analysis regarding radiological impact of repairing and/or re-placing mjor equipment or corponents within a nuclear power reactor. The review will include the prepara',1on of TERs. The contractor my provide input to Envirenrental Staterents and expert testinony for Atomic Safety Licensing Board (ASLB) hearings on the subject.

7.4 Radiological Effluent and Environrental Monitoring Programs The objective of this task is to prcvide the capability to evaluate docurentation provided periodically by licensees to fulfill requirements imposed by Radiological Effluent Technical Specifications (IIETS). Portions of the RETS require that specific detailed documentation be submitted periodically to hRC to record changes to the reference documents and report results of ef fluent and environnental monitoring, as well as to detail situations in which 1 Technical $;ecification limits have been exceeded. Among this docurentation is the serniannual reporting of chan9es to the Offsite Dose Calculation Manual (00CM), Process Control Program (PCP), and radwaste trestrent systems that have been approved internally by the licensee. The review of these docurents becomes rcre important as the plants age.

The contractor, as required shall assist NRC in reviewing and evaluating the detailed changes ta the ODCM, PCP, and radwaste trtstrent systees using the sare guidance as was used for the initial staff approval at the licensing stage. These overview observational data will be used in turn to refine or revise calculational codels supporting licensing requirements and for early

RS NRR-86 051 Page 18 identification of potential generic problems. The contractor shall provide a letter report for the nonproblem plants at the coupletion of a mini-review and will provide a TER for each problem plant for which a technical evaluation is ccer le ted. The Project Officer will deterstne the need for preparing a TER.

These TERs will assist the NRC staff in developing plant s'pecific and industry wide trenos.

7.5 Worter Radiation Protection Irprovements The objective of this task is to improve nuclear power plant worker radiation protection to allow workers to take effective action to control the course and consequences of an accident, as well as to keep exposures as icw as reasonably achievable (ALARA) during nomal operation and accidents, by improving radia-tion protection practices, health physics, in plant radiatioa ronitoring, con-trol r'Am habitability, and radiation worker exposure data base.

hRC is coordinating with the Institute for Nuclear Pcwer Operations (!NPO) in -

an effort to improve overall radiation protection and ALARA programs in the indus try. NRC will evaluate, as necessary, various aspects of the industry's radiation protection ef forts.

The following areas may be included under this task: (1) reducing activated corrosion product at light-water reactors (LVRs), (2) reducing exposure from r.aintenance and inspection of reactor plants (3) providing shielding source terms (4) compiling exposure data, (5) developing inplant radiation dose rates. (6) evaluating neutron s treaming . a t PWRs, and (7) compiling and assessing radiation protection data and information from NRC and industry sources, in addition, licensees providt for emergency activities to prevent accidents or to rinimize accident consequences. These activities often require the application of sound health physics practices. As required, the contractor shall review the submittals of licensees or conduct plant-specific evaluations and provide written TERs to the NRC.

8.0 RISK AND RELIABILITY ENGINEERING For planning purposes, 5 percent of the total level of effort for this contract will be reeded in the risk and reliability engireering area.

j As required, the contractor shall perform or review plant specific probabilis-tic assessments and results, evaluate reliability and risk estirates to suppnrt plant specific activities, review prioritization of safety issues based on safety significance, and review safety goal issues and analyses to support plant activities based on cost-benefit analyses.

Examples of the type of tasks that may be assigned follow.

8.1 Evaluation and Utilization of Probabilistic Risk Assess-ents Several utilities are perfoming probabilistic risk assessnnts (PRAs) of their power plents to identify potential weaknesses that might warrant plant modifi-cation actions that should be taken at the plants. As required, the contractor

aur RS-NRR-86 051 Page 19  !

shall salidate the plant damge state analyses presented in PRAs subettted by the utility. The evaluation should identify the dominant sequences associated with the different plant dange states and the Njor Contributors to these se-quences. and perfom a critical review of the PRA of the nuclear power plants. -

\ .

As requiree the contractor shall perfom independent analyses of safety issues, either plant specific or generic, to provide a PRA of the issues.

9.0 MECRANICAL ENGINEERING For planning purposes. 5 sercent of the total level of effort for this contract will be needed in the rec sanical engineering area.

As required, the contractor shall (1) evaluate equipeent design and performance to reet safety function and operability requireeents; (?) evaluate seismic and dynamic qualification of equipment, cceponent behavior during various conditions, and operating Nrgins for rechanical equipeent; (3) review load handling systems for nuclear power plants including those used for refueling .,

and fuel pool operations; (a) verify strvetural integrity, ca pa city. snd rargins associated with rechanical equipevnt; and (5) review and evaluatt conditions associated with various pG tulated events such as earthquakes, man related hazards, floods, pipe breaks, and the threat of these events to the integrity of rechanical equipment.

Examples of the type of tasks that Ny be assigned follow.

9.1 Environrental Qualification of Mechanical Equipeent i The NRC will uke a determination regarding the need to review the i enviroerental qualification of safety related rechanical equiprent in operating plants. Licensees my be required to provide sutaittals and docurentation to dercostrate the environrental qualification of this equipeent. The contractor, as re qui red, shall review licensee submittals or conduct evaluations to determine ccepliance with the NRC requirerents/ acceptance criteria.

9.2 Piping and Support Reanalysis There have been several cases in which licensees have been required to perform piping and support reanalyses. These cases resulted frce the discovery of either incorrect redeling assurptions or cor.puter code errors. To resolve this i type of probles, the licensee sost assess the extent of the problem, c6tain i

either verified redeling data or cceputer codes, perform reanalyses of the af fected piping and supports and make any required field sedifications.

The contractor, as requi red, shall review and evaluate the information sutoitted by the licensee (p1r.nt specific) or conduct independent evaluatir.as to docurent the appropriateness of the licensee's actions. This work will recuire a strong backgrounc' in piping analysis and support design and experience in the apnlication of the ALME Code. Section Ill. This work will be consistent with Piping Review Ccsvnittee reccerendations (NOREG-1061. ' Report of the U.S. Eclear Regulatory Ccenission Piping Review Cortnittee.' Yols.1-4 l 1984).

RS-NRR-86-051 l Page 20 9.3 Component Cooling Water System railures Interruption of seal cooling my lead to reactor coolant pump (RCP) seal failure and subsequent loss of primary coolant to containment, i.e., a small 1.0C A . Fur plants in which the component cooling water systee is a.lso used for cooling reactor coolant system makeup pumps, mkeup capability could be lost coincident with the seal leakage and core melt could result.

The program will recomend what steps the NRC should take, if any, to ensure increased reliability of the component cooling water system relative to its RCP seal cooling function. Test data will be reviewed to determine the time to failure of seals without seal cooling and the leak rate resulting from this type of f ailure. A review of instrumentation available to the operator, as well as automatic or snual actions that can be taken to minimize interruptions of RCP seal cooling or prevent unacceptable consequences from loss of seal cooling, will be perfortned. As required, the contractor shall assist the NRC in coepleting these reviews.

9.4 Qualification of Safety-Related Mechanical Equipment for Seismic -

and Dynamic Loads (Mechanical Engineering Skills)

The US! A-46 program investigated the adequacy of seismic qualification rethods used for mechanical equipment installed in older nuclear plants, and determined that it is necessary to develop proposed requirements that could be implemented in a practical cost-beneficial way to ensure that equipment in older plants can adequately withstand a seismic event and ensure the capability to safely shut down the plant (NUREG-1030 with attachment August 1985).

Each licensee of an operating reactor that has not been previously reviewed to current Itcensing criterion would be required to perfort e seismic verification review and report the results. Seismic verification my be accenplished by the individual licensees based on generic positions.

As required, the contrcctor shall review the licensee's and applicants' sub-mittals for compliance with NRC criteria using a set of review guidelines developed by the NRC. The rcdew guidelines will be based on Regulatory Guide 1.100 and Sections 3.9.2, 3.9.3, and 3.10 of the Standard Review Plan.

NUREG-1018 ' Seismic Qualification of Equipment in Operating Plants," was issued in Septes6er 1983.

(See also 3.6.)

9.5 Vibration Qualification of Equipment Various equipent in a nuclear power plant may be subjected to accident-induced dynamic loads and other vibrations during their installed lives. Dynamic loads and other vibrations may have detrimental effects on the functional capability of safety-related rechanical and electrical equipment. Failure of the equip-rent could lead to loss of core cooling and core relt.

As nquired, the contractor shall conduct independent evaluations or evaluate the licensee's submittals to deterinine the extent to which dynamic loads ano other vibration in the plant's equipment qualifications program have been considered.

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RS-hRR-86-051 Page 21 10.0 M_QEOR0 LOGICAL AhD GEOLOGIC ENGINEERING For planning purposes, 5 percent or less of the total level of effort for this contract will be needed in the meteorological and geologic engineering area.

l hs required, the contractor shall review or evaluate (1) conditions associated with postulated events such as earthquakes, winds, floods, pipe breaks, and their potential to cause radiological consequences onsite and offsite; (2) is-sues related to geologic, seismic, hydrologic, ar. demographic characteristics of reactor sites; (3) the impact of plant operations and the potential influence of the plant and its facilities on local meteorological conditions; (4) dispersion estimtes for potential accidental releases or effluents to the atmosphere, and for routine releases of effluents to the atesphere; and (5) I dose computations. '

Examples of the type of tasks that may be assigned follow.

10.1 -Geology and Seismology -

)

l Forecasted activity in this area is low. However, based on new inforntion i (for example, the occurrence of significant earthquakes, such as at the Perry site, or the discovery of f aulting), the NRC ny be required to review licensee submittals or conduct independent technical evaluations to assess the safety of the geolo91 cal and seismological aspect of one or inore plant sites.

As required, the contractor shall conduct assigned reviews using the guidance contained in NRC Regulatory Guides, industry standards, and guidance and acceptance criteria in the Standard Review Plans (SRP) in the areas of geology and seismology. The reviews may typically consist of a review of the site geolooy and seismology including field, laboratory, and other data sources,

'}uch 65 earthq',ake cornpilations and regional geologic m pping. This may Trequire (1) rer.rp. rending additional investigations to obtain the required data, or asse611rg of relevant infonnation through literature search, contact with regional experts, and contact with NRR; (2) mking evaluations and recorrendations pertaining to the proposed geologic and seismic design bases; Ind (3) attending reetings with the NRC personnel to brief them and interact in licensing process. The results of the contractor's reviews will be i Wocurented fn TERs.

1 1 0,2 H3drotegie Engineering e censing decisions for nuclear power plants rest, in part, on safety and envi-ntal evaluations of the hydrologic aspects of the site, the plant, and ite plant interactions. "Hydrologic" is used here in the broad sense of the rd and includes such disciplines and subject areas as surface and ground ler hydrology, hydraulics, physical oceanography and lirnology, coas tal g]ntering, and the liquid transport of radionuclides. The areas my include tg ,sodifications and drainage systems. Forecasted activity in this area is be

'chtractor my perfonn reviews and evaluations of the hydrologic aspects of ified nuclear power plants in accordance with SRP Section 2.4.1 through

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lW R$-NRR-86-051 Page 22 C.2 LEVEL OF EFFORT The exact number and scheduling of projecu cannot be detensined. No specific amount of work is either guaranteed or implied. The contractor will be compen- 1 t

sated only for work actually ordered and perfonned. If such requiresents fail l to sterialize in the number estimated below, such failure shall not' constitute grounds for an equitable adjustment hereunder.

The most likely level of effort is estimated at 25 to 30 professional staff years (psy) per year for 3 years with an option of an additional 2 years.

Option of additional staff years of effort FY-87 FY-88 FY-89 FY-90 FT-91 25-30 25-30 25-30 25-30 25-30 Section 0 - Packaging and Marking 0.1 Packaging and Marking ,,

The Contractor shall use standard coernercial packaging for all items to be delivered. On the front of the package, the Contractor shall clearly identify the contract nurber under which the product is being provided.

Section E - Inspection and Acceptance E.1 INSPECTION OF SERylCES--COST-REIMBURSEMENT.

l (a) Definition. "Services," as used in this clause, includes l services performed, workmanship, and material furnished or used in performing services.

(b) The Contractor shall provide and maintain an inspection system acceptable to the Government covering the services under this contract.

! Complete records of all inspection work perfonned by the Contractor shall be maintainco and rade available to the Government during contract performance and for as icog aftenvards as the contract requires.

(c) The Government has the right to inspect and test all services called for by the contract, to the extent practicable at all places and tires during the ters of the contract. The Govertunent shall perform inspections and tests in a renner that will not unduly delay the work.

(d) If any of the services performed do not conform with contract requirerents, the Goverwnent may require the Contractor to perform the services again in conformity with contract requirements, for no additional cost, lihen the defects in services cannot be correctd by reperforrance, the GoverTment may (1) require the Contractor to take necessary action to ensure that future perfonnance conforms to contract requirements and (2) reduce any fee payable under the contract to reflect the reduced value of the services performed.

(e) If the Contractor fails to prceptly perform the services again or take the action necessary to ensure future perforrance in conformity with contract requirements, the Government may (1) by contract or otherwise, perform the services and reduce any fee payable by an amount that is equitable under the circumstances or (2) tcrminate the contract for default.

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RS NRR-86 051 l Page 23 E.2 Place of Inspection and Acceptance A. Inspection and acceptance of the deliverable items to be furnished hereunder shall be made at the destination.

'Section F - Deliveries and Performance F.1 Reports, Documentation and Other Deliverable End Items l F.1.1 Monthly Progress Reports A Monthly letter Status Report will be issued by the 15th of each month to the NRR Technical Assistance Project Manager with copies provided to the Director, Planning and Program Analysis Staff, ATTN:

Chief, Technical Assistance Management Branch, and Technical Assistance Program Manager, NRR. Each report will identify the title of the project, the FIN, the Principal Investigator, the period of perfomance, and the reporting period and will contain three sections '

as follows: -

1. Project Status Section o

a. A listing of the efforts completed during the period; milestones reached, or if alssed, an explanation provided,

b. Any problems or delays encountered or anticipated and recomendations for resolution. If the reconnended resolution involves a Ta'sk Order modification, i.e., change in werk requirements, level cf effort (costs), or period of perforr.ance, a seoarate letter should be prepared and submitted to the71 rector, Planning and Program Analysis Staff, NPR, ATTN: Project Officer and the Contracting Officer,

c. A brief Staterent of tchat was actually accomplished in completing ea:h assigned task during the reporting period.

d. A streary of progress to date shall be expressed in terms of percentage cornpletfon for the project.

e. Planr.ed acccerplishrents for the next rcporting period.

, f. Preliminary or interim results, conclusions, trends, or other items of information that the contractor feels are of tirely interest,

g. Problems or delays that the contractor has experienced in the conduct of his effort.

h. Specific action that the contractor would like NRC to undertake to alleviate a problem.

! 1. Current and projected cost per technical evaluation task.

E RS-NRR-86-051 Page 24

2. Financial Status Section Provide the total direct staff use and the amount of funds expended (costed) during the period and total cumulative year to date in the following categories. -

Year Current to Month Date_

l. Director Staff Effort (months of charged effort) XXX XXX

!!. Direct Salaries $ XX $ XX Materials and Services XX XX (excluding ADP)

ADP Support XX XX Subcontracts XX XX .

Travel XX XX Indirect labor Cost XX XX Other(specify) XX XX General and Administrative Expense XX XX Total Costs 5 XX $ XX Percentage of available funds XX%

!!!. Funding Status:

( Provide the prior year carryover, the current fiscal year i

funding level as reflected in the Task Order proposal, funds received to date for the current fiscal year, and tne l balance of funding needed for the current fiscal year as follows:

Tr'ior FY FY8 Projected FY8 Funds Ff6-Funding Carryover Fun 31ng Level Rec'd to Date Bal Needed T XX , 5 XX 5 XX 5 XX l Task Order No.

3. Fee Recovery Cost Status Section Pursuant to the provisions of NRC Regulation 10 CFR 170, provide l

the total arnount of funds expended (costed) during the period and cumulative to date for each task (e.g., by facility, by Division or report), and report them on a separate page as part of this report in the format on the following page:

l

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RS-NRR-86-051 Page 25 i

4. All the cost data should be electronically transferable to NOMAD data base system. ,

5. Distribution requirements for the monthly progress reports shall be as follows: ,

• One copy each to members of the Perforinance Evaluation Board (PEB). 1 One copy each to individual Performance Monitor (PM) and lead l Engineer (LE). (PM and LE will be designated with each Task Order.)

One copy to the Evaluation Coordinator.

Five copies to the Technical Assistance Project Officer.

D 6

d

-*,o,-- , -,w--w-,__,--_-._,,_,._,_ . _ _ _ _ _ _ _ _ _

jr -

l RS-NRR-86-051 Page 26 FIN:

1 TITLE:

PERIOD:

Planned Accomplish- Costs Facility Name/ Docket ment per Cumulative Costs Report Title Number Number Period This Fiscal Year Task 1 e .

l Task NOTE: If there exists a task under this project that is relevant and

comon* to several other tasks and the effort is required in order to perform the reviews, the costs for the comon effort must be prorated to each review to which it applies.

'Comon costs, i.e., fee-recoverable costs for services necessary for overall task performance that benefit all similar licensees within a single task, will be reported in the monthly letter status report as a single line item for each task and accrued on c monthly basis.

Comoa costs include the following: preparatory or startup efforts

to interpret and reach agreement on methodology, approach, acceptance criteria, regulatory position, or TER fomat; efforts associated with the "lead plant" concept that might be involved during the first one or two plant reviews as estimated by the contractor; neetings/ discussions involving the above efforts to provide orientation, background knowledge, or guidance at the beginning or during the performance of work; and any technical effort' applied to a category of facilities, e.g., reactor analyses or all BWR facilities.

At task conipletion or the end of the fiscal year, whichever occurs fi rs t , cumulative comon costs are to be apportioned by the contractor (1) equallytotoaffected all licensees, licenseeor by )either (2 in of the following proportion to costs incurred metheos:

during the apportioning period. The specific method will be detennined by the NP.R Technical Assistance Project Officar.

- - . - - -- - - - - r - .- , , -,.,,.-,-_n-, . - - , --,,-._,.----------,-<--.-..-n. .

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E

)

RS-NRR-86-051 Page 27 F.1.2 Technical Evaluation Reports (TERS)

The contractor shall prepare a report for each task assigned at the completion of his evaluation. The NRC will provide work packages including (1) licensee submittals for review, (2) NRC acceptance criteria, and (3) specific task order including Statement of Work (50W).

The licensee's submittals will be reviewed by the contractor to deterniine the adequacy of the infonr.ation presented against the inforration required by the NRC. If the submittals are found to be ineceplete, the contractor will provide requests for edditional infomation to the NRC staff for forwa rding to licensees. The contractor will determine the extent to which the licensee's design and operation comply with criterid provided by the staff and document all conclusions in the TER. All TERs will be submitted to the NRC in draf t fem for connent/ approval before a final TER is prepared. -

Distribution requirements for any draft and final TERs shall be as follows:

Cne copy each to the cognizant Performance Monitor (PH) and cognizant Lead Engineer (LE) for the applicable Work Assignment.

One copy each to the Project Officer and the Evaluation Coordinator.

F.2 Place of Delivery The items to be furnished herrander shall be delivered, with all transportation chsrges paid by che Contractor, to:

I U.S. Nuclear '.egulatory Cornissien Attn:

• Office of

• I Division of

• Mail Stop: *

[ Wr.shington, D.C. 20555 , ,

• Project Officer ( copies)

Division of Contracts (1 copy)

!

• To be specified in each Task Order .

1 1

F.3 Duration of Contract Period .

This contract shall become effective on either the date of award or the effective date as otherwise specified, and shall continue to completion thereof, within 36 months (exclusive of options) af ter said contract is effective.

F.4 Time of Delivery Delivery tirnes shall be specified in each individual task order issued hereunder.

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RS-NRR-860051 Page 28 Section G - Contract Administration Data G.1 Consideration 1.

The estirated cost to the Government* for all allowable costs and award fee shall not exceed $ for performance of this, contract.

2.

The Contractor shall be retinbursed for all allowable costs incurred, and accepted by the Contracting Offic'er, not to exceed the estimated arnount of 5 *

3. Award fee may also be earned under this contract as provided by Clause G.2 entitled "Award Fee and Performance Evaluation."

4. Total funds currently available for payment and allotted to this contract are $

• of which $

• represents *the estirrated reitnburseable costs, and of which

• represents the award fee for the period through *

5. It is estirnated that the arnount of funds currently ciligated will cwer performance through

• G.2 Award Fee and Performance Evaluation An award fee pool of $

• is hereby established.

Evaluation of award fee will be accornplished in accordance with the Award Fee Determination Plan (AFDP) which attached hereto and made a part hereof. In the event this contract is terminated prior to a regularly scheduled award fee determination, the fee to be paid to the contractor shall be an appropriate portion of any available awaro fee as ray be determined by the Fee Determination Official (F00).

• To be specified in any resulting contract j G.3 Overhead / General and Administrative Rates t

! 'A. Pending the establishrnent of final overhead rates which shall be negotiated based on audit of actual t.osts, the Contractor shall be reisnbursed provisional for allowable rate of

• indirect costs hereunder at the percent of * .

B. Pending the establishment of final general and administrative rates which shall be negotiated based on audit of actual costs, the Contractor shall be reirnbursed for allewable indirect costs j hereunder at the provisional rate of

• percent of * .

C. .Notwithstanding A. and B. of this Section, said provisional oerhead and G&A rates ray be adjusted as appropriate during the e

RS-NRR-86-051 Page 29 terin of the contract upon the acceptance of such revised ratec by the Contracting Officer.

'To be incorporated into any resultant contract.

G,4 Ppnt of Award Fee The fee provided for in Clause G.1 "Consideration"'shall be paid in accordance with the Award Fee Deterinination Plan attached hereto.

An award fee pool of $

• is hereby established.

Evaluation of award fee earned shall be accomplished periodically.

Preliminary evaluation shall be conducted by a Performance Evaluation Board (PEB) whose corrposition is shown in Attachinent I hereto. The board shall recomend the fee award to the NRC Fee Determination Official (FDO). The final evaluation and detertnination as to tbc amount of award fee earned during an evaluation period shall be made by the FDO. The evaluation on which the fee determination is to be based will be in accordance with the criteria set forth in Attachment 1, the Award Fee Determination Plan (AFDP). The Gnvernment reserves .

the right to unilaterally change the content of the AFDP at any time during the life of this contract. Any changes to the plan will be furnished to the contractor prior to the date they become effective.

The AFDP shall be based upon the Award Fee provisions of this article. The AFDP will also stipulate that the contractor is encouraged to submit periodic self-evaluation of performance for the consideration of the PEB. These self evaluations are to coincide with the periods of perfornnte being evaluated by the Government.

The amount of award fee available for each period of evaluation and the amount of time for each period will be set forth in the AFDP.

heither the determination as to the arnount of award fee available

.l. during a given period, the amount of award fee earned, nor the 4

deterrination of the criteria under which the subject award fee will be made shall be subject to the clause of this contract entitled, "Disputes." The contractor shall be advised of the award feo decision by letter which shall include the rationale for reaching tbc decision.

• To be specified in any resulting contract G.5 Technical Direction

• A. Performance of the work under this contract shall be subject to the technical direc tion of the NRC Project Officer named in

{ Section G. of this contract. The terin "Technical Direction" is defined to include the following:

1. Technical direction to the Contractor which shif ts 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.

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o RS-NRR-86-051 Page 30

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

. 3. Review and where required by the contract, . approval of technical reports, drawings, specifications and technical infor1ra tion to be delivered by the Contractor to the Goverranent under the contract.

B. Technical direction must be within the general scope of work stated in the contract. The Project Officer does not have the authority to and may not issue any technical direction which:

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

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

3. In any way causes an increase in t'h e total estimated contract cost, or the time required for contract perf omance. NOTE: The Project Officer may direct the contractor orally to decrease the work. Such action will be confirTned in writing by the Centracting Officer.

4. Changes any of the expressed te ms , conditions or specifications of the contract.

C. ALL TECHNICAL OIRECTIONS SHALL BE ISSUED IN WRITING BY THE PROJECT OFFICER OR SHALL BE CONFIRMED BY SUCH PERSON IN WRITING WITHIN TEN (10) WORKING DAYS AFTER VERBAL ISSUANCE. A copy of said written directinn shall be submitted to the Cor.tracting Officer.

The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the ranner 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 Contractir.g Officer in writing within five (5) working days after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the Contractor, the Contracting Officer shall issue an appropriate contract modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the Changes l Clause.

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RS-NRR-86-051 Page 31 0.

Any unauthorized comitJnent or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance, and may even resul t funds for unallowable costs under the contract.in the Contractor expe .

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."

G6 Project Officer A. The individual (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 or request any action which results in or could result in an

- inc rease in contract cost; or terminate, settle any claim or dispute arising 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 assessment of performance, and recorrending to the Contracting Officer changes in requirements; (2) interpreting the scope of work; (3) performing technical evaluation as required; (4) perfonning technical inspections and acceptances required by j this contract; and (5) assisting the Contractor in the resolution of technical problems encountered during perfomance.

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

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

B. Name and Mail Code:

• Office Address:

• Telephone Number: *

• To be incorporated into any resultant contract

RS-NRR-86-051 Page 32 G.7 Travel Reimbursement

'- The Contractor will be reir.bursed for the following reasonable domestic travel costs incurred directly and specifically in the perfcrmance of this contract and accepted by the Contracting Officer:

All travel, and per diem costs (lodging, meals and incidental expenses) shall be reimbursed in accordance with current Federal Travel Regulations, issued by General Services Administration, in effect at the time of authorized travel.

The cost of travel by rented automobile shall be reimbursed on a reasonable actual expense basis.

All comon carrier travel reimbursable hereunder shall be via economy class rates when available. If not available, reimbursement vouchers will be annotated that economy class acccernodations were not available. First-class air travel is not authorized.

Receipts are required for cormon carrier transportation, lodging and miscellaneous items in excess of $25.00 G.8 Payrent Due Date (a) Payments under this contract will be due 30 calendar days after the later of:

(1) The date of actual rece'ipt of a proper invoice (original and 4 copies) to:

U.S. Nuclear Regulatory Ccernission Division of Accounting and Finance Office of Resource Management ATTN: GOV /COM Accounts Section Washington, D.C. 20555 or (2) The date the final deliverable product / service is ac':epted by the Government.

(b) For the purpose of determining the due date for payment anJ for no other purpose, acceptance will be deemed to occur 30 calendar days after the date of delivery of the final deliverable product / service performed in accordance with the terms of the

, contract.

(c) If the final product / service is rejected for failure to conform to the technical requirements of the contract, the provistuns in I

paragraph (b) of this caluse will apply to the new delivery of the final prc4uct/ service.

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RS-NRR-86-051 Page 33 (d) The date of payment by wire transfer through the Trea sury Financial Ccmunications System shall be considered the date paynent is made for individuel payments exceeding $25,000 The date a check is issued shall be considered the date pay 1nent is made for individual payments of $25,000 or less. .

G.9 Invoice Requirements invoices shall be submitted in an original and 4 copies to:

U.S. Nuclear Regulatory Connission Division of Accounting and Finance Office of Resource Management ATTN: GOV /COM Accounts Section 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.

(4) Shipping cnd payment terms. .

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

(6) Other substantiating documentation or information as required by the contract.

G.10 Interest on Overdue Payments (a) The Prompt Payment Act, Public Law 97-177 (96 STAT. 85, 31 USC 1801) is applicable to payment of the expiration invoice under this contract and requires the payment of interest to Contractors on overdue payments of the expiration invoice or improperly taken discounts.

(b) Determinations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of Management and Budget Circular A-125, Vol. 47 Federal Register 37321, August 25, 1982. Among other consideratica , CMB Circular A-125 provides that:

(1) Interest penalties are not required when payment is delayed because of a disagreerrent over the amount of payment or other issues concerning cornpliance with the terns of the contract.

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RS-NRR-86-051 Page 34 (2) Whenever a proper invoice is paid after the due date plus 15 days, interest will be included with the paynent at the interest rate applicable on the payment date. Interest I will be computed from the day af ter the due date through the paywent date.

(c) For purposes of this clause, an expiration invoice is defined as a claim submitted for costs incurred for performance through the expiration date of a Cost Type contract. i G.11 Task Order Procedures l

1.

Task Orders for services under this contract shall be issued at the sole option of the NRC, and it is understood that NRC  !

undertakes no obligation to issue task orders hereunder beyond '

the guaranteed minimum amount specified in Section I., "Minimum and Maximum Contract Amount." Additionally, NRC reserves the right to withdraw a proposed task order at any time prior to its formal award. Only Contracting Officers of the U.S. Nuclear -

Regulatory Commission may authorize the initiation of work under this contract. The provisions of this contract shall govern all task orders issued hereunder.

?. Request for Proposal For each task order issued, the Contracting Officer will transmit to the contractor a written letter task order request for proposal. That task order request for proposal will specify all pertinent information regarding the work to be performed including the following, as applicable:

1. Scope of Work / Meetings / Travel and Deliverables

2. Reporting Requirements

3. Period of Perfomance - Place of Performance 4 Applicable Special Provisions

! 5. Technical Skills Required

6. Estimated Level of Effort

3. Technical Proposal l

By the date specified in the task order request for proposal, the contractor s'iali deliver to the NRC Contracting Officer with a copy to the Technical Assistance Project Officer a written technical task order proposal that provides, when applicable, the following:

1. A discussion of the scope of work requirements to sub-stantiate the contractor's understanding of the require-ments of the task order and his proposed method of approach to meet the objective of the order.

2. Resumes for professional personnel proposed to be utilized in the performance of any resulting task order.

Include educational background, specific pertinent work experience and a list of any pertinent publications authored by the individual.

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R50NRR-86-051 Page 35

3. Idcutification of administrative support personnel and/or facilities that are needed to assist the professional personnel in completing work on the task order.

4. Identification of "Key Personnel" and the number of staff hours that will be, comitted to completion of work on the task order.

5. Description of any signficant fonner or current contractual

' and organizational relationships of the offe ror, its employees, consultants or expected subcontractor (s), with 1

industries regulated'by the NRC, e.g., utilities, etc., ano suppliers thereof, e.g., a rchitect engineers, reactor manufacturers, or applicants / licensees, etc., that might

give rise to an apparent or actual conflict of interest in the event of issuance of a particular task order.

' A negative statement, if applicable, is required to be submitted.

4 Cost Proposal '

The contractor shall also submit a cost proposal with each task order technical proposal, utilizing the Standard Fonn 1411 Contract Pricing Proposal. Each task order cost proposal shall be fully supported by the cost and pricing data adequate to establish the reasonableness of the proposed amounts, including:

1. Direct labor by categories, quantity of hours and l applicable hourly rates and extensions hereof.

l

2. Indirect cost rates, bases, and extensfons thereof.

3. Itemizec material costs, when applicable. -

4 Itemized travel costs, when applicable.

5. Total estimoted cost

i. 5. . Task Order Award Following negotiation of the contractor's task order proposal, the NRC Contracting Officer will issue a fonnal, definitized task order to include the following as applicable:

1. Statement of Work and Deliverables

2. Period of Perfonnance

3. Name of Lead Engineer 4 Reporting Requirements 1 -

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RS-NRR-86-051 Page 36

5. Total Estimated Cost and Obligations s

6. Applicable Security Requirements and/or Privacy Act Considerations

7. Special Terms and Conditions

8. Lead Personnel Accelerated Procedure 6.

The contractor shall not cccence work prior to receipt of a definitized task order signed by the NRC Contracting Officer.

However, in some circumstances, it inay be necessary for the contractor to comence work before he has submitted his preposal and before a final cost has been agreed upon and a definitized task order is issued. Accordingly, when the NRC Contracting Officer so authorizes, the contractor shall, within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> (or as otherwise stated) of receipt of verbal task order request for proposal, proceed with the work subject to an agreeable -

limitation (based on telephonic negotiations).

Where the contractor is authorized as indicated above to comence work prior to the definitization of a task order, the NRC Contracting Officer, within 30 days or such additional

. period as may be mutually agreed upon after receipt of the contractor's proposal, shall either:

1. Notify the contractor df the need for further negotiations.

When an agreement on cost is reached, the NRC Contracting Officer shall then definitize the task order. .

2. Definitize the task order, thereby accepting the contractor's proposed price. * .

3. Terminate the task order either in part or in its entirety in accordance with the termination clauses of this contract.

7. Task Order Ceiling Each task order will be subject to the Limitation of Cost Clause (Section 1,52.232-20) or Limitation of Funds clause (52.232-22) as applicable.

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RS-NRR-86-051 l Page 37 Section H - Special Contract Requirements H.1 Key Personnel

~

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

. 1

• To be incorporated into any re!.ultant contract The Contractor agrees that such personnel shall not be removed fron the contract work or replaced without cogliance with paragraphs (bl '

and (c) hereof.

(b) If one or more of the key personnel for whatever reason becomes, or is expected to becoms, 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 imedia tely nutify the Contracting Officer and shall, subject to the concurrence of the Contracting Officer or his authorized representative, 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 must contain a complete resume for the proposed substitute, and other infomation requested by the Contracting Officer or needed by him to I

approve or disapprove the proposed substitution. The Contracting Of ficer or his authorized representative will evaluate such requests and prceptly notify the Contractor of his approval or disapproval thertof in writing, j

(d) If the Contracting Officer determines that suitable and timely replacement of key personnel who have been reassigned, tenninated or t

have otherwise become unavailable for the contr6ct work is not reasonably forthcoming or that the resultaat reduction of productive effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated l by the Contracting Officer for default or for the convenience of the Goverrunent, as appropriate, or, at the discretion of the Contracting Officer if he finds the Contractor at fault for the condition, the l contract price or fixed fee may be equitably adjusted downward to compensate the Govenunent for any resultant delay, loss or damage.

H.2 Safety, Health, and Fire Protection l

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 l

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RS-hRR-86-051 Page 38 all health, safety, (including reportingand fire protection regulations and requirements requiremert s) of the Comission and Department of Labor. the In the event that the Contractor fails to comply with said regulations or requirements, the Contracting Officer may, without prejudice to any other legal or contractua'l rights of the Comission, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued et the discretion of the Contracting Officer.

The Contractor shall rake no claim for an extension of tint or fur compensation or dar.oges by reason of or in connection with such work stoppage.

H.3 Olssemination of Contract Information (OMB Clearance Number 3150-0112)

The Contractor shall not publish, permit to be published, or disseminate to the public any information, oral or written, j concerning the work performed under this contract withcut the prior written consent of the Contracting Officer. Two ecpies of any infomation proposed to be published or disseminated shall be -

i submitted to the Contracting Officer. Failure to comply with this clause shall be grounds for temination of this contract.

H.4 Private Use of Contract Information and Data Except as othemise specifically authorized by Section H.,

publication of contract work of this contract, or as othemise approved by the Contracting Officer, inforra tion and other data developed or acquired by or

• furnished the Contractor in the perforrance of this contract, shall be used only in connection with the work under this contract.

H.S 0;jwines, Designs, and Specifications All drawings ,

i sketches, designs, design data, specifications, notebooks, technical and scientific data, and all phutographs, negatives, reports, findings, recocrendations, data and aancanoa of every description relating thereto, as well as all copies of the feregoing relating to the work or any part thereto, shall be sutsject to inspection by the Cornission at all reasonable times (for which inspection the proper facilities shall be afforded the Ccenission oy the Contractor and its subcontractors), shall be the property of the Government and may be used by the Government for any purpose whatsoever without any claim on the part of the Contractor and its subcontractors and vendors for additional coepensation and shall, subject to the right of the Contractor to retain a copy of said naterial 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 shall direct upcn coepletion or termination of this contract. The Contracter's right i

i of retention and use shall be subject to the security, patent, and use of infomation provisions, if any, of this contract.

?

RS-NRR-86-051 i Page 39 l

l H.6 Proprietary Data and Confidential Information in connection with the perfonnance of the work under this contract, the Contrac tor may be furnished, or my develop or acquire, pruprietary data (trade secrets) or confidential or privileged technical, business, or financial information, including Cocynission plans, policies, reports, financial plans, internal data protected by the Privacy Act of 1974 (P.L.93-579), or other infonnation which has not been released to the public or has been detennined by the Cocrnission to be otherwise exempt from disclosure to the public.

Contractor agrees to hold such information in confidence and not to directly or indirectly duplica te , disseminate, or disclose such information in whole or in part to any other person or organization except as may be necessary to perfonn the work under this contract.

Contractor agrees to return such information to the Comission or otherwise dispose of it either as the Contracting Officer may from j time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or tenninattun of this contract. Failure to comply with this clause -

shall be grounds for tennination of this contract.

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

(a) purpose. The primary purpose of this clause is to aid in ensuring that the Contractor: (1) is riot placed on a conflicting role because of current or planned interest (financial, contractual, organizaticnal, or otherwise) which relate to the work under thir, contract, and (?) does not obtain an unfair competitive advantage over other parties by virtue cf its perfontance of th's contract.

(b) Scope, The restricticns described herein shall apply to i; perforrance or participation by the Contractor as defined in 41 CFR 620-1.5402(f) in the activities covered by this clause.

(c) Work for Others. hotwithstanding any other provision of this contract, during the term of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any finn or organization, the result of which may give rise to e conflict of interest with respect to the work being performd under this contract. The Contractor shall ensure that all employees who are employed full time under this contract and eyloyees designated as key personnel, if any, under this contract abide by the provision of this clause. If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any finn or organization may involve a potential

! conflict of inte re s t , the Contractor shall obtain the written I appreval of the Contracting Officer prior to execution of such contractual arrangement.

RS-NRR-86-051 Page 40 (d) Disclosure af ter 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 1,nterest, as defined in 41 CFR 20-1.5402(a).

(2) The Centractor agrees that if af ter 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 1 taken or proposes to take to avoid or riitigate such conflicts. '

The NRC may, however, teminate the contract for convenience if  !

it deeris such temination to be in the best interests of the Government. l 4

(e) Access to and use of information.

(1) If the Contractor in the perfomance of this contract I 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 rot been released to the public, the Contractor agrees not to:

(1) Use such infomation for any private purpose until the infomation has been released to the publici (ii) compete for work for the Comission based on such infcmation for a period of six (6) inonths after either the completion of this contract or the release of sWh infomation to the public, whichever is first; (ii') submit an unsolicited proposal to the Government based o*. such infomation until one year af ter the release of such inforation to the public, or l

(iv) release the infomation without prior written approval by the Contracting Officer ur.less such inforn.atiun has previously been released to the public by the NRC.

(2) In addition, the Contractor agrees that to the exterit it l receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other i

confidential or privileged technical, business, or financial inforntion under this contract, the Contractor shall treat such i -

infomation in accordance with restrictions placed on use of the infomation.

(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 requirernents of this contract have been inet.

. . _ _ - - . . . - - - - - - - - - - - - - - - - - - - - - - - - ' - - - - - - - - ' - - - ~

RS-NRR-86-031 Page 41 (f) Subcont rac ts .

Contractor subcontracts of shall any tier.include this clause, including this p "Contracting the Government's rights. Officer." shall be appropriately sodified to (g) Remedies.

intentional For breach of any of the above prescriptions or for interest nondisclosure or misrepresentation of any relevant required to be disclosed concerning this contract or for l Government may teminate the contract disqualify for default,such the the e

r Contractor from subsequent contractual efforts, and pursue other remedies as may be pemitted by law or this contract.

(h) Waiver.

A request for waiver under this clause shall be directed in writing through the Contracting Officer to the Executive I Directur for Opera tions (E00) in accordance with the procedures outlined in $20-1.5411.

j H.8 Method of Paynent -

j

(a) Payment under this contract will be made by wire transfer  ;

d through theparent individual Treasury Financial Comunications System for each l for each individual pannent of $25,000 or less.in excess of $25, e

(b) Within seven days after the effective date of the contract, the Contractor shall forwaro the following infomatics in writirg to the Contract 1rg Officer to facilitate w!re transfet cf convict payrent s, in the event that the Cor.t rac t.ar 's fi,sa r,c i a l institution has access to the Federal Reserve Comunicatices System, Contractor shall complete all itens except items 7 - 9. 4 in theaccess have event the Contractor's financial institution does not to the Federal Reserve Corrnunications Systen.

Contractor shall coepicte all items except item 4

1. Name and address of organization

2. Contact person and telephone nunber 3.

Name and address of financial institution

4. Contractor's Financial institutions's 9-digit ABA identifying number for routing transfer of funds

5. Telegraphic abbreviation of Contractor's institution financial 6.

Account number at Contractor's financial institution if it receives electronic funds transfer ressages through the Federal Reserve Cccrnunications System

_ _ _ _ . - ._. - - - - - - - - - - - - - - - - - - - - --~' ~ ~~ ^'~ ~~ ~~~ ~~~

! RS-NRR-86-051 Page 42

, 7. Name and address of the correspondent financial institution

if the Contractor's financial institution does not receive electronic funds transfer messages through the Federal i Reserve Comunications System

, 8. Correspondent financial institution 9-digit ABA identifying

_ number for routing transfer of funds 1

4

9. Telegraphic abbreviation of correspondent financial j institution i

10. Signature and title of person supplyirg this infomation I (c) Any changes to the information furnished under paragraph (b) of 1

this clause shall be furnished to the Contracting Officer in writing. It is the Contractor's responsibility to furnish these l

changes promptly to avoid payments to erroneous bank accounts.

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RS-NRR-86-051  !

Page 43 j

PART II - CONTRACT CLAUSES Section ! - Contract Clauses 52.222-2 PAYMENT FOR OVEPTIME PREM10MS. (APR1984) premium (a)cost The does is pennitted only for work--

use not exceedof overtime $0. is authorized under this contract if th In addition to this dollar ceiling, overtime (1) Necessary to cope with emergencies such as those resulting from accidents, production bottlenecks natural disasters, of a sporadic breakdowns nature;of production equipment, or occasional connection (2)with By indirect-labor administration, employees such as those perfonning duties in protection, transporta tion, maintenance, standby plant protection, operation of utilities, or accounting; (3) To perfonn tests, industrial proce loading or unloading of transportation conveyances,sses, laboratory procedures, completed otherwise; orafloat that are continuous in nature and cannot rea (4) That will result in lower overall costs to the Government.

(b) Any request for estimated overtime premiums that exceeds the anraunt and shall--above shall include all estimated overtime for contract completion specified (1) Identify the work unit; e.g., department or section in which the

! requested overtime will be used, together with present workload, staffing, and 1 other evaluate data theofnecessity the affected for the unitovertime; sufficient to pennit the Contracting Officer to (2) Demonstrate the effect that denial of the request will have on the contract delivery or performance schedule; ,

the performnce (3) Identify the extent to which approval of overtime would affect or payments in connection with other Government cont racu ,

together with identification of each af fected contract; and (4) Provide reasons why using rnolthhift operations or by employing additional personnel.the required w (Cnd of clause)

(R 7-203.27 1967 JUN) 52.233-3 PROTEST AFTER AWARD (JUN 1985)--Alternate I (JUN 1985) j (a) Upon receipt of a notice o' protest (as defined in 33.101 of the FAR) the Contracting Officer may, by written order to the Contractor, direct the i

Contractor to stop perfonnance of the work called for by this contract. The clause.shall be specifically identified as a stop work order issued under this order with its terms Upon receipt of the order, the Contractor shall irrriediately con: ply and take all reasonable steps to minimize the incurrence of costs allocable to the work covered by the order during the period of work stoppage.

Officer shall Upon receipt of the final decision in the protest, the Contractiru either--

(1) Cancel the stop-work order; or 1

,, __ _ _ _ _ _ _ . ~ - - - - - - - - - - - ~ ~ ~ ~ ~ ~ ~

RS-NRR-86-051 Page 44 (2) Terminate the work covered by the order as provided in the Tennination clause of this contract.

(b) If a stop-work order issued under this clause is canceled either before or af ter a final decision in the protest, the Contractor shall resune work. The Contracting Officer shall ske an equitable adjustment in the delivery schedule, the estimted cost, the fee, or a conbination thereof, and in any other tenns of the contract that may be affected, and the contract shall be modified, in writing, accordingly, if--

', (1) The stop-work order results in an increase in the time required for, or in the Centractor's cost properly allocable to, the perfonnance of any part of this contract; and (2) The Contractor requests an adjustment within 30 days af ter the end of the period of work stoppage; provided, that if the Contracting Officer decides the facts justify the action, the Contracting Of ficer may receive and act upon the request at any tirne before final paynent under this contract.

(c) If a stop-work order is not canceled and the work covered by the order is terminated for the convenience of the Government, the Contracting Officer shall allow reasonable costs resulting from the stop-work order in arriving at the termination settlernent.

(d) If a stop-work order is not canceled and the work covered by the order -

is terminated fer default, the Contracting Officer shall allow, by equitable adjustnent or otherwise, reasonable costs resulting from the stop-work order.

(e) The Governrent's rights to tenninate this contract at any time are not affected by action taken under this clause.

(EndofClause) 52.216-18 ORDERING. (APR1984)

(a) Any supplies and services to be furnished under this contract shall be ordered by issuance of delivery orders by the individuals or activities de11gnated ir. the Schedule. Such orders my be issued from the effective date cf the cortract through 36 ncntbs thereafter.

(b) All delivery orders are subject to the terms and conditions of this con t ra c t, in the event of conflict between a delivery order and this contract, the ccntract shall control.

(c) If r. ailed, e delivery order is considered "lasued" when the Governcent deposits the order in the Nil. Orders my be issued orally or by written tehtcoramunications only if authorized in the Schedule.

(Endofclause)

(R 7-1101 1968 JUN) 52.216-22 INDUINITE QUANTITY, (APR1984)

(a) This is an indefinite-quantity contract for the supplies or services l specified, and effective for 'the period stated, in the Schedule. The quantities of supplies and services specified in the Schedule are estimates only and are rtot purchased by this contract.

(b) Delivery or perfonnance shall be ude only as authorized by crders

issued in accordance with the Ordering clause. The Contractor shall furnish to i the Govennent, when and if ordered, the supplies or services specified in the l Schedule up to and including the quantity designated in the Schedule as the

'r.a x imm . " The Governtnent shall order at least the quantity of supplies or services designated in the Schedule as the "minimum."

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RS-NRR-86-051 Page 45 (c) Except for any limitations on quantities in the Delivery-Order

. Limitations clause or in the Schedule, there is no limit on the number of orders that may be issued. The Government may issue orders requiring delivery to multiple destinations or perfonnance at multiple locations.

(d) Any order issued during the effective period of this contract and not empleted within that period shall be completed by the Contractor within the time specified in the order. The contract shall govern the Contractor's and Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period; provided, that the Contractor shall not be required to rake any deliveries under this contract af ter 60 months after the effective date of the contract.

(End of clause)

(R7-1102.3(b)1965AUG)

"Minimum and Maximum Contract knount" During the life of this contract, the Government shall place orders totaling a minimum of thirty (30) staff years of effort. Total orders placed during the life of the contract shall not exceed one-hundred twenty (120) staff years of -

effort. For the purposes of this contract, a staff year is defined as 2080 hours0.0241 days <br />0.578 hours <br />0.00344 weeks <br />7.9144e-4 months <br /> per year of both professional and non-professional labor.

"Option For increased Ouantity and To Extend the Term of the Contract" There is hereby created in the Government a unilateral right to increase the maximum arount of staff years to be ordered under the contract cited in the clause "Minime and Maximum Contract Arount" herein. In exercising this option i the Governrent ray it. crease the level of effort to a maximum amount of two l hundred (200) s taf f years . The period of performance may also be ext 2nded to l accorrodete the increase in the maximum level of effort. However, the total duratioa of t.his contract, including the exercise of any option's under this clause, shall not exceed five years. Note: It is anticipated that this option for increased staff years will be exercised at the end of the third year of this contract; however, it ray be necessary to exercise the option sooner. The Gesernment shall give the contractor a preliminary written notice of its intent

- to exercise either of these options at least 60 days before the contract expires er 60 days prior to exercising the option if exercised sooner than at the end of the third year of the contract. The preliminary notice does not cocrit the Government to the increased quantity or the extension to the period of performance.

52.252-2 CLAUSES INCORPORATED BY REFERENCE. (APR1984)

This contract incorporates the following clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available.

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RS-NRR-86-051 Page 46

1. FEDERAL ACQUlslTION REGULATION (48 CFR CHAPTER 1) CLAUSES Section E Section F 52.212-13 STOP-WORK ORDER.-- Alternate 1 (APR 1984) 52.247-34 F.0.B. DESTINATION. (APR1984)

Section I 52.202-1 DEFINITIONS. (APR1984) 52.203-1 0FFICIALS NOT TO BENEFIT. (APR1984) 52.203 3 GRATUITIES. (APR1984) 52.203 5 COVENANT AGAINST CONTINGENT FEES. (APR 1984) 52.203-6 RESTR!CTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT (JUL1985) 52.215 1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL. (APR1904) 52.215-2 AUDIT--NEGOTIATION. (APR 1984) 52.215 22 PRICE REDUCTION FOR DEFECTIVE COST OR PP.!CING DATA.

(APR 1984) 52.215-23 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA--

MODIFICATIONS. (APR 1985) 52.215-24 SUBCONTRACTOR COST OR PRICING DATA. (APR 1985) 52.215-25 SUBCONTRACTOR COST OR PRICING DATA--MDDIFICATIONS. (APR 1985) 52.215-26 INTEGRITYOFUNITPRICCS(JUL1986) i 52.215-30 FACILITIES CAPITAL COST OF MONEY. (APR1984)

S2.215-31 WAIVER Or FACILITIES CAPITAL COST OF MONEY. (APR1984) 52.215-33 ORDER OF PRECEDEhCE. (JAN 1986) 52.216 7 ALLOWABLE COST AND PAYMFNT. (APR1984) 52.217 8 OPT!ON TO EXTEND SERVICES. (APR 1984) 52.219 8 UTILIZATION OF SHALL BUSINESS CONCERNS M0 SFALL DISADVANTAGED BUSINESS CONCERNS. (JUN 1985) 52.219 9 SFALL BUSINESS MD SMALL DISADVANTAGED BUSINESS SUDCONTRACTING PLAN. (APR 1984) 52.219-13 UTILIZATION OF WOMEN-0WNED SMt.LL BUSINESSES, (APR1984) 52.220-3 UTILIZATION OF LA50R SURPLUS ARFA CONCERNS. (APR1984) 52.222-3 CONVICT LABOR. (APR 1984) 52.222 26 E00AL OPPORTUNITY. (APR 1984)

• 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED MD VIETNAM ERA VETERANS (APR1984) 52.222-36 AFFIRMATIVEACTIONFORHANDICAPPEDWORKERS(APR1984) 52.223-2 CLEAN AIR MD WATER. (APR 1984) 52.227-1 AUTHOR!tATION MD CONSENT. (APR1984) 52.227-2 NOTICE MD AS$1STMCE, REGARDING PATENT MD COPYRIGHT INFRINGEMENT. (APR1984) 52.227-12 PATENTRIGHTS--RETENTIONBYTHECONTRACTOR(LONGFORM).

(APR1984) 52.228-7 INSURMCE LIABILITY TO THIRD PERSONS. (APR 1984)

RS-NRR-86-051 Page 47 1

52.230-3 COST ACCOUNTING STANDARDS. (f.PR 1984) 1 52.230-4 ADMINISTRATION OF COST ACCOUNTING STANDARDS.

52.230-5 (APR1984) l DISCLOSURE (APR1984)

AND CONSISTENCY OF COST ACCOUNTING PRAC 52.232-17 INTEREST. (APR 1984) 52.232-18 AVAILABILITY OF FUNDS. (APR 1984 52.232-22 LIMITATION OF FUNDS. (APR 1984) )

52.232-23 ASSIGNMENT OF CLAIMS. (JM 1986) 52.233-1 DISPUTES. (APR 1984) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS. (APR 1984)

) 52.243-2 CHANGES--COST-REIMBURSEMENT. (APR1984)--Alternate 1.

(APR 1984) 52.244-2 SUBCONTRACTS (JUL 1985)

(COST-REIMBURSEMENT AND LETTER CONTRAC

{

1 52.244-5 COMPETITION IN SUBCONTRACTING.(APR 1984) 52.246-25 LIMITATION OF LIABILITY--SERVICES. (APR 198,)

52.249-6 TERMINATION (COST-REIMBURSEMENT). (PAY 1986) 52.249-14 EXCUSABLE DELAYS. (APR 1984) '

i b

F I

RS-NRR-86-051 Page 48 PART !!! - LIST OF DOCUMENTS, EXil! BITS, AND OTHER ATTACHMENTS

~ Section J - List of Attachments Attachtnent kember Title i 1 Award Fee Determination Plan 2 NRC Contractor Organizational Conflicts of Interes t (41 CFR Part 20) 3 NRC Manual Chapter 3202 4 Standard Form 1411 With Instructions 5 Billing Instructions D

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RS-NRR-86-051 Page 49 PART IV - REPRESENTATIONS AND INSTRUCTIONS Section K - Representations, certifications and Other Statements of Offerors or Quoters K.1 CONTRACTORORGANIZATIONALCONFLICTSOFINTEREST(OMBClearanceNumber 3150-0112)

I represent to the best of my knowledge and belief that:

The award to setence Applications Int'l corp. of a contract or the modification of an existing contract does / / or does not / x/ involve situations or relationships of the type set

forth in Attachment , paragraph 20-1.5403(b).

If the representation as completed indicates that situations or relationships of the type set forth in Attachment 2 are involved or the Contracting Officer otherwise deter 1 nines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant factors 1

l bearing on his representation to the Contracting Officer. If the '

Contracting Officer deterinines that organizational conflicts exist, the following actions may be taken:

(a) impose appropriate conditions which avoid such conflicts.

l

( (b) disqualify the offeror, or l (c) deterinine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of i 20-1.5411.

The refusal to provide the representation required by (20-1.540a(b) er upon request of the Contracting Of ficer the facts required by 120-1.5404(c), shall result in disqualification of the offeror for i dward. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for I awards; or if such nondisclosure or misrepresentation is discovered after award; or if such nondisclosure for misrepresentation is discovered after award, the resulting contract may be terinineted.

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.

i K.2 FAR provisions i

52.203-4 CONTINGENT FEE REPRESENTATION AND AGREENENT. (APR1984)

(a) Representatien. The offeror represents that, except for full-time bona fide employees working solely for the offeror, the offeror--

Note: The offeror must check the appropriate boxes. For interpretation of

, the representatifA, including the terin "bona fide errployee," see t dpart 3.4 of l _

the Federal Acquisition Regulation.

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_ _ _ . - _ - _ . . - - , , - - - - = , - = - - ' - " " - ~ ~ ~ ' ' ' ' ' ~ ~ ~ ~ ~ " ~ ' '"

RS-NRR-86-051 Page 50 (1)/

to solicit or obtain this contract; and/ has, /x / has r.ot employed or retained any (2) / / has, / x/ has not paid or agreed to pay to any person or company employed or retained to solicit or obtain this contract any comission, percentage, of this contract. brokerage, or other fee contingent upon or resulting from the award (b) Agreement.

above Representation The as offeror re agrees to provide infonnation relating to the subparagraph (a)(1) or (a)(2) quested by the Contracting Officer and, when the Contracting Officer-- is answered affinnatively, to promptly submit to (1) A or completed Standard Fonn 119 Statement of Contingent or Other 1

Fees, (SF 119);

j (2) A signed statement indicatin i

I submitted to the same contracting office, gincluding that thethe SF 119 was previously date and applicable l solicitation or contract to this offer or quotation. nurber, and representing that the prior SF 119 applies (Endofprovision)

(R 7-2002.1 1974 APR)

(R 1-1.505) 52.214-8 PARENT COMPANY AND IDENTIFYING DATA. (APR1984) -

(a) A "parent" company, for the purpose of this provision, is one that own's or controls the activities and basic business policies of the bidder. To own the bidding company means that the parent company must own more than 50 percent of the voting rights in that company. A company may control a bidder as a parent even though not meeting the requirement for such ownership if the parent ccccany is able to formulate, determine, or veto basic policy decisions of the offeror through the use of dominant minority voting rights, use of proxy voting,)or(b Theotherwise.

bidder /

contro11ec ey a parent company.

/ 15, /x / is not [ check applicable box) owned or (c) If the the following bidder checked "is" in paragraph (b) above, it shall provide information:

Name and Main Office Address i

of Parent Ccepany (Include Parent Company's Emleyer's Zip Code)

Identification Number (d) If the bidder checked "is not" in paragraoh (b) above, it shall insert its own Employer's identification Number on the following line .9??).6), ,0,8,6,8, , ,

(Endofprovision)

(R SF 33, Part 2, Para 61977 MAR)

(R SF 33A, Para 16 and 171969 MR) 52.215-6 TYPE OF BUSINESS ORGANIZATION. (APR1984)

The offeror or quoter, by checking the applicable box, represents that it operates as / x/ a corporation incorporated under the laws of the State of

. . . P.e J .*y.*.r.e. . . . . . . . . . . . / / an individual, / / a partnership, /

nonprofi t organization, or / / a' joint venture. / a  ;

(End of provision) )

1 (AV SF 33 1977 MAR)

] (R SF 198, Para 4,1976 JUNE)  !

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RS-hRR-86-051 Pa9e 51 l

52.215-11 AUTHORIZED NEGOTIATORS. (APR1984) {

lhe offeror or quoter represents that the following persons are authorized for proposalson to negotiate or its behalf with the Government in connection with this request quotatfons:

Nane _ Title Telephone Ntsnber Betty J. Muzio Senior Contract Representative (703) 448-6503 Mary L. Levick Manager of Contracts (D3) 827-8160 (End of provision (R3-501(b)SeeX(y))

52.215-19 pee 100 FOR ACCEPTANCE OF 0FFER.

(APR 1984)

In ccenpliance with the solicitation, the offeror agrees, if this offer is accepted within..... calendar days (120 calendar days unless a different period is inserted by the offeror) from the date specified in the solicitation for receipt of offers, to furnish any or all items on which prices are offered at the price set opposite each item, delivered at the designated point (s), within the time specified in the Schedule.

End of provision)

R SF 331977 MR) 52.215-20 PLACE OF PERFORMANCE. (APR 1984)

(a) The offeror or quoter, in the performance of any contract resulting from this solicitation, /

/ intends, / X/ does not intend .(check applicable block) to use one or more plants or facilities located at a different address from the address of the offeror or quoter as indicated in this proposal or quotation.

(b) If the offeror or quoter checks "int' ends" in paragraph (a) above, it shall insert in the spaces provided below the required information:

Name and Address of Owner Place of Performance (Street and Operator of the Plant or Address, City, County, State, Facility if Other than Offeror ZipCode) or Quoter (Endof (R3-501(b) SecX(viii))

provision) gj J-$k.5pWi 'M:Simrh a ;.2& 2OW--

RS-NRR-86-051 l Page 52 52.219 1 SMLL BUSINESS CONCERN REPRESENTATION. (MY 1986)

The offeror represents and certifies as part of its offer that it / / is,

/x / is not a small business concern and that / / all, /x / not all end items to be furnished will be manufactured or produced by a small business concern in the United States, its territories or possessions, Puerto Rico, or the Trust Territory of the Pacific Islands. "Small business concern," as used in this provision, means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is l bidding on Government contracts, and qualified as a small business under the size standards in this solicitation.

(Endofprovision) l 52.219 2 SMALL DISADVANTAGED BUSINESS CONCERN REPRESENTATION. (APR1984) I (a) Representation. The offeror represents that it / / is, /x / is not a small disadvantaged business concern.

(b) Definitions.

"Asian-Incian American," as used in this provision, reans a United States citizen whose origins are in India, Pakistan, or Bangladesh.

"Asian Pacific Atnerican " as used in this provision, means a United States citizen whose origins are in Japan, China, the Philippines. Vietnam, Korea, .

Sanoa , Guam, the U.S. Trust Territory of the Pacific Islands, the Northern Mariana Islands, Laos, Cambodia, or Taiwan.

"Native kericans," as used in this provision, reans Arnerican Indians,

. Eskimos, Aleuts, and native Hawaiians.

"Small business concern," as used in this prcvision, means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Governrent contracts, and cualified as a small business under the criteria and size

- standards in 13 CFR 121. .

"Small disadvantaged business concern," as used in this provision, reans a small business concern that (1) is at least 51 percent owned by one or moro individuals who are both socially and economically disadvantaged, or a publicly owned business having at least 51 percent of its stock owned by one or more

socially and economically disadvantaged individuals and (2) has its management and daily business contrulled by one or more such individuals.

(c) Qualified groups. The offerer shall presume that socially and economically disadvantaged individuals include Black Americans, Hispanic Arericans, Native Americans, Asian-Pacific hericans, Asian-Indian kericans, and other individuals found to be qualified by the SBA under 13 CFR 124.1.

(Endofprovision)

(R 7-2003.74 1980 AUG)

(R 3-501(b)(3), Part !Y, Section K, (i)(B) 1980 AUG) 52.219 3 WOMEN-0WNED SMALL BUSINESS REPRESENTATION. ( APR 1984)

(a) Representation. The offeror represents that it / / is, / x/ is not a wonen-owned srall business concern.

(b) Definitions.

"Small business concern " as used in this provision, reans a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government

t RS-NRR-86-051 P.4ge 53 contracts, and qualified as a sull business under N criteria and size standards in 13 CFR 121.

"Women-owned," as used in this pr,ovision, mans a small business that is at least 51 percent owned by a woman or wonen who are U.S. citizens and who 4 l

also control and operate the business. , '

(Endofprovision) .

(R FPR Teenp. Reg 481978DEC) 52.222-21 CERTIFICATION OF MONSEGREGATED FACILITIES. (APR1984)

(a) "Segregated fecilities,' as used in this provision, means any waiting .

rooms, work areas, rest rooms and wash rooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, tnd housing facilities provided for employees, that are segregated by explicit directive or are in fact segregated on the basis of race, color, religion, or national origin because of habit, local custom, or otherwise. I (b) By the submission of this offer, the offeror certifies that it does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not and will not perinit its employees to perforin their services at any location under its control where segregated facilities are mintained. The offeror agrees that a ,

breach of this certification is a violation of the Equal Opportunity clause in the contract.

(c) The offerer further agrees that (except where it has obtained identical certifications from proposed subcontractors for specific time periods) it will--

(1) Obtain identical certifications from proposed subcontractors 4 before the award of subcontracts under which the subcontractor will be subject to the Equal Oppertunity clause; (2)Retainthecertificationsinthefiles;and (3) Forward the following notice to the proposed subcontractors (except if the proposed subcontractors have submitted identical certifications for specific time periods):

NOTICE TO PROSPECTIVE SUBCONTRACTORS OF REQUIREMENT FOR CERTIFICATIONS OF NONSEGRECATED FAtlLITIES.

A Certification of Nonsegregated Facilities must be submitted before the award of a subcontract under which the subcontractor will be subject to the Equal Opportunity clause. The certification may be submitted eitherquarterly, for each subcantract or for all subcontracts during a period (i.e.,

semiannually, or annually).

NOTE: The penalty for making false statements in offers is prescribed in IB U.S.C. 1001.

(End of provision) ,

(R 7 2003.14(b)(1)(A) 1970 AUG)

(R1-12.803-10(d))

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RS-NRR-86-051 Page 54 52.222-22 PREYl005 CONTRACTS AND COMPLIANCE REPORTS. (APR 1984)

The offeror represents that--

(a) It /x / has, /

subcontract subject either/ has to not participated in a previous contract or the Equal Opportunity clause of this solicitation, the clause originally contained in Section 310 of Executive Order No.10925, or the clause contained in Section 201 of Executive Order No.11114; (b)It/X/has,/ / has not, filed all required compliance reports and (c) Representations indicating submission of required cortpliance rep; orts, signed by proposed subcontractors, will be obtained before subcontract, awards.

(End of provision)

(R7-2003.14(b)(1)(B)1973APR) 52.222-25 AFFIR:' T!YE ACTION COMPl!ANCE. (APR1984)

The offeror represents that (a) it / x/ has developed and has on file,

/ / has not developed and does not have on file, at each es tabl ishrtent ,

affirvative action programs required by the rules and regulations of the Secretary of Labor (41 CFR 60-1 and 60-2), or (b) it /

had contracts subject to the written affirmative action programs requirernent of/ has the rules and regulations of the Secretary of Labor.

(End of provision) '

(R7-2003.14(b)1979SEP)

(R 1-12.805-4) 52.223-1 CLEAN AIR AND WATER CERTIFICATION. (APR 1984)

The Offeror certifies that--

(a) Any facility to be used in the performance of this proposed contract is /

Violating/, isFacilities; not / x / listed on the Environmental Protection Agency List of award,(b) The Offerer will imediately notify the Contracting Officer, before of the receipt of any corrnunica tion from the Administrator, or a designee, of the Envirorrental Protection Agency, indicating that any facility t

that the Offer or proposes to use for the performance of the contract is uncer consideration to be listed on the EPA List of Violating Facilities; and this (c) The Offeror certification, will include a certification substantially the same as including this paragraph (c), in eve ry l - subcontract. nonexempt (Endofprovision)

(AV 7-2003.71 1977 JUN)

(avl-1,2302-1) l 52.230-2 COST ACCOUNTikG STANDARDS NOTICES AND CERTIFICATION (NONDEFENSE). (APR1984) i Note: This notice does not apply to small businesses or foreign

! gove rnments.

i (a) Any contract over $100,000 resulting from this solicitation shall be

subject to Cost Accounting Standards (CAS) if it is awarded to a business unit that is currently perforvling a national defense CAS-cove red contract or subcontract, except when--

(1) The award is based on adequate price competition; (2) The price is set by law or regulation;

$ % momq5nnrWm"""" ' "~ ~ ~

na-akn-00-Obl Page 56 Section L o Instructions, Conditions, and Notices to Offerors or Quoters L.1 Small Business Size Standard and Product Classification The suppites/ services described herein are classified in the Standard Industrial Classification Manual as Number 8911. The srall business standard is average annual receipts over the preceding three fiscal years not to exceed $2.5 million.

L.2 Award Notification and Comitment of Public Funds All offerors will be notified of their selection or nonselection as soon as possible. Fomal notification of nonselection will not be made until a contract has been awarded.

It is also brought to your attention that the Contracting Officer is the only individual who can legally comit the Government (i.e., the NRC) to expenditure of public funds in connection with this procurement . This reans that unless provided in a contract document or specifically authorized by the Contracting Officer NRC technical personr.el cannot issue contract modifications, give ir.f oma l l contractual cormitrents or otherwise bind, comit, or obligate the NRC contractually. Infomal contractual comittnents include such '

actions as:

a. encouraging a potential Contractor to incur costs prior to l receiving a contract,

b. requesting or requiring a Contractor to make changes under a contract without forral contract rnodifications,

c. encouraging a Contractor to incur costs under a l cost-reir:bursable contract in excess of those costs l

contractually allowable, and

d. comitting the Government to a course of action with regard to a potential contract, contract change, claim, or dispute.

L.3 Ofsposition of Proposals After award of contract, two (2) copies of each unsuccessful proposal will be retained by NRC's Division of Contracts and unless return of l proposals is requested by the offeror upon submission of proposal, all other copies will be destroyed, This notification should appeer in any cover letter accompanying the proposal.

L.4 Proposal Presentation and Fomal

a. Proposals will be typewritten or reproduced on letter-size paper and will be legible in all required copies,

b. Proposals in response to this Request for Proposal shall be submitted in the following three (3) separate and distinct parts:

1

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7 ,; , c .

-t RS-NRR-86-051 Page 57 (1)

One (1) original signed copy of this solicitation package.

All applicable sections must be completed by the offeror.

(2) One (1) original and 8 copies of the "Cott Proposal" shall 1 be submitted in accordance with the guidelines set forth in the paragraph below. )

(3) One (1) original and 8 copies of the "Technical Proposal" shall be submitted in accordance with the guidelines set  !

forth in the paragraph below entitled, "Technical Proposal Content." l l

Each of the parts shall be separate and complete in itself so that C

evaluation of one may be accomplished independently of evaluation of the other. All documents submitted shall have a cover page with the identifying RFP title, the solicitation number, and name of the offeror.

L.5 Cost Propusal Content The offeror shall provide a cost proposal based on the Estimated Level of Effort for the base period of performance and for the option as detailed in Section C.2. The total estimated cost proposed by the offaror will be used for evaluation purposes only. Any resultant contract will contain an overall cost ceiling whereby individual task orders may be issued. The cost for each task order will be individually negotiated and will also contain a cost ceiling. Fee will be awarded evaluation periods for work based onperfortned on all task orders during i Plan. the a.ttached Award Fee Determination I

4 The offerer should utilize the Standard Form 1411, Contracting t

l Pricing Proposal Cover Sheet in submitting the Cost Propesal. The J Standard Fom 1411 is attached to this solicitation as Attacheent No.

4 i The offeror is requested to follow the fomat as detailed in the Attachment to theProposal."

a Contract Pricing Standard Form 1411. "Instructions for Submission of l

L.6 Technical Proposal Content A. The Technical Proposal shall not contain any reference to cost.

Resource information such as data concerning labor hours, and categories, materials, subcontracts, tra vel , computer time, etc., shall be included in the Technical Proposal so that the offeror's understanding of the scope of work may be evaluated.

- The offeror shall sutenit with the Technical Proposal full and l  ! complete information as set forth below to permit the Government to make a thorough evaluation and a sound determination that the j proposed approach will have a reasonable likelihood of meeting the requirements J

and objectives of this procurement in j accordance with the evaluation criteria set forth in this Part IV, Section M entitled, "Evaluation Factors for Award."

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RS-NRR-86-051 Page 58 Statements which paraphrase the scope of work without coernunicating the specific innovation proposed by the offeror or statements to the effect that the offeror's understanding can or will comply with the scope of work my be construed as an indication of work andofobjectives.

the offeror's lack of understanding of the scope The Technical Proposal shall be organized to correspond to the evaluation criteria listed in Section M of the solicitation.

The Technical Proposal shall contain the following as a minimum:

a. A separate discussion of each area within the scope of work requi rements. As a minievxn, provide a method of review and evaluation for each type of licensing action (e.g., CP or OL application, OL amendment, SEP) in the general topic a rea s .

procedures Differences in the review process and regulatory for the different types of licensing actions should be discussed. (Specific discussions of specific regulations and regulatory guides and review procedures for specific topics within a general topic area will enhance an offeror's proposal.) -

b. Discussion of the offeror's experience with other contracts of similar complexity,

c. Discussion of the support personnel and facility availability to assist the professional personnel. Provide a narrative discussing the interaction among engineering disciplines both on the offeror's staff and with consultants and subcontractors (if any). If project personnel are not to be centrally located in a single geographic area, the plan for coordination and interaction between separated groups should be discussed.

d. Include resun'es only for the professional personnel to be

( utilized in the perforrance of any resulting contract.

Include educational background, specific pertinent work experience, and a list of any authored by the individual (s). pertinent publications P'cVide a surrnary of the academic training and practical

• experience of each of the proposed project personnel including the proposed project Nnagement team. Experience and training specifically related to the nuclear power industry and U.S. regulatory activities should be highlighted. i l

For each professional person proposed, identify the topic l a rea (e.g. Topic Area 2.0 "Nuclear Plant Systems Engineering") to which he/she will be assigned.

A

RS-NRR-86-051 Page 59

e. Identification of the "key personnel " and for the person (s) so identified, specify the percentage of time currently comitted to other projects over the course of  :

,., the proposed contract period of perfomance.  !

f. Statements of any interpretations, requirements, or assumptions mde by the offeror,

g. A detailed discussion of the proposed program rwnagement system including but not limited to the following:

1. Project scheduling and contingency planning demonstrating 3 a logical progession and integration of the tasks to insure completion within the period of perforr.ance for each task and without program slippage.

2. Management organizational structure delineating areas of responsibility and authority under the proposed effort.

l Describe the relationship of the project organization to corporate management and to any subcontractors. Discuss the functions and authorities of the project manager. .

Demonstrate the availability and use of a matrix organization with multi-disciplinary talent and experience in the nuclear industry.

3. Procedures to periodically review in-house organizational functions, program reviews and controls and subsequent coordination with NRC.

B. Management The management aspects shall include, but not be limited to, the following and any data pertinent thereto:

(1) Project scheduling and contingency planning demonstrating a logical progression and integration of the tasks to insure completion within the perfomance period and without program slippage.

(2) Management organizational structure delineating areas of responsibility and authority under the proposed effort.

Describe the relationship of the project organization to corporate u nagement and to subcontractors , if any.

Discuss the functions and authorities of the project

. manager.

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(3) Procedures to periodically review in-house organizatier.a1 I

functions, program reviews and controls and subsequent i, coordination with the NRC.

~

(4) Management controls expected to be utilized for tracking costs, cost growths, schedules for completion, and controls l

for tracking milestones for deliverables.

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RS-NRR-860051 Page 60 C. Manpower Availability Describe the source of personnel required for performance of each task and not presently egloyed by the offerot. If any of

' the personnel are under comitment, describe the terms of the comitment(s). Note specifically the personnel that will be on board subject to a contract award.

D. Consultants Explain the need for consultant services. List proposed i consultants if known by name. For each list show (1) nature of services, (2) fee rate, and (3) total consultant fee and any other allowable related costs which may be involved, such as 1 travel and per diem. Such fees my not be paid to ee.ployees of the Contractor or to employees of the U.S. Government.

E. Subcontractors If the offeror plans to subcontract any of the work to be performed, list proposed subcontractors if known by name.

Provide a detailed breakdown of specific work to be -

subcontracted and the approximate cost involved.

F. Other Contractual Cortnitments The offeror shall list any commitments with other organizations, Governmental or private, and indicate whether these cottrnitments will or will not interfere with the completion of work and sevices contemplated under this proposal.

L.7 Solicitation Provisions 52.216-1 TYPE OF CONTRACT. (APR1984)

The Goverrcent contemplates award of a cost plus award fee indefinite quantity type contract resulting from this solicitation.

(End of provision)

(R3-501(b)SecL(iv))

52.215-10 LATE SUBMISSIONS,(M001FICAT10NS, PROPOSALS. APR1984) AND WITHORAWALS OF (a) Ary proposal received at the office designated in the solicitation af ter the exact time specified for receipt will not be considered unless it is received before award is mde and it--

(1) Was sent by registered or certified mil not later than the fif th i

calendar day before the date specified for receipt of offers (e.g., an offer subeitted in response to a solicitation requiring receipt of offers by the 20th of the month rust have been miled by the 15th);

(2) Was sent by mil (or telegram if authorized) and it is detennined by the Governtnent that the late receipt was due solely to mishandling by the Government after receipt at the Government installation; or (3) Is the only proposal received, t

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g3.MR-86-051 Page 61 (b) Any modification of a proposal or quotation, except a modification resulting from the Contracting Of ficer's request for "best and final" offer, is subject to the same conditions as in subparagraphs (a)(1) and (2) above.

(c) A modification resulting from the Contracting Officer's request for "best and final" offer received af ter the time and date specified in the request will not be considered unless received before awrd and the late k

receipt is due solely to mishandling by the Government after receipt at the Government installatten.

T (d) The only acceptable evidence to establish the date of mailing of a 7

late proposal or modification sent either by registered or certified mail is the U.S. or Canadian Postal Service postmark on the wrapper or on the original C receipt from the U.S. or Canadian Postal Service. If neither postmark shows a i

legible date, the proposal, quotation, or modification shall be processed as if mailed late.

' Postmark' means a printed, starrped, or otherwise placed impression (exclusive of a postage ineter mehine impression) that is readily i identifiable without further action as having been supplied and affixed by employees of the U.S. or Canadian Postal Service on the date of mailing.

m Therefore, offerers or quoters should request the postal clerks to place a hand

[

e cancellation bull's-eye postmark on both the receipt and the envelope or wra ppe r.

(e) The only acceptable evidence to establish the time of receipt at the I  ;

Government installation is the time /date stamp of that installation on the i proposal wrapper or other documentary evidence of receipt Nintained by the '

installation.

[ '

(f) Notwithstanding paragraph (a) above, a late modification of an otherwise successful proposal that makes its tertns more favorable to the Government will be considered at any time it is received and my be accepted,

" (g) Proposals my be withdrawn by written notice or telegram (including mailgram) received at any time before award. Proposals my be withdrawn in E

person by an offeror or an authorized representative, if the representative's identity is made known and the representative signs a receipt for the proposal bef ore award, i (End of provision)

(R7-2002.41979 MAR)

(1-3.802.1) 52.233-2 SERVICE OF PROTEST (JAN1985) 7 Protests, as defined in section 33.101 of the Federal Acquisition Regulation, shall be served on the Contracting Officer by obtaining written and dated acknowledgerent of receipt from the Division of Contracts; U.S. Nuclear

Regulatory Ccenission; 4550 Montgomery Avenue; Suite 2223; Bethesda, Maryland 20814 (End of Provision)

I S2.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE. (APR1984)

This solicitation incorporates the following solicitation provisions by g reference, with the same force and effect as if they were given in full text.

U,9on request, the Contracting Officer will make their full text available.

1. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) SOLICITATION PROVISIONS r

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RSONRRo86-051 ,

Page 62 Section L 52.215-5 SOLICITATION DEFINITIONS. (APR 1984) 52.215-7 UM CE.,$ARILY ELABORATE PROPOSALS OR QUOTATIONS. (APR '

1984) j 52.215-8 52.215-9 ACKNOWLEDGtCNT SUBMISSION OF OFFERS. OF AMENDPENTS TO SOLICITATIONS 1 (APR 1984) 52.215-12 RESTRICTION ON DISCLOSURE AND USE OF DATA. (APR198 52.215-13 PREPARATION OF 0FFERS. (APR 1984) i 52.215-14 EXPLANATION TO PROSPECTIVE OFFER 0RS. (APR1984) I 52.215-15 FAILURE TO SUBMIT OFFER. (APR 1984) 1 52.215-16 CONTRACT AWAPD. (APR 1985) 52.222-24 PREAWARD ON-SITE EQUAL OPPORTUNITY COMPLIANCE (APR REVIEW 1

1984)

I L.8 hondiscrimination Because of Age (FAR 72.901)

It is the policy of the Executive Branch of the Governcent that (a)

Contractors and Subcontractors engaged in the perfonnance of Federal contracts shall not, in connection with the emplopent, advancerent, or discharge of employees or in connection with the te nts ,

conditions, or privileges of their employment, discriminate against -

persons because of their age except upon the basis of a bonafide occupational qualification, retirement plan, or statutory requirement, and (b) that Contractors and Subcontractors, or persons acting on their behalf, shall not specify, in selicitations or ddvertisements for employees to work on Government Contracts, a mnimum age limit for such emplopent unless the specified raximum age limit is based upon a bor.a fide occupational ovalification, retirecent plan, or statutory requirement.

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P.5-NRR-86-051 Page 63 Section M - Evaluation Factors for Award M.1 QTRACT AWARD AND EVALUATION OF PROPOSALS a' . By use of numerical and narrative scoring techniques, proposals will be evaluated against the evaluation factors specified in the paragraph below.

These factors are listed in their relative order of irnportance. Award will be r.ade to the offeror (1) whose proposal is technically acceptable and (2) whose technical / cost relationship is most advantageous to the Government; and who is considered to be responsible within the ineaning of Federal Acquisition Regulation Part 9.1.

• • • Although cost will be an important factor in the evaluation of proposals, technical merit based on the criteria set forth in M. below will be a somewhat inore important factor in the selection of a Contractor. To be selected for an award, the proposed costs must be realistic and reasonable,

b. The Government reserves the right without qualification, to accept or reject any or all proposals, to negotiate with any and all proposers '

regardless of the tertns of the original proposal, and to request additional clarifying inforvation either through written or through ccnference with the proposers. All proposers are notified that award may be made without discussion of proposals and, therefore, proposals should be submitted initially on the most favorable terms, from a cost and technical standpoint.

c. A separate cost analysis will be perfortned on each cost proposal. To provide a comon base for evaluation of. cost proposals, the level of effort data shall be expressed in man hours,

d. In making the above determination, a best-buy analysis will be perforred taking into consideratiun the results of the technical evaluation, cost analysis, and ability to cornplete the work within the Government's required schedule.

e. proposals will be evaluated in accordance with the evaluation criteria as set forth in Section M. which is, listed in the order of their relathe importance.

e

..en.oo. m Page 64 M.2 Evaluation Criteria Technical Evaluation Criteria The following criteria and weignt factors will be used to evaluate the technical proposals submitted by offerers.

CRITERIA WEIGHT FACTOR

1. Technical and Management Staff Capacity and Capability A. Corporate Capacity 25 points The overall corporate capacity to assimilate a inulti-discipline project of this size will be evaluated. The offeror's ability to satisfy the technical and managerial staffing requirements at the inception of the project and over the entire period of performance will be a consideration alcng with the adequacy of the offeror's '

support facilitics and staff.

B. Qualifications of Project Personrel 25 points The offeror's proposed project personnel's knowledge of the theories, principles and practices in the general and specific topic areas in the scope of work will be evaluated.

II. Technical Understanding of the Regulatory process 25 points and the Objectives of the Contract I

The offeror's understanding of the NRC regulatory

! process and the working objectives for each of the l types of licensing actions and topic areas in the work scope will be evaluated. In general the evaluators will seek to detennine the offeror's knowledge and understanding of the work to be perfonred and applicable technical and procedural regulatory requirements.

Ill. Mangement .

A. Project Organization and Management Plan 15 points The ability of the offeror's proposed project organization and management plan to assure the timely delivery of quality products will be evaluated. The offeror's managecent plan will be evaluated on the 1

1 '

RS-NRR-86-051 Page 65 basis of the functional description of the project unager and the project unagement approach to be used; the organizational structure of the project team and their

' ability to provide a balanced multi-disciplinary approach to problem solving; and the appropriateness of task scheduling, travel plans, reporting requirements and intended interaction with the NRC. The flexibility of the organizational structure and its ability to adapt to changing level of effort and technical discipline

, requirements will be a consideration.

B. Project Task Status and Cost Monitoring System 10 points The offeror's system for monitoring the detailed status and cost of individual technical eYalua-i tion tasks will be evaluated. Particular l

emphasis will be placed on the ease of NRC access -

to the data in the system, the fomat for report-ing the data to the hRC, including the specific i

milestones to be traded for each type of licensing action, and the extent to which the ,

status and cost data will be Nintained up to date between regularly scheduled progress reports.

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4 RS-NP.R-86-051 Attachrent 1 l

i AWARD FEE DETERMINATION PLAN

_ Contents Pa rt A. Introduction B,

i Organization Structure for Award Fee Administration 1 C.

li Perforrance Areas and Evaluation Criteria D. Methods for Determining Award Fee E. Changes in Plan Coverage Figure 1 - CPAF Contract Performance Reporting. Review, and Evaluation Procedure Figure 2 - CPAF Support Contract Rating Table and Accompanying Evaluation Scale l

d l

l 1

. t.

A. Introduction 1.

This plan covers the achinistration of the award fee provisions of Contract No. with (

2.

The following matters, among others, are covered in the contract.

(a) The contractor is required to accomplish the Statecent of Work (50W) as set forth in Part I of this contract. i (b) This plan covers the period from the effective date of the contract through .

(c) The estimted cost of performing this work is (d) The award fee pool is . .

(e) The estimted cost and award fee pool are subject to equitable adjustments on account of changes or other contract modifications.

(f) The award fee earned and payable will be determined as specified in this plan by the Fee Detemination Official (FDO) in accordance with this plan.

(g) Award fee determinations are not subject to the Disputes clause of the contract.

(h) Alterations of the award fee plan during the course of this contract must be made thirty days prior to the start of the evaluation period to be effective.

3.

The objective of the award fee provisions of the contract il to afford the contractor an opportunity to earn increased fee comensurate with the achievement of optinum performance in pursuit of contract objectives and goals. Optimum perfomance is not necessarily equated with the highest level of perfomance achievable in all fncentivized areas. Rather, it represents the most favorable degree of performance obtainable considering the achievecent of contract objectives in light of the contractor's most effective utilization of available resources.

- - - - - _ - _ - - - . - - - - - - , - . , . - - - - - 7.._--.- ,,,-. . - _ _ _ _ - - _ _ - - - - --_ , , - - . _ , , . - - - - - - -

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l 8, ORGAh!ZATIONAl. STRUCTURE FOR AWARD FEE ADMINISTRATION i l

The following organizational structure is established for administering  !

the award fee provisions of the contract.  !

1. Fee Determination Official (FDO) l (a) The FD0 is .

l (b) Primary FD0 responsibilities are:

(1) Detemining the award fee earned and payalile for each j evaluation period and infoming the Contractor in writing 1, of the arnount and rationale for the award.

. (2) Recounding changes in plan coverage and content to the Contracting Officer. '

1

2. Perfemance Evaluation Board (PEB)

(a) The Chaiman and snee.bers of the PEB are listed below.

(b) The Chaiman may recomend the appointrent of non-voting members to assist the Board in perfoming its functions, l

i (c) Prirary responsibilities of the Board are:

(1) Conducting ongoing evaluations of contractor perfomance and the submission of a Perfomance Evaluation Board Report (PEBR) to the F00 covering the Board's findings and recorrnendations for each evaluation period, as addressed in Part D.

(2) Considering changes in this plan and reccnnending those it detennines appropriate for adoption to the FDO.

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4

, 3. Perfomance Monitors (PMs)

a. A PM will be assigned to each perfomance area to be evaluated.

The assignment will be made by the PEB Chairman.

l

b. Each PM will be responsible for complying with fnstructions of  !

the PEB Chairinan. Primary PM responsibilities are:

(1) Monitoring, evaluating, and assessing contractor performance in assigned areas.

(2) Periodically preparing a Perfomance Monitor Report (PMR) for the PEB, as appropriate.

(3) Recomending appropriate changes in this plan for -

consideration.

4 Evaluation Periods and Award Fee Available Evaluation Periods 1

Quarterly (first 2 and last 2 evaluationperiods)

Semi Annual (remaining evaluation periods) l B. Award Fee Available Per Period I

i The award fee available for each period shall be cornputed as follows during the life of the contract:

l The amount of award fee available for each evaluation period shall be in the same proportion to the total award fee pool as the incurred costs during the period bear to the total estimated contract cost.

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l 1 l C. PERFORKANCE AREAS AND EVALUATION FACTORS: Award fee will be determined by  ;

evaluating the Contractor's performance in the areas identified below.

1. Technical - 50 Points

- The extent to which the contractor consistently produces high quality technical products without requiring excessive technical or l administrative direction from the NRC.

(a ) Thoroughness and Accuracy of Work 20 pts.

The extent to which the contractor submits technical work products which are thorough, accurate and do not require

extensive rework by the contractor.

(b) Technical Independence and Initiative 20 pts. '

The extent to which the contractor's technical efforts d

exhibit independence and initiative that does not require day-to-day technical or administrative direction by the NRC.

(c) Clarity and Conciseness 10 pts.

The extent to which the contractor consistently submits work products that are clear and provide an adequate technical q basis for NRC staff safety evaluation reports.

2. Mar.agement and Schedule - 30 points The entent to which the contractor effectively manages the program to produce technical products in a timely r,anner that meet the needs of the hRC by effectively utilizing resources and work efficient methods.

(a) Ability to meet Schedule Milestones 10 pts.

The extent to which the contractor meets schedule milestones and completion. dates in developing technical work products.

(b) Managesent Independence and Initiative 10 pts.

The extent to which the contractor demonstrates management independence and initiative in developing, proposing and trplementing (af ter NRC approval) plans and procedures for eliminating er.isting and potential impedirents to the work flow process. The extent to which the contractor acts independently to expedite the flow of work both inside and outsidt its organization with the minirum expenditure of hRC resources to analyte and propose reasures to correct problems.

(c) Ability to Adjust to Changing Needs 5 pts.

The extent to which the contractor exhibits the ability to adjust to the changing needs of the NRC.

(d) Effectiveness of Liaison Effort 5 pts.

The extent to which the contractor provides effective liaison with the NRC, licensees and others in order to efficiently manage the program i.nd to facilitate the development of technical producti.

3. Cost and Centract Administration - 20 points The extent to which the contractor conducts the work in a cost sffective nnner and the extent to which it has effected improvements -

4

, to further reduce the cost of developing technical work products.

The extent to which contract administration is effective.

(a) Cost Estimation and Contrcl 15 pts.

The extent to which the contractor:

(1) effects improvements and efficiencies which are reflected in lower costs, and (2) controls cost growths over the original estimates for each assignment. ,

(b) Contract Administration 5 pts.

Effectiveness of contractor's perfornnce in the area of contract administration, including:

(1) assurance that necessary supplies, equipment, etc.

are purchased in a cost effective manner, (2) soundness of system to manage subcontractor ef fort, I (3) quality and timeliness of required admiristrative l reports, such as, monthly progress reports, subcontracting plan reports, and subcontractor approval requests.

D. Method for Detemining Award Fee l

l A determination of the award fee earned for each evaluation period will be made by the FD0 within thirty days of the end of the evatuation period.

The method to be followed in evaluating the Contractor's performance l

during the period, as well as for detemining the award f ee earned, is

! described below, e

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. 1. The PEB Chairmn will assign a Perforrance Monitor (PM) the resraonsibility for evaluating a specific performnce area to be evaluated under the contract. Personnel will be assigned on the basis of their expertise relative to prescribed perforinance ares ernpha ses.

2. The PEB Chairm n will ensure that each PM receives the inllowing:

(a) A copy of the contract and all modifications.

(b) A copy of this pler,ard any subsequent changes.

(c) Appropriate orientation and guidance.

(d) Specific instructions applicable to assigned perfornnce areas. -

3. PMs will rnonitor, evaluate and assess contractor perforrance in accordance the PEB Chaiman, with the specific instructions and guidance furnished by i 4 PMs will submit rnonthly perforvance evaluation reports (PER's) and, if required. Nke verbal presentations to the PEB Chaiman,

5. As appropriate, the PEB Chairran will request and obtain perfomance infomation from ather units or personnel norully invohed in observing centractor perforrance.

6. Periodically, the PEB will censider PER's and other perforinance inforntion it cbtains ard discuss the reports and infomation with His or other personnel, as appropriate.

7. Within ten days af ter the end of each evaluation period, the contractor shall subrait te the Contracting Officer a written self-assessment of its perfortance during the evaluation period including the arnount of award fee it feels it has earted. After receipt of the centractor's self-assesstnent report, the contractor '

ray be required to sect with the PEB to discuss overall perfomance during the period. As requested by the PEB Chairran, PMs and other personnel involved in perforrance evaluations will attend the meetings and participate in discussions.

8. After any such meetirg with the contractor, the PEB will consider utters presented by the coritractor and establish its findings and reccarendations for the PEBR. The PEB will use the chart in Figure 2 to score each perforrance area. The scores will then be averaged to produce an overall score for the evaluation period.

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. 9. The PEB Chaiman will prepare the PEBR for the period and submit it to the FD0 for use in detemining the award fee earned. The report will include a recoarended range of award fee with supporting docurentation. When submitting the report, the Chairun will infc.m the FD0 whether or not the contractor desires to present any utters

, to the FD0 before the award fee detemination is ude.

10. lhe FD0 will consider the PEBR and discuss it with the PEC Chaiman I

or other personnel, as appropriate. If requested by the contractor, or the FD0 considers it appropriate, the FD0 will meet with the contractor for discussions. If requested by the FDO. the PEB Chairun and any other personnel involved in perfomance evaluation may be required to attend the meeting with the contractor.

11. The FD0 will detemine the amount of award fee earned during the period. The enount detemined will not result solely from '

rathematical suming, averaging or the application of a fonnula. The FD0's detemination of the amount of award fee earned and the basis for this determination will be stated in the Award Fee Oetermination Letter (ArDL). The Letter will be signed by the F00 and given to the 1 centractor fcr attachment to its v0ucher requesting popent of the award fee.

E. Changes in Plan Ceverage j ). kight to Make Changes 1

1 Any r.atters covered in this plan ray be changed unilaterally by the j hRC thirty (30) days prior to the beginning of an evaluation period by forul modification of the centract.

2. l'ethod for Changing Plan Coverage Personnel involved in the administration of the award fee provisions of the contract are encouraged to recor. rend changes in plan coverage with a view toward changing r.anagement emphases, motivating higher

perforrance levels,'or improving the award fee detennination process.

Recorrended changes should be sent to the PtB for consideration and drafting. Prior to the end of each evaluation period, the DEB will review preposed changes and forwarc 1 hem to the FD0 with appropriate coerents and justification, or inform the FD0 that no changes are recorrended for the next period.

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. Figure 1 CPAF CONTRACT PERFORMNCE REPORTING. REY!EW AND EVALUATION PROCEDURE Award TH Deterstnation Letter v

FEE U' ETERM!kATION OFFICIAL (F00) CONTRACTOR

/4 o Award Fee Recorrendation ' -

o Perform nce Evaluation Board Report PERFORMNCE EVALUATION i BOARD (PEB)

. )\

o Monthly Reports o All Reported Events I EVALUATION C00RDlkATOR ( CONTRACTOR

}\

o Monthly Reports o Self Assessment Report i

Performance Monitors Perfornnce Monitors Performance Monitors

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

9F

\

l Figure 2

)

. EVALVATION SCALE _

l Adjective Grade Numerical Grade Definition Superior 96 to 100 Perfonrance is outstanding in essentially all respects, and represents the very best which could be expected of any contractor. This grade represents a practical goal, to be awarded for a degree of perfonrance which is real and attainable, not theoretical .

Excellent 86 to 95 Perforrance ranges from substantially better than average to outstanding. In this range the contractor has linproved all facets of his operation beyond that level described for in the range below.

The contractor has greatly exceeded the schedules, output, and overall perfomance which would be expected of an average contractor. Areas of deficiencies are few and overall are considered relatively unimportant.

Contractor shows initiative in executing the job and in invoking irprovements. The degree to which the contractor exceeds schedules, achieves objectives, eliminates areas of deficiency, etc., deterinines the grade in this range.

Good 81 to 85 This grade, the top of the good range, represents average perfor1rance and the point of referense for the grading system. The contractor at this point has met rest needs, schedules, and expectations in a fashion which corresponds to average or standard perforrance by a qualified contractor.

Areas of below-average perfomance are about balanced by areas of above-average pe rforra nce.

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Figure 2 -11 Adjective Grade Numerical Grade Definition 76 to 80 In this range the contractor is below, but approaching, average perfomance.

The degree to which the contractcr has slipped below perfonnance, has missed s:hedules, Or shown uncompensated deficiencies detemines the grade in this range.

Satisfactory 71 to 75 Perfomance is celow the .everage or standard performance expected of a ,

qualif*ed contractor. The contractor at this point is halfway tttween average perfomance and perfomince

which is considered unsatisfactory.

66 to 70 In this area the contractor is deficient in a significa9t number of areas, and those deficiencies are not offset by areas of above-average performance. The contrat. tor's grade in j this area will be detemined by tne r

estent of the deficiencies and his proximity to unsatisfactory pe rfoma nce.

60 to 65 Perfomance is deficient in substantial areas of effort, and is sufficiently far below perfomance as to be overall unsatisfactory. Imediate improvement is required in order to permit continuation of the contract.

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i 59 and Below There is zero award fee for a performance in this range.

Attactrnent 2 PART 20-1 -- GENERAL

,$ubpart 20-1.Sa--Contractor Organizational Conflicts of Interest

Sec.

20-1.5401 Scope and policy.

1 20-1.5402 De.finitions.

i 20-1.5403 Criteria for recognizing contractor organizational conflicts of interest.

20-1.5404 Representation.

20-1.5405 Contract clauses.

20-1.5405-1 General contract clause, i

20-1.5405-2 Special contract provisions.

20-1.5406 Evaluation, findings, and contract award.

20-1.5407 Conflicts identified af ter award.

20-1.5408 (Reserved) i 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.

a 83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 120-1.5401 Scope and Policy l

I e (NRC)(a) It is the to avoid, policy or eliminate of the U.S. Nuclear neutralize Regulatory contractor Coernission organizational conflicts 1

of intertst. The NRC achieves this objective by requiring all prospective contractors to submit infonnation describing relationships, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.

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l (b) Contractor conflict of interest detenninations cannot be made

! automatically or routinely; the application of sound judgment on virtually I 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 l 1 identify and resolve all of the contractor conflict of interest situations l

which might arise; however, examples are provided in these regulations I to guide application of the policy. NRC contracting and program officials l must be alert to other situations which may warrant appitcation of this i policy guidance. The ultimate test is: Might the contractor, if awarded I tt e con ract, be placed in a position where its judgment may be biased, l or where it may have an unfair competitive advantage?

(c) The conflict of interest rule contained in this subpart applies l

to contractors and offerors only. Individuals or firms who have other relatfonships with NRC (e.g., parties to a Itcensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC

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, e 7590-01 I 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.

120-1.5402 Definitiont l

(a) "Organizational conflicts of interest" means that a relationship '

exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which: (1) May diminish its capacity to give inpartial, technically sound, ot.jective assistance and advice or may otherwise result in a biased work product, or (2) may result in its being given an unfair competitive advantage.

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

(c)

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

(d) "Technical consulting and management support services" means internal assistance to a ccaponent of the NRC in the formulation or i

administration of its programs, projects, or policies which normally require the contractor to be given access to information which has not been r.ade available to the public or proprietary information. Such services typically include assistance in the preparation of program i

. plans; and preparation of preliminary designs, specifications, or statements of work.

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(e) "Contract" means any contract, agreement, or other arrangement h with the NRC except as provided in Section 20-1. 5401(c) .

L (f) "Contractor" means any person, firm, unincorporated association,

, joint venture, co-sponstor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, i directors, key personnel (identified in the contract), proposed consultants (j'

or subcontractors, which is a party to a contract with the NRC.

t (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 anotner, or when a third party i

controls or has the power to control both (41 CFR ll-1.606-1(e)).

f (h) "Subcontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of $10,000 or less.

(1) "Prospective contractor" or "offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified Di 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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i 7590 01 (j) ' Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The tem "potential conflict

of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give

{ rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract perfomance.

4 I 20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in detemining whether actual or potential organizational conflicts of interest exist: (1) Are there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC7 (2) May the contractor be given an .

I unfair competitive advantage based on the performance of the contract?

The ultiste determination by NRC as to whether organizational conflicts of interest exist will be made in light of connon sense and good business

! judgment based upon the relevant facts disclosed and the work, to be pe rformed. 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 i

i personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurements, and research programs.

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

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

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

l (11) Where the offeror or contractor provides advice to the NRC on the same or similar mtter in which it is also providing assistance to i  ! any organization regulated by the NRC, i

j (iii) Where the offeror or contractor evaluates its own products or j services, or the products or services of another entity where the offeror

, j or contractor has been substantially involved in their development or i

ma rke ting.

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

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7590 01 E

(2) The contracting officer may request specific information from an offeror or contractor or may require special contract provisions such as provided in 520-1.5405-2 in the following ciretsnstances:

(1) Where the offeror or contractor prepares specifications whii:h are to be used in competitive procurements of products or services

, covered by such specifications.

(ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurements using such approaches or methodologies.

h (iii) Where the offeror or contractor is granted access to information not available to the public concerning NRC plans, policies, or programs

. i which could form the basis for a later procurement action.

L (iv) Where the offeror or contractor is granted access to proprietary

!- information of its coepetitors.

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

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

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(c) Policy application guidance. The following examples are l.

illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example.

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

1. . undertake certain analyses of a reactor component as called for in the l i 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.

I

' Guidance. An NRC contract for that particular work normally would not be awarded to the XYZ Corp. because it would be placed in a position L in which its judgment could be biased in relationship to its work for t NRC. Since there are other well-qualified companies available, there

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

l (2) Example. The ABC Corp., in response to a R.'P, proposes to j i perform cprtain analyses of a reactor component which are unique to one

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

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

projects have any relationship to the work called for in the RFP. Based

' on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.

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, 7590-01 3' Guida nce. An NRC contract norinally could be awarded to the ABC Corp. because no confilet of interest exists which would motivate bias d with respect to the work. An appropriate clause would be included in I the contract to preclude the ABC Corp. from subsequently contracting for

. work during the performance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in tt.t example.

(3) Example. As a result of operating problems in a certain type I of coernercial nuclear facility, it is imperative that NRC secure specific data on various operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer N

has extensive experience with that type of plant. Consequently, that ,

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

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

Since the nature of the work required is vitally important in terms of I

NRC's responsibilities and no reasonable alternative exists, a waiver of I

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.

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(4) Example. The ABC Co. submits a proposal for a new system for t evaluating a specific reactor cceponent's performance for the purpose of i

developing standards that are important to the NRC program. The ABC Co.

l ,. has advised NRC that it intends to sell the new system to industry once I

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 l the contract stipulates that no information produced under the contract will be used in the contractor's private activities unlesi such information

! has been reported to NRC. Ieformation which is reported to NRC by contractors l will normally be disseminated by HRC to others so as to preclude an l

' unfair ccapetitive advantage that might otherwise accrue. When NRC furnishes information to the contractor for the performance of contract l work, it shall not be used in the contractor's private activities unless I

such information is generally available to others. Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the infor1 nation developed under the i

contract is proposed to be used.

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7590-01 (5) Example.

The ABC Corp., in response to a RTP proposes to assemble fold belt. a In map showing certain seismological features of the Appalachian accordance with the representation in the RFP and

$ 20-1.5403(b)(1)(1), ABC Corp. Informs the NRC that it is presently doing seismolog'ical studies for several utilities in the Eastern United States by the NRCbut study.

none of the sites are within the geographic area contemplated Guidance.

The contracting officer would normally conclude that

, award of a contract where its judgment might would benot place ABC Corp. in a conflicting role biased.

The work for others clause of 120-1.5405-1(c) would preclude ABC Corp. from accepting work during the term of the NRC contract which could create a conflict of interest.

i (d) Other considerations <

5, and later avoid, eliminate, or neutralize any potential organizatio conflicts arising from the perfomance of a contract is not relevant to j a contract.

a determination of the existence of such conflicts prior to the award of (2) It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not. involved, or that a contract is awarded on a competitive or a sole source basis.

I N 120-1.5404 Representation

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

I (b) Representation procedure. The following organizational

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' conflicts of interest representation provision shall be included in all solicitations and unsolicited proposals for

(1) Evaluation services or I activities; (2) technical consulting and management support services;

, (3) research; and (4) other contractual situations where special organizationa' I

conflicts of interest provisions are noted in the solicitation and would be included in tm resulting contract. This representation requirement p shall also apply tu all modifications for additional effort under the -

' contract except those issued under the "changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard shall betorequired.

the contract being rnodified, only an updating of such statement Il

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7590-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION l

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 e

of the type set forth in 41 CFA'5 20-1.5403(b)(1).

(c) Instructions to offerors. The following shall be included in i all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 120-1.5403(b)(1) are involved, or the contracting officer otherwise detennines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner-all relevant facts bearing on his representation to the contracting officer. If the contracting officer determines that organizational j conflicts exist, the following actions may be taken: (1) Impose appropriate conditions which avoid such conflicts. (ii) disqualify the offeror, or (iii) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of i i 20-1.5411.

(2) The refusal to provide the representation required by 5 20-1.5404(b) or upon request of the contracting officer the facts required by 'l20-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant Sterest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresent 4 tion is discovered after award, the t

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 I

the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals. If the i

' NRC considers the proposed excluded work to be an es?tntial or integral part of the required work and its exclusion would work to the detriment of the competitive Posture of the other offerors, the proposal must be rejected as unacceptable.

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

i 20-1.5405 Contract clauses 6 20-1.5405 1 General contract clause 7

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

(a) Purpose.

The primary (purpose of this clause is to aid in ensuring that the contractor:

1) !s not placed in a conflicting role or otherwise) which relate to the work under (2) this contract, does virtue not obtain of its an unfairofcompetitive performance advantage over other parties by this contract.

(b) Scope.

The restrictions described herein shall apply to perfomance or participation by the contractor as defined in 41 CFR I 201.5402(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 confitet of interest with respect to the work being performed under this contract.

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

(d) Disclosure after award.

(1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 1201.5402(a).

(2) conflicts of interest with respect to this contract, it shall ma imediate and full disclosure in writing to the contracting officer.

This statenent shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts.

The NRC may, however, terminate the contract for convenience if it deems such temination to be in the best interests of the government.

(e) Access to and use of information.

the performance of this. contract obtainsIfacces(s)to the contractor in 1

information, such NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. (.93-579), or data which has not been released to the public, the cohtractor agrees not to: (1) Use such information for any private purpose until the information has been released to the public; (ii) compete for work for the Comission based n.

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7590-01

.on such inforation for a period of six (6) months after either the completion of this contract or the release of such inforination to the public, whichever is first, (iii) submit an unsolicited proposal to the government based on tuch information until one year after the release of such information to the public, or (iv) release the infonnation without prior written approval by the contracting officer unless such information has previously been released to the public by the NRC.'

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

, Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions placed on use of the information.

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

h (f) Subcontracts. Except as provided in 41 CFR 320-1.5402(h), the i contractor shall include this clause, including this paragraph, in i subcontracts of any tier. The terms "contract," "(.ontractor," and "contracting officer," shall be appropriately modified to preserve the government's rights.

1 (g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest req.. ired 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 perinitted by law or this contract.

(h) Waiver. A request for waiver under this clause shall be directed in writing through the contracting officer to the Executive i Director for Operations (EDO) in accordance with the procedures outlined ini20-1.5411.

I 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 af ter obtaining a waiver in accordance with 520-1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror m y negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction. These provisions include but are nat limited to:

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7590 01 l

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(1) Hardware exclusion clauses which prohibit the acceptance of productionby performed contracts following a related nonproduction contract previously the contractor; (2) Software exclusion clauses; l

(3) Clauses which require the contractor (and certain of his key personnel) to avoid certain organizational conflicts of interest; and  ;

(4) Clauses which provide for protection of confidential data and guard against its unauthorized use.

(b) The following additional contract clause may be included as i

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

(i) Follow-on effort. (1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of work under this contract. Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perform any technical consulting or unagement 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 I involved in the development or marketing of such products or services. I (2) If the contractor under this contract prepares a complete or I i

essentially coe91ete statement of work or specifications, the contractor i

shall be ineligible to perform or participate in the initial contractual '

I 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 of fering or selling its standard corrrnercial items to the government.

s.20-1.5406 Ivaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of 120-1.5404(b) 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 of ficer shall either:

(a) Disqualify tne offeror from award, 10

O I

7590-01 '

4

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(b)

Avoid or eliminate such conflicts by appropriate measures; or (c)  !

Award the contract under the waiver provision of I20-1.5411.

520-1.5407 Conflicts identified after award.

If potentini organizational conflicts of interest are identified 1 officer determines that such conflicts do, in factafter award  ;

would not be in the best interests of the governmen,t exist and to terminate that it the contract as provided in the clauses required by $20-1.5405, obtaining a waiver in accordance withofficer will take every reasonaj 520-1.5411, neutralize the effects i

of the identified conflict.  ;

520-1.5408 (Reserved) 520 1.5409 (Reserved) l 620-1.5410 Subcontracts i

The contracting officer shall require offerors and contractors to submit ~a representation statement in accordance with subcontractors and consultants. The contracting officer 120-1.5404(b) from shall require i ,

the contractor in consultant to include agreements contract clauses or subcontracts involvinginperformance accordance with s 20-1.

of work under a prime contract covered by this subsection, i20-1.5411 Walver in the first instance, determination with respect to the need to a officer with the advice and concurrence of the program off p

and the Office of becutive Legal Director. Upon the reconnendation of y 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 so. that it is in the best interest of the United States to do i

Such action shall be strictly Itmited 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 l

' employed by NRC to neutralize the conflict. For any such waivers, the justification and approval occuments shall be placed in the Public Document Room.

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7590-01 520-1. 5412 Remedies  ;

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 Washincton. 0.c this 27th day of March 1979.

For the Nuclear Regulatory Comission S

CCtuudh bhuk

. Samuel . Ch11k Secretary of the Comission

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ATTACHMENT 3 Form NRC 489 (1-75)

U. 5. NUCLEAR REGULATORY COP 9415510N NRC MANUAL l TRAN5NITTAL NOTICE CHAPTER NRC 3202 PUBLICAllDN UF UTiCLA551FIED RLGUL AIUNT MU (LLHM 00CtNENTS PREPARED 8Y NRC CONTRACTORS. INCLUDING REP PREPARED UNDER OR PUR$UANT TO INTERAGENCY AGREEMENTS SUP E R SEDED:

TR ANS MITTED:

PAamber Dete PAamber Date TN_ 3200-3

( Chapter Chapt e r NRC-3202 1/25/78 l

Page _ ----

Page 3 Appendia Appendix NRC-3202 1/25/78 i

R E MA R KS:

This chapter and appendix establish responsibilities basic requirements, standards and procedures for the documentation, production and dissemina-tion of regulatory and technical reports prepared by NRC consultants and by NRC contractors and their subcontractors. including reports prepared under or pursuant to interagency agreements.

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U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL l Volume: 3000 Infersation and Foreign Activities Part : 3200 Technical Information and Secument Centeel AOM.

. Chapter 3202 PUSLICATION OF UNCLAS$1FIEI REGULATORY AND TECHNICAL 3 00CUMENTS PREPARED BY NRC CONTRACTORS, INCLVOING REPORTS I PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I~

l 3202 01 COVERAGE This chapter and its appendix handbook establish responsibilities, basic requirements, standards and procedures for the documentation , ,

j production and dissemination of regulatory and technical reports prepared by NRC censultants and by NRC contractors and their subcontractors, including reports' prepared under er pursuant to interagency agreements.

These reports are hereafter referred to as contractor documents. This

[

chapter does not cover NRC staff generated documents, environmental a impact statements, NRC docket material, er the documents generated by 1

NRC boards, panels and advisory committees.

3202 02 OBJECTIVES 021 To assure production of information and reports as required by the Energy Reorganization Act of 1974 and the Freedom of Information

Act.

022 To assure that dissemination of regulatory and technical docu-ments is consistent with requirements for public availability of information

_ on the regulatory process.

023 To assure that national security, patent rights, copyrights, and commercial proprietary rights are not compromised by the release, distribution, or dissemination of information from the NRC.

024 To assure that formal NRC contractor documents will carry the registered NRC designation NUREG as the prime identification.

3202 03 RESPONSIBit.lTIES AND AUTHORITIES 03 The Director, Office of Administration, develops and main-tain s , in censultation with Directors of Offices and Division s , NRC standards, precedures and guides for the pr+ duction and dissemination of regulatory and technical contracter documents.

Approved: January 25, 1978 5

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NRC-3202 032 PU6LICAT10N OF UNCLAS$1FIED REGULATORY AND TECHNICAL 00CtHENTS PAT.PARIO BY NRC CONTRACTORS 032 The Director, Control: Division of Technical informatirn and Document a.

develops and administers a central document control system for identifying, printing and distributing contractor documents and responding to requests for them.

b, develops and maintains guides and standards for the documentation, sale of contractor documents, formatting, printing, dissemin3 tion, and public c.

essures that a system exists for review of contractor documents for adherence to patent, copyright and security policies prior to dissemination.

1.

establishes and administers interagency agreements necessary for the dissemination and public sale of contractor documents and controls the duplication and printing of contractor docu-ments to assure adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the United States. ,

e.

establishes distribution data banks, maintains official standard distribution lists for automatic distribution of contractor documents, and controls distribution to assure adherence to the Government Act (Title 5, U.S.C. Printing).and Binding Regulations and the Privacy 033 Directors, Offices and Divisions:

a.

establish the contract or Standard Order for work' provisions, including those required by this chapter and its appendix; Chapter NRC 3203, Distribution of Unclassified NRC Staff

• and Contractor Generated Documents and its appendix; Chapter N R C-0260, Printing and Related Activities and its appendix; and NRC Bulletin 1102 6, Procedure for Placement of work with DOE (to be issued), in those provisions:

(l) specify what documents will be reviewed for policy, man-agement, regulatory and legal issues by NRC staff in draft prior to printing and distribution, if the document is to be reviewed by NRC sta f f, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draft, including the type of disclaimer to be used in addition to the standard government disclaimer (see Exhibit 6).

'In the case of DOE work, this is NRC Fcem 173, Standard Order for DOE Work.

Approved: Ja nuary 25. 1978

PUBLICATION OF UNCLA551FIED REGULATORY AND

_ TECHNICAL 00CUMENTS PREPARE 0 BY NRC CONTRACTORS NRC-3202-034 (2) provide for the reviews necessary to insure that the na-tional security, patent rights, copyrights, and commercial proprietary rights are not compromised by the release or dissemination of documents, authorized to make the review,ifdesignate the contractor is to be the contractor officials who are authorized to sign NRC Form 426 prior to NRC distribution of documents.

(3)

' specify that all formal documents carry NUREG numbers as the prime identification, as illustrated in the appendix, and in thethat interim documents include the title page indicated appendix.

(4) specify whether for. mal documents shall be printed by NRC or the contractor federal if the printing plant (seecontractor appendix, has part a lil).JCP authorized (5) specify thatby distributed allNRC.

formal documents required by NRC shall be (6) establish the number of copies the contractor may retain or request charge for NRC.

against internal and external distribution and vided to the NRC JCP representative when the number ex. Wri ceeds the 50 copies. authorized by JCP.

b.

the reproduction and distribution of documents. assure adherence c.

recommend standard distribution category (ies) and provide standard and incidental distribution lists for contractor documents information and toDocument the Contractor Control. and the Division of Technical

d. provide changes to the official standard and incidental dis-tribution lists to the cor, tractor and the Division of Technical Information and Document Cmtrol.

034 gal review Director, office of the En eeutive Legal Director, provides le-patents, and use of copyrighted mate rial.and advice to NRC staf.' on questions reg 035 t provides review of documents to assu.e that Director, olvision of secu Ity, release. national security inte ests are not compromised by the 036 Director, Division of Conteg:

t.

coordinates the flow of att documents to and from contractors

where such documents may result in alterations in the terms

and conditions of applicable contracts as they partain to docu-ment production and distribu

ion.

Approved: January 25. 1978 i

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NRC 3202 04 PUBLICATION OF UNCLAS$1FIED REGU b.

TECHNICAL 00CtMENTS PREPARE advises the contractor ob taini.ig documents performance of the contract.

required from as the to the government for source and m c.

3203 and 0260, when ppropriate.provides contractor wi ,

d.

, . determines and subsequent that requests contracts for proposals and invitations s for bid awarded require compliance and Binding Regulations, with Chapter when appropriate. NRC 3202 andcontractor the Governmen 3202 04 DEFINITIONS 8 041 camera ready copy - copy ready for printing.

quial term may not of long standing that is used even though This is athe collo- printin involve the so called g process reproducible masters). copy camera (see also 042 central document control system -

means for developing and produce regulatory and technical documents an requirements distribution. and standards for documentation, formatting ~

, printing and e to 043 financial commercial information proprietary richt - trade secrets and commercial or obtained from a confidential. person and privileged or 044 the provisions of a contract agreement.

~

a document or unde'r preparedor in pursuantcontractor accordance with do to an interagency 045 (as by writing or~ printing),copyrioht publish and "the exclusive, legally secured right literary, musical Dictionary). or artistic work. .." sell the matter and form of (Webster's Third International k permission of the author or publisher. Copyrighted material may not be '

046 make them availableTor free distribution, sale or copyin 047 individuals to assure participation in the regulatory of research and technological investigations.

Such distribution may be accomplished and maintained by bythethe use of standard distribution data banks established Division of Technical Information .and j

'words underscoFed in definitions are also defined in list.

Approved: January 25. 1978 1

q r PU6t.! CATION 0F UNCLASSIFIED REGULAT0ftY AND -

TECHNICAL 00CUMENTS PREPARED 8Y NRC CONTRACTORS NRC 3202 048 (

Document Control based on the requests of the ori0 inating office or I Division.

l 048 document - a printed record or copy thereof (see also report). l 049 documentation - includes classification and associated required -

markings, the NRC document number unique to the document, title (and subtitle, if any), author or correspondent (if any), organization identifi-cation and contract number (or interagency agreement number), date and availability.

0 410 format contractor documents - regulatory and technical docu-ments that record the results of contractor or interFjency agreement work at principal points in the program. Such documents may include, but are not limited to, quarterly and annual progress reports and final reports.

Prior to publication, these documents shall have received the reviews and approvals required by NRC. Such reviews and approvals shall include, but not necessarily be limited to, patent review (if applicable) and security review (if applicable). These reports will carry NUREG designations as the prime identification.

0 411 interim contractor documents - regulatory and technical docu-ments prepared in accordance with contract or interagency agreement re-quirements for recording plans .?d results during the course of the work. Such documents may include, but are not limited to, Informal progress report s , quick look reports , data reports , status summary reports, project descriptions, pre-test predictions, model verifications, experiment safety analyses, experiment operating procedures, facility certification reports, and test result reports.

( 04l2 NRC program or project sponsor -

the NRC individual l

responsible for the performance of a consultant or a contractor and his subcontractor or work performed under or pursuant to an interagency y agreement.

h*

0 413 patent review -

review by legal staff to assure protection rights in inventions.

0 414 publicly available documents - documents which are available in the NRC Put> tic Document Room (POR) for public inspection and copying.

0 415 reouf atory and technical documents . documents that have been prepared in support of regulatory investigations and are to become pybfiely available records. Such documents shall carry unique i

iden tific ation.

04t6 report a regulatory or technical document that is to be printed and disseminated which carries the bibliographic documentation required for storage and retrieval.

0 417 reproducible masters camera ready gopy which includes (l)

, originals of line drawings (or prints that can be copied), (2) glossy Approved: January 25, 1978 l 4

)

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i NRC 3202 0418 PUBLICATION OF UNCLA55!FIED REGULATOR

_ , TECHNICAL DOCUMENTS PREPARED BY NRC CONTRAC i

l prints of black and white photographs (colored photographs cannot be

' reproduced), (3) original typed or printec: text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (I),  !

(2) and (3) that are acenptable to a printer who will guarantee to lines). reproducible copy therefrom (see appendix, part IV, for guide-prepara 0418 unique identification

• NRC identification used on a document

and its other attachments, revisions, and supplements that is not used on any document.

3202 05 BASIC REQUIREMENTS

• OSI Applicability.

'she provisions of this chapter and its appendix ciuding those working under interagency agreements, w Quire the preparation of regulatory and technical documents. Because of the unique requirements of NRC boards, panels and advisory committees which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Committee Management Officer. Panel Chairman and, in the case of adv 052 Forms. NRC Form 426, Formal NRNff, Consultant and Contractor fleports " (Exhibit 5) shall" be used as provided in the appendix.

053 Appendix 3202. Standards, procedures and methods for '

managing tne procuction and dissemination of contractor documents are l contained in the appendix to this chapter.  ;

054 Preparativn Requirements, f

a.

Documents to be Printed by NRC. All contractor documints to l

be printed Dy NRC shall be prepared according to Appendix 3202.

The reproducible masters for the requisite distribution shall be transmitted to the Division of Technical information and Document Control by the NRC program or project sponsor or the authorized contractor official.

I

' b.

Documents Printed by Authorized Federal Printino Plants or Duplicated by a Contractor.

printed All contractor documents to be l or cuplicated by the contractor (as specified by the contract, agreement, or standard order for work) shall be pre-pared according to Appendix 3202, and a reproducible master and sufficient copies for standard and incidental distribution shall be suppfled to the Division of Technical Information and Document Control accompanled by completed NRC Form 426 signed by the NRC program or project sponsor or the authorized contractor official.

Approved: Ja nuary 25. 1978 l

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PUBLICATION OF UNCLA551FIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC 3202-055 055 References. The NRC manual chapters referenced are available from the Division of Technical information and Document Control. The other citations are available from the Government Printing Office.

a. Chapter NRC 0260, "Printing and Related Activities."

b. Chapter NRC 2101, "NRC Security Program."

c. NRC Appendix 2l01, Part lit, "Control of Classified Information and Documents."

1 d. NRC Appendix 2101, Part Vill, "Physical Protection of Classified j

NRC Facilities and Matter."

e. Chapter NRC 3203, "Distribution of Unclassified NRC Staff- and Contractor Generated Documents."

f. NRC Bulletin ll02 6, "Procedyr e for Placement of Work with DOE" (to be issued).

I l; g.

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

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

l i. Ti tle 5, U.S. Code.

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i Approved: January 25, 1978 I

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3r PUBLICATION CF UNCLA551FIED REGULATORY AND TECHNICAL  !

DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLVOING REPORTS l PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 l CONTENTS PAGE ,

PART I FORMAL CONTRACTOR DOCUMENTS T0 8E PRINTED BY NRC....... 1 A. DOCUMENTATION.................................. I

1. Applicab(11ty............................. I

2. Front Cover and Title Page................ 1 J. Availability Inforsation.................. 3

4. 01sclaimer................................ 3

5. Abstract.................................. 4

8. PATENT AND SECURITY REVIEW 5.................... 4

1. Patent Review............................. 4

2. Security Review........................... 4 C. PROCEDURES FOR PRINTING OR DUPLICATING AND 015TRIBUTING................................... 5

1. Printing or Duplicating................... 5 l

2. Reprinting or Reduplicating............... 5

3. Di stribution of Documents. . . . . . . . . . . . . . . . . 5 i

ERN! BITS

]

i

1. Sample Cover for Unclassified Formal Contractor-Prepared Documents, Excluding Those Prepared Under or Pursuant to Interagency Agreements...................... 6

2. Sample Title Page for Unclassified Formal Contractor-Prepared Documents, Excluding Those Prepared Under or Pursuant to Interagency Agreements...................... 7

3. Sagle Cover for Unclassified Formal Reports Prepared Under or Pursuant to Interagency Agreements. . . . . . . . . . . . . 8

4. Sample Title Page for Unclassified Formal Reports Prepared Under or Pursuant to Interagency Agreements.... 9

5. MRC Fors 426, Publications Release...................... 10

6. Ol s c l aime r and Av a i l abil i ty S ta t eme nt s . . . . . . . . . . . . . . . . . . 11 PART 11 INTERIN CONTRACTOR DOCUMENTS 70 BE PRINTED BY NRC QR AN AUTHOR!!ED FEDERAL PRINTING PLANT OR DUPLICATED B Y A C O N T RA C T O R . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 A. 00CUMENTAT10N................................. 13

!' i. A,,ucabnity............................ i3

2. Title Page....................... ....... 13 i Approv ed: January 25. 1978 l

--,--.- -. e,-. ,,.y..,.e _ , , - , w,,-- , ,,,,,-._,.,,.-,m, - . , - -- - - - , , , . . . , . , - - ,-g.,- -, --.--,-g ---- ,

NRC Appendix 3202 P188LICAT10N OF UNCLA$51FIED REGULAT TLCHNICAL DOCUMENTS PREPARED BY N CONTENTS f

B.

E PATENT AND SECURITY

.. REVIEWS.................... 13 P 1.  :

Patent Review......

i 2. $scurity Review.... ......................

13

3 14 C.

PROCEDURES FOR PRINT DISTRIBUTING. . ..........................

. . . . . . .ING OR DUPLICATING 14 AND 1.

2. Printing or Duplicating................... 14

3. Distribution of Documents Printed by NRC.. 15 Distribution of Docum Contractor...........ents Duplicated by

..................... 15 EXHIBIT 7.

Sample Title Page for Interie Contr 8e Made Fablicly Available. . .. .. . . . actor Documents To

...................... 16 PART !!! FORMAL DOCUMENTS 10 BE PRINTED UNDER OR PUR 10 INTERAGENCY AGREEMENTS BY AGENCIES WITH JCP AUTHORIZED FEDERAL PRINTING PLANTS. ................ 17 A

DO C UM E N T A T I ON . . . . . . . . . . . . . . . . . 17. . . . . . . . . . . .

'f; 1.

2.

Applicability............................. '17 Front Cover and Title Page................ 17

3. Avai16bilit 1 4 Disclaimer.y and Price inforsation. . . . . . . . 19

............ .................. 19 5.

f 6

Abstract............... .................. 20

, i

8. PATENT AND SECURITY REYlEV3.................... 20

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

i 2. Security Review............ .............. 20

!i

.............. 10 s

C.

PROCEDURES FOR PRIHTING AND 0!$TRIBUTING....... 20

' 1. Printing............ 20

2. Reprintig...............................

3. ........ ... ........ 20  ;

Dis tribu t ion o f Doc ument s. . . . . . . . . . . . . . .21. . '

PART IV GulDELINES FOR PREPARATION 0F KANUSCRIPI' AND '

f REPRODUCIBLE KASTERS TO BE PRINTED BY NRC.23. . . . . . . . . . .  !

, A.

1 INTRODUCTION................................... 23 t

Approved: January 25, 1978 10 l

6 PUBLICATION OF UNCLA$$1FIED REGULATORY AM0 TECHNICAL DOCWENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202

_ CONTENTS PACE

8. ORDER OF ELEMENTS IN A REP 0RT.................. 23 C. FRONT MATTER................................... 24

'I

1. Cover. Title Page and Disclaimer....... 24

2. Abstract.................................. ... 24

3. Guides for Preparing an Abstract.......... 25

4. 5 uarna r.y . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. 25

5. Table of Contents and Page Numbers........

25

6. List of Figures........................... 26

7. List of Tab 1es.................. 26

8. Preface................................... .......... 26

9. Acknowledgments........................... 26

10. Previous Reports in Series..,............. 26 Exhibit 8 - Table of Contents............. 27 Exhibit 9 - Table of Contents Using Numbers and Exhibit 10 0(cimals.................... 28 Table of Contents for Con-forence Proceedings..................... 29 j 11. Abbreviations and Symbols.................

1 30

0. TEXT........................................... 30

1. Title of Report..................... ..... 30 2.

3.

Introduction...................... 30 Paper..................................... ........ 30 1

1

4. Typing Instructions....................... 30

5. Image Ares............................. .. 30

6. Page Numbering..................... ...... 30 7 Photocopied Text.......................... 31

8. Footnotes................................. 31 E. BACK MATTER.................................... 31

1. References................................ 31

4. Format............................... 31

b. Availability Requirement............. 32

c. Proprietary and Classified Documents. 32

2. Bibliography.............................. 32

3. Appendix.................................. 33

4. G l o s s a ry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

5. Olstribution List................. ....... 33 111 Approved: January 25. 1978 u

f I

NRC Appendix 3202 PUBLICATION OF UNCLA551FIE"O REGULATORY i . TECHNICAL DOCUMENTS PREPARED BY NRC CO l _ CONTENTS

{

PAGE '

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F. GRAPHIC AND T G ULAR l

MATTER..................... 33

l. Tables....... '

2. Figures...... ............................

33

3. Photographs....... .....

....................... 34

, 4. Spec ia l G raphic s . . . . . . . . . . . . . . . . . . . . . . . . . 34

! ................. 34 G. ,

1 EXAMPLES OF REFERENCE CITATIONS................

34 1.

2.

Correspondence.......................

Internal Papers...................... .... 34

3. .... 34 Personal Connunications; Private Coseunications; Notes Re

4. Procedures Manuals......garding Visits.... 35

5. .................. 35 Government Agency Printed Documents and Orafts of Documents to be Printed that Have Been Made Available to the Public '

6. f o r C oome n t . . . . . . . . . . . . . . . . . . . . . . 35 .........

NRC Contractor Reports and Reports Pre-

7. pared on Interagency Agreements. . . . . . . . . . . 36 i NRC Applicant Document.........

8 8. Project Documents.............. .......... 36 i 9. Licensee Document

.......... 36 l 1. 8coks............s........................

36 36 l'. Con fe renc e Pape r s. . . . . . . . . . . . . . . . . . . . . . . .

I +i 1. ................... 36 Journal Articles, Ma l Newspaper Articles..gazine ........

Articles,

13. ............. 37 i University Theses........... ... ......... 37 14.

Codes and Standards.............

......... 37 f

i Approved: Ja nuary 25, 1973 g,

l PUBLICATION 0F Ui4CLA551FIED REGULATORY AND TECHNICAL.

DOCUMENTS PREPARED BY MRC CONTRACTOR $, INCt.UDING REPORTS NRC Appendix 3202 PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This appendix provides standards and procedures for the documentation, production and dissemination of regulatory and

- technHal documents that are to be made publicly available 6nd are prepared by contractsrs or other government agencies in accordance with contract requirements or interagency j agreements, it is presented in four parts: Part 1 - Formal Contractor Documents to be Printed by NRC, Part ll - Interim Contractor Cbcuments to be P-inted by NRC or Duplicated by Contractor, Part 111 - Formal Documents to be Printed Under or Pursuant to Interagency Agreements by Agencies with JCP Authorized Federal Printing Plants, and Part IV Guidelines for Preparation of Manuscripts and Reproducible Copy to be Printed by NRC.

4 i PART I FORMAL CONTRACTOR DOCUMENTS TO BE PRINTED BY NRC A. DOCUMENT ATION

1. Applicability e

a. The requirements of this part apply to contractor and in-teragency agreement documents that are to be printed by NRC. Contractors, other than 00E laboratories with authorized federal printing plants, may not print reports prepared for NRC.

)

b. With respect to classified documents and documents "For Official Use Only," the requirements set forth in this part

' shall be used in conjunction with Chapter NRC 2l01.

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

(

2. Front Cover and Title Pace

a. Separate covers and title pages are required (see Exhibits I and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements).*

' Reproducible copy of the cover of the performing organization may be submitted; however, the data elements shown in Exhibit I must be it cluded.

1 Approved: January 25, 1978 l

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.AF NRC Appendix 3202 PUBLICATION OF UNCLA551FIED REGULATORY AND

TECHNICAL 00CLMENTS PREPARED BY NRC CONTRACTORS !

P

b. The items shown in Exhibits I through 4 and discussed i below shall' appear on the title page and cover, as appropriate.

• (l) NRC Document Number. Each document shall be i identified by an NRC controlled aiphanumeric number h as the prime number unique to that document. The s centralized document control system for unique

}h identification is maintained by the Division of

• Technical information and Document Control. .

Numbers may be obtained by calling Division of k, Technical Information and Document Control or ,

submitting a copy of NRC Form 426 (Exhibit 5) with a {

(' . request for a number. ,

The NRC identification number will have the form:

/

NUREG/CR 1234 j The contractor's report number, if any, may be in-sorted below the NUREG number on the title page and I-cover, as shown in Exhibits I through 4 ,

When a document consists of more than one volume or 1 i binding or is issued in more than one edition, an appropriate volume, suppfement, part or revision de-

! 3 signation shall appear immediately below the report number.

7 (2) Title and Subtitle t' (a) Use a brief title that indicates clearly the subject matter ; overed in the document.

(b) When a document is prepared in more than one 1

volume, repeat the primary title'on each volume.

(c) If appropriate, show the type of document l j 4 (e.g. , annual report, final report, thesis, etc.)

1 ,

and the period covered as part of the subtitle.

l l (3) Personal Author (s)' Name(s). Authors' names should be given on the title page and cover unless this is

}1 -

e impractica:, as in the case of annual reports which have many contributors. If authors' contributions 2,re as editors, compilers, etc., so indicate on title i l

• These requirements meet the specifications of American National Standard 1 ANSI Z39.181974, Guidelines for Format and Production of Scientific and Technical Reports, and ANSI Z39.231974, Technical Report Numbers.

, Approved: January 25, 1978 2 i

1 1

^ ^

PutLICATION OF UNCLA551FIED REGULATORY A m TECHN1 CAL DOCUMENTS PREPARED BY NRC CONTRACTOR $

NRC Appendix 3202 cage following the names, in addition, list affiliation of each author only if affiliated with an bqanization other than the organization generating the cce,ument.

(4) Organization identification. On the title page and cover, provide information of the type lliustrated in Exhibits I through 4.

(5) Basis for Report Date(s)

(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date document com-plated, date reviews completed, date published, date distributed, etc.

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

3. Availability Information All formal documents will be made available for safe by NRC and by the National Technical information Service (NTIS). The following statements will be inserted on the inside of the front cover (Exhibit 6) by the Division of Technical Information and Document Control:

Available from U.S. Nuclear Regulatory Commission washington, D.C. 20555 Available from National Technical Information Service (NTIS)

Springfield, Virginia 22161

4. Disclaimer The following notice will be added during the printing step on the insice front cover (Exhibit 6): "This report was prepared as an account of work sponsored by an agency of the United States Government. Neither the United Stcts Government nor any agency thereof, or any of their employees, makes any war-ranty, 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 l

disclosed in this report, or represents that its use by such third party would not infringe privately owned rights." The following additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate.

3 Approved: January 25, 1978 l

l l

1

)

h NRC Appendix 3202 PUBLICATION Or UNCLA551FIED REGULATORY AND TECHNICAL DOCtMENTS PREPARED BY NRC CONTRAC10R$ i

. l I

5. Abstract l )

An abstract of 200 words or less shall be prepared for each formal document, if the abstract is included in the cocument,

• it should appear on a separate page between the table of con- ,

tents and the text.'

)l

8. PATENT AND SECURITY REVIEWS 1

i Patent Revivw g

Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely af'act the patent rights of NRC or the contractor. If the work being reported is contractuahy managed through another government agency (e.g., DOI laboratories), that government l agency should be requested by the contractor to perform the -

i patent review. The result of such review shall be reported on  !

NRC Fonn 426 in item 11 (Exhibit 5).

)

e If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency.

administering the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC program or

' project sponsor shall consider the patent implications, if there is no need for patent review because of the certainty that the

, document contains no description of novel techn; gal l developments which may be of an inventive nature, NRC Form i

426 may be completed with the statement "not applicable" or "N/A" in the space for the Patent Counsel's signaturG. If there is a possibility that there is disclosure of developments of an I

inventive natura, the contracting officer shall request assis-tance from the NRC Patent Counsel, Office of the Executive Le-

! gal Director.

2. Security Review I

In most cases, contractor reports will be unclassified. Should a l<

i L

report of classified work be required, however, the NRC program or project sponsor must work with the NRC Division of Security to establish the appropriate classification procedures  !,

and inform the contractor of such procedures through the

{ contracting officer. .-

9

'This preferred positioning of the abstract in the document need not be ,

followed if the style raanual of the originating organization requires a  ;;

q different location.

)1 i

1

Approved

January 25. 1978 4 1

6 l

l l

i PO8LICATION OF UNCLASSIFIED REGULATORY Am TECHNICAL DOCUMENTS PREPARF0 BY NRC CONTRACTORS NRC Appendix 3202

' C. PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING

l. Printino or Duplicating Reproducible masters prepared in accordance with this appendix

• shall be transmitted to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426 (Exhibit 5). NRC Form 426 must be signed by the NRC program or project sponsor or the authorized

)

contractor official. The Division of Techritcal Information and i Document Control will review the masters for adherence to the I standards set forth in this chapter and appendix and will 4 arrange for printing and distributing the document.

Unsatisfactory masters will be reported to the program or 1 project sponsor for appropriate contractual action by the l contracting officer or, in the case of government agency or interagency agreement work, the publications manager of the performing organization.

2. Reprinting or Reduplicating Requests for reprinting or reduplicating any document subse-quent to the initial printing or duplication require approval of the Division of Technical information and Document Control.

Each request shall include a written justification for the re*

l printinr3 or reduplicating and a list of recipients and tneir complete addresses.

3. Distribution of Documents l All copies of formal contractor documents will be distributed by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426 (Exhibit 5). .

l .

If any distribution is to be made other than, or in addition to, j the standard distribution established for the document, written justification for printing or duplicating additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control.

The final pages of the reproducible masters shall be the dis-tribution list.

l l

"For guidelines, see part Ill.

l 7

5 Approv ed: January 25, 1978 n

l

\ l b.

W

_ _ _ _ _ _ . _ . . _ - - _ _ _ _ _ . . . _ _ ~ _ _ _ _ _ _ _ _ _ . . _

m-NRC Appendia 3202 ft 0 W CTORS EXHIBIT 1 i

SAWLE C0VER FOR UNCLAS$1FIED FORMAL CONTRACTOR PRE i l 00CLMENTS, EXCLUDING THOSE PREPARED (MDER OR PUR$UANf 70 I

f IMTERAGENCY AGREEENTS '

r l

) '

NACA m W.

{(' :.- Coattomer Report he. W asyl musserenasta

, vw ewt.nn...u. w any Wcu.sme.mt

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" LMF8R FUEL ANALYSIS TASK 5: POST ACCIDENT HEAT REMOVAL L

3dette and Type of Aeport (Anawal. Teksei. ets.)

MI RM*ft October 1,1976 September M, Itn wg,3 J cwee n.c.oewea4ee  ;

J. M. M c D emovg4 1. Cettes Centeesser Uab,orest, of Comemas. Lee Aageese

1. E  % wee w W. s. mwneer Regeneteer commaneaea 1

1 Approved: Janutry 25e 1978 6

?

1 i

! b  ;

1 y

d i.

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I I

PU8LICATION OF UNCLAS$1FIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 E1HIBIT 2 ,

SWILE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR.

PREPARED DOCW4ENTS. EXCLUDING THOSE PRIPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report N*.

Coat,ocev Repert No. Df savl Vol., Pvt. R se.. ets. (d sayI ,,,,e,,,,

petribution Category No. Of say1 wSaimermi Tm LMTBR FUEL ANALYSIS TASK 8: POST. ACCIDENT HEAT REMOVAL Swhtitk sas Type of Report rw me .,,

(Anawa Tep. cal, ns.) cetonw t, ters seeiems., m, terr Awtheelsl, E6ter(s), # h Campiktial. Ms.

Report Data sad Bes** ~OD D 0,'n' Centrecee Nwas er.d Aderns

1. 'Lu "* w"c 8' **"

A NRC Sporeersh9 w an gi*C %

wRe c.nessi me. D=DD P.

N b

7 Approved: January 25e 1978 k

Y 1

_ _ _ _ . _ _ . _ _ . . . . . - _ _ _ _ _ _ _ . _ . _ . _ _ _ , , . _ _ _ _ ___..,__.-._,_.__m._,___ , , . _ , _ _ _ , _ _ _ _ . _ . _ _ . , . , _ -.- - ..__ 7

p. - -

NRC Appendix 3202 PUSLICATION OF UNCLA551FIED REGULATCRY Ale TECHNICAL 00CtMENTS PREPARED BY NRC CON

. EXHl81T 3 g{

SAMPLE C0VER FOR UNCLASSIFIED F08 MAL REPORTS PRE 1 UNDER OR PURSUANT TO INTERAGENCY AGREEltNTS 1

i. .

I' wac n t me.

c.au.a = n t w..in ,3 avasaa.use gaQ 4

vw. r ,t. n .. n in ,3 r,iw l

A CRITICAL EVALUATION OF THE

!  ! NONRADIOLOGICAL ENVIRONMENTAL I TECHNICAL SPECIFICATIONS 8 mite yh3 Psech Bottom Atomic Power Station unho2end s

W hl =a

. .s _m . l 90h aes c.aw.cw == nee w ,,"C i

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Approved: January 25. 1978 8 6-1

PutLICAfl0N OF UNCLA$$1FIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED SY NRC CONTRACTORS NRC Append {x 3202 l

EXHilli 4 I

SAMPLE TITLE PAGE FOR UNCLAS$1FIED FORMAL REPORTS PREPARED

. LPIDER OR PUR$UANT TO INTERAGENCY AGREEMENTS I .

NRC Report No.

l Centtwter Report No. (if errfl N $ ,',*, '* ,

l Vol.. Pert. Ree ete. W anyl 8 l7 *** 8 Distributen Category No. W anyl A CRITICAL EVALUATION OF THE T"

NONRAOIOLOGICAL ENVIRONMENTAL TECHNICAL SPECIFICATIONS veawme 3 M'N Peach Panem Aterres Power Staten Urete 3 enn 3 Autheelsi ,8*

• e c.

'a $ $

R..e,i o ne .ad se.e. g= g;,i., .e= ,

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and Addresses

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9 Approved: January 25, 1978  :

r

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D NRC AppeMix 3202 PUBLICATION OF LMCLA551FIED REGULATORY AND '

,4 , TECHNICAL 00CLMENTS PREPARED BY NRC CONl i

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e. e= e y . .se.,'. . . , .

s.v. . (,

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w. e see.r _see. _ .#. .ese.e e, e s.. p es.w. ( a.

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Approved: January 25, 1978 10 .

r --

PuttlCATION OF UNCLAS$1FIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTOR $ NRC Accendix 3202 EXHIBIT 6 Ol5CLA!ER AND AVAILABILITY STATEMENTS (BACK0FC0YER) f.0 TIC E -

tha , ,s .n ce . .a =c ai .e ,6 m.a ,w e,

.a .goac, of the UA.tc1 Sest. Gowmewat he.the, to.

va.i.e sma co.,wi a. m m, in. i. w .a, .:

ew we,.n. mein ev ..nriv. ... ni.e w w..e. .,

m- e, v i i.i, w e u.a .i, v. e, e. .,i, .

. w en. wis . ua . .e .a, wi.a. e .

9,.dwtl ., Dr cess SittW e the e.gort. ., e p . teale tMM eti ve. 6, uh thes p.ei, easts a.t anheagt pra8W, emmd e.ines ta.. w ..wn e.ain... ,inea.i,= .,in .ee.

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4. . %

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.-, o e saiu A wastee been ILeteme T.6hame.at lates*wsom its% are w~r.e vm wai 11 Approved: January 25. 1978

PU8LICATION OF UNCLAS$1FIED REGULATORY AND TECHNICAL 00CLMENTS PREPARED SY NRC CONTRACTORS NRC Appendix 3202 PART ll lNTERIM CONTRACTOR DOCUMENTS TO BE PRINTED SY NRC OR AN AUTHORIZED FEDERAL PRINTING PLANT OR DUPLICATED BY A CONTRACTOR A. DOCUMENTATION

1. Applicab3Ity

a. The requirements of this part apply to contractor docu-ments that are to be printed by NRC or an authorized l

I Federal printing plant or duplicated by a contractor.

b. With respect to classified documents and documents "For Official Use Only," these requirements shall be used in conjunction with Chapter NRC 2l01.

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. Title Page

a. A title page is required for each document. This page may be typed on plain bond and attached to the document,

b. The items shown in Exhibit 7 and discussed below shall appear on the title page. While the layouts and typefaces

' need not be exactly the same as in Exhibit 7, the items shall appear in approximately the locations indicated.

h (1) NRC Accession Number. Each document to be made

' publicly available will be given a number unique to that document by the Division of Technical Informa-tion and Document Control.

(2) The other title page items are self explanatory or are explained in Exhibit 7.

c. The title p6ge shall be marked "Interim."

8. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not 6dversely 13 Approved: January 25, 1978 l

l

---+---M-- e mow e,a\p e w m ,myp- pqw ye-- gm-m w---s,--mw q

NRC Appendix 3202 PU8LICATION OF UNCLA551FIED REGULATORY AND TECHNICAL 00tVMtMT , PtiPARfC BY NRC CONTRACTORS

[

affect the patent rights of NRC. If the work being reported is contractually managed through another government agency (e.g., DDE laboratories), that government agency should be

. requested by the contractor to perform the patent review. The result of Juch review shall be reported on NRC Form 426 in item II (Exhibit 5).

If NRC directly administers the contract or the ccntractor is unable to obtain a patent clearance from the government agency i

administering the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC program or project sponsor shall consider the pater.t implications, if there is no need for patent review because of the certainty that the document contains no c;escription of novel technical developments of an inventive nature, NRC Form 426 may be completed with the statement "not applicable" or "N/A" in the space for the Patent Counsel's signature. If there is a pos.

sibility nature, that there is disclosure af developments of an inventive the NRC contracting officar shall request assistance Director , NRC Patent Counsel, Office of the Executive Legal from the l

2. g curity Review S i f

in most cases, contractor reports will be unclassified. Should a project of classified work be required, however, the progran or report sponsor must work with the Division of Security to establish the appropriate classification procedures and inform '

the contractor of such procedures. F j

C. PROCEDURES FOR PRINTING OR DUPLIC A e .NG AND DISTRIBUTING

l. P_rintino or Duplicatino. Interim documents may be printed by NRC or an authorized Federal printing plant or duplicated (as defined by the Joint Committee on Printing, JCP, U.S.

Congress)* by the contractor. If to be printed by NRC, the

'duplicatinQ

• as defined by JCP, means that material produced by use of single unit duplicating equipment with an image area not larger than 11 by 17 inches and which has a maximum image of 10 3/4 by 14 inches: provided that work exceeding 5,000 production units of any one page, and work exceeding 25,000 production units in the aggregate of multiple pages, sha'. not be done without authority of JCP. Any work exceeding the

' limits stated above and requiring equipment other than that listed as duplicating equipment in the Government Printing and Binding Regula-tions must be approved by JCP or requisitioned by the Division of Tech-nical information and Document Control.

Approved: January 25.108 14 4

I

PutLICATION OF UNCLASSIFIED REGULATORY AHO TECHNICAL DOCUMENTS PREPAR(0 BY NRC CONTRACTORSNRC Appendix 3202 reproducible masters of the document, acccmpanied by a com-plated NRC Form 426, must be sent to the Division of Technical Information and Document Control.

2. Distribution of Documents Printed by NRC. The masters of documents to be printed by NRC shall include a list of those to whom the document is to be distributed, complete with organi-zation address and Zip code, or a standard distribution list shall be specified if an applicable one exists.

3. Distribution of Documents Duplicated by Contractor. Interim documents duplicated by the contractor snall be distributed by the contractor or the Division of Technical information and Document Control. If to be distributed by NRC, the necessary copies and a list of those to whom the document is to be dis-tributed, complete with organization address and Zip code, and a completed NRC Form 426 shall accompany the documents when sent to the Division of Technical Information and Document Control; a standard distribution list may be specified if an applicable one exists.

if distributed by the contractor, two copies of the document shall be sent to the Division of Technical information and Document Control, along with a list of those to whom copies were distributed and a completed NRC Form 426. An accession number will be assigned before the document is sent to the NRC Public Document Room. A copy of the NRC Form 426 wih be returned to the contractor with the accession number assigned.

l l

[ '

15 Approved: January 25, 1978

_ . _ _ _ .__ _ _ . _ _ _ _ _ - - - --'-~ ~ ' ~ ~~ '

EXHIBIT 7 1 AMPLETOTITLE PAGE FOR INTERIM CONTRAtt0R DOCUM BE M PUBLICLY AyA;LAstg

)

Assemen s6e. estu m ascoat fWitt be added by IsmCl Ceatrwiev Repwt see, 1 h he - '

Trew of Proyemhr Wimen c ., * ,,, , % g,,,

Centract Written Wried Swhiett of j s.n a w e o This Deswment Type of Dommee. Steews ,

mepen. ovies.L a 'a'**=

n e pws. .w.

1. A***' W I o .o

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1 the omswoope me smoseraf ersaw6 tur presasse, or pura.s s.

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Centrutw and Add,,is i

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, Approved: January 25, 1974 16 I

i

= = = = -

Pt:8LICATION 0F UNCLASSIFIED REGULATORY AND -

TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 l

PART lil FORMAT. DOCUMENTS TO BE PRINTED UNDER OR PURSUANT TO INTF.H AGENCY AGREEMENTS CY AGENCIES WITH JCP AUTHORIZED FEDERAL PRINTING PLANTS A. DOCUMENTATION

1. Applicability

a. The requirements of this part apply to NRC staff who are rssponsible for agreements with other agencies and their contractors who print regulatory and technical documents required by agreements with NRC.

b. With respect to classified documents and documents "For Official Use Only," the requirements set forth in this part shall be used in conjunction with Chapter NRC 2101.

c. The requirements of this part do not apply to consultants j

j and contractors to the NRC boards and advisory committees which report directly to the Commission.

j i 2. Front Cover and Title Pace

a. Separate covers (of different paper than that of the text) l End title pages 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 appropriate.** While layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the items shall appear in approximately the locations indicated and with the same relative prominence.

' (1) NRC Document Number. Each document shall be l

identified by an NRCicontrolled alphanumeric num-

, ber as the prime number unique to that document.

! The centralized document control system for unique I

~ 8The cover stock of the performing organization may be used; however it must include the data elements shown in Exhibit 3.

, **These requ'rements meet the specifications of American National Stand-a ard ANSI 239.18 1974, Guidelines for Fomat and Production of Scien-I tific and Technical R eport s , and ANSI Z39. 23 1974, Technical R eport j Numbers.

l I 17 Approved: January 25, 1978

• 4 NRC Appendia 3202 PUtLICATION OF UNCLAS$1FIED REGULATORY AND TECHNICAL COCUMENTS PREPARED BY NRC CONTRACTORS identification is maintained by the Division of Tech-nical Information and Document Control. Numbers may be obtained by calling the Division of Technical information and Document Control or submitting a copy of NRC Form 426 (Exhibit 5) with a request for a number.

The NRC identification number will have the form:

ii NUREG/CR 1234 i The contractor's report number, if any, may be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 anct 4.

When a document consists of more than one volume or binding or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation shall appear immediately below the report number (s). NRC document numbers on covers and li title pages shall be shown entirely on one line to facilltate r.omputer processing.

(2) Title and Subtitle (a) Use a brief title, which indicates clearly the subject matter covered in the document.

(b) When a document is prepared in more than one volume, repeat the primary title on each volume.

(c) If appropriate, show the type of document (e.g.,

annual report, final report, thesis, etc. ) and the period covered as part of the subtitle.

(3) Personal Author (s)' Name(s)

(a) Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contributions are as editors, compilers, etc., so indicate on title page and cover following the

.: names. In eddition, list affiliation of each author only if affiliated with an organization other than the

, organization generating the document.

(b) Authors may be identified on backstript. (spines) of i

, bound volumes.

Approved

Ja nuary 25, 1978 18 t

L

~ww PU8LICATION OF UNCLA551FIED REGULATORY AND TECHNICAL 00 CUM (NTS PREPARED BY NRC CONTRACTOR $ ..NRC Appendix 3202 (4) Organization identlfication (a) , On cover, provide the name of the contractor respon-sible for paeparing the document, followed by "Pre-4 pared for the U.S. Nuclear Regulatory Commission."

(b) On the title page, provide information of the type

, illustrated in Exhibit 4.

(5) Basis for Report Date(s) ,

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

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

3. Availability and Price information All formal documents will be made available for safe by NRC and NTIS. The following statement is required on the inside of the front cover (Exhibit 6):

1 Available from U.S. Nuclear Regulatory Commission Washington, D.C. 20555 Available from National Technical Information Service (NTIS)

Springfield, Virginia 22161

4. Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government . Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, exoressed 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 l ,. not infringe privately owned rights." The following additional statement, "The views expressed in this report are not nec-essar' y those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate.

19 Approved: January 25, 1978 e

NRC Appendix 3202 PUBLICATION OF UNCLAS$1FIED REGULATORY Ale i TECHNICAL 00CLMENTS PREPARED SY Nic CONTRACTO

5. Abstract ,

An abstract of 200 words or less shall be prepared for each formal document. Within the document, the abstract shall appear on a separat6 page between the table of contents and the text.*

8. PATENT AND SECURITY REVIEWS 1

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The government agency responsible for the intera with NRC should perform the patent review.gency Theagreement results of such review shall be reported by the agency on NRC Form 426 in item 11 (Exhibit 5).

, 2. Security Review in most cases, consultant, contractor, and subcontractor re-ports will be unclassified. Should a report of classified work i - be required, however, the NRC program or project sponsor must werk with the Division of Security to establish the ap-propriate classification procedures and inform the contractor,

, o C.

I PROCEDURES FOR PRINTING AND DISTRIBUTING

, 1. Printino l

A A Contractor documents may be printed only by a JCP authorized i, printing plant. Documents printed by the contractor and one 4 reproducible master shall be submitted by the NRC program or project sponsor or the authorized contractor official to the I Division of Technical information and Document Control, with completed NRC Form 426. The number of copies specified by the agreement or contract for standard and incidental '

i, distribution shall be provided. The appropriate identifying

'I number (NUREG/CR- ) may be obtained as discussed in section A.2.b.(l).

2. R eprintino Requests for reprinting of any document at NRC expense subsequent to the initial printing require approval of the Division of Technical Information and Document Control. The "This preferred positioning of the abstract in the document need not be j followed if the style manual of the originating organlaation requires a different location.

i Approved: January 25. 1978 20 i

e

P PUBLICATION 0F UNCLA$$1FIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 request sh&" include a written justification for the reprinting and a list of recipients and their complete addresses.

3. Distribution of Documents Each document transmitted to the Division of Technical Infor.

mation and Document Control shall be accompanied by a recom-mendation for distribution on NRC Form 426 (Exhibit 5) and sufficient copies for standard anti incidental distribution.

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21 Approv ed : Ja fws ey 25, 1978 l

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PUBLICATION 0F UNCLASSIFIED RECULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTOR $ NRC Appendh 3202 PARTLY i

GUIDELINES FOR PREPARATIO'N OF MANUSCRIPTS AND REPRODUCIBLE MASTERS TO BE FRINTED BY NRC l A. INTRODUCTION These guidelines provide instructions to U.S. Nuclear Regulatory Commission contractors for the preparation of reproducible masters (camera ready copy) of reports submitted to NRC for printing or duplicating. They are intended for the use of NRC contractors that -

do not have written editorial standards for manuscript preparation.

j organizations with established report preparation staffs and style manuals should use their own procedures and guidelines; this partic-

< ularly applies to the DOE laboratories.

Adherence to these or similar established guidelines will insure the professional quality and timely publication of NRC contractor r eports. Manuscripts submitted which do not adhere to these or similar professional guidelinas will be reporteo to the program or project sponsor for appropriate contractual action by the contracting officer or, in the case of government agency or interagency agreement work, the publications manager of the performing organization.

Questions about the implementation of these guidelines should be addressed to NRC's Division of Technical Information and Document Control, Washington, D.C. 20555; (301) 492-7566.

8. ORDER OF ELEMENTS IN A REPORT Organize the manuscript according to the following order of elements l before submitting it to NRC.

Right or

' Element Pace Number left Hand Pace Title page none Right Back of title page none Left Abstract ill Right Left I* Back of Abstract page none j Table of Contents v Right

• • List of Figures Small Roman (odd or even) Right or Left List of Tables Small Roman (odd or even) Right or Left Preface Small Roman (odd) Right Acknowledgments Small Roman (odd) Right Abbreviations and Symbols Small Roman (odd) Right l

23 Approved: January 25,1978 l

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't MRC Appendix 3202 PUBLICATION OF UNCLAS$1FIED REGULATORY AND - I l

TECHNICAL 00CI.MENTS PREPARED BY NRC CONTPAct0R$

Right or Element Pace Number left Hand Pace introduction Unnumbered, but Right

, considered Arabic 1  !

Text Numbered consecutively Right throughout in Arabic h numerals 7 i

4 l References Numbered consecutively Right throughout in Arabic 6 numerais

• n I

Bibliography Numbered consecutis aly Right or Left throughout in Arabic numerals -

8

' $ First Appendix Numbered consecutively Right *-

• • 1 throughout in Arabic

E numerals #*

, 4 .

j Glossary Numbered consecutively Right or '.4ft throughout in Arabic numerals Distribution Lists Numbered consecutively Right throughout in Arabic numerals When an element ends on a right hand page and the next element is l l to start on a eight hand page, leave a blank unnumbered page and  ;

skip a number so that the right hand page starts on an odd page. l Right hand pages are always assigned odd numbers, left hand pages '

are always assigned even numbers, i C. FRONT MATTER I. 1. Cover, Title Pace and Olselaimer The appropriate cover and title page with the information spec- l Ified in Part I of this Appendix shall accompany each reproduc+

ible master.

2. Abstract An abstract of 200 words or less shall appear in each report.

l The abstract shall summarize the major points of the report, including what investigations the report covers, and any find-Ings, conclusions, and recommendations. For progress reports, concentrate on status of work to date. The preferred '

Approved: Ja nuary 25, 1978 24 '

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l PUBLICATION OF UNCLASSIFIED REGUt.ATORY A m TECHNICAL 00CUMENT5 PREPARED BY NRC CONTRACTORS NRC Appendix 3202 location for the abstract is between the title page and the table  ;

of contents.

For conference proceedings, each paper shall include an ab-

' stract of 200 words or less. The abstract shall appear on the first text page of each paper between the title and the text.

3. Guides for Preparino en Abstract The abstract is a condensed version of the document and should '

summarize or highlight the major points. It should never ex-coed one paragraph or 200 words, and should provide a review of the contents of the work in abbreviated form.

The abstract should state what was investigated and give any

' conclusions reached. A review of the major and minor headings of the report and, in particular, the introduction and conclu-sion section can be useful in deciding what information to in-clude. The first sentence of the abstract should state the subject of the report.

i The writing should be concise; that is, words and ideas that are either repetitious or unnecessary should not be used. Care j should be taken, however, to include the article Q, an, th,e) j and tranJitional words (and, however, but) that are important to readability. The language should be concise, but the ab-stract should not read like a telegram.

4. Summary Contractor reports (other than short summary reports) should include a 500 to 1,000 word summary of major findings conclu-1 siens and recommendations (if any) of the report. The

! summary should state the purpose and nature of the

! investigation, as well as provide a brief account of the J .

procedures used. It should provide a concise overview for persons in management positions. Though more complete than an abstract, the summary should not contain a detailed I description of the work on which the findings, conclusions and l recommendations were based.

Tlke summary may appear as a separate Section between the ab-stract and the table of contents. It may also be the final l section of the text. When it appears between the abstract and table of contents, it is treated as front matter. When it appears as the final section of text, it Should be listed in the table of contents and treated as text matter.

S. Table of Contents and Page Numbers i

A table of contents shall be provided if the report contains d

more that 25 pages of text. The table of contents shall list all l 25 Approved: Ja nua ry 25. 1978 i

1 i

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1 k

1

~ ~ '---'

i

l q PUGLICATIb0FUNCLAS$1FIE0RECULATORYAND 1 NRC Appendia 3?02

{ TECHNICAL DOCUMENTS PREPARED BY NRC CONTitACTOR$ '

I l

'- major sections of the text, including the front matter. It shall i include chapter or section numbers, as well as the title of and i

page number for each. (See Exhibits 8 and 9 for sample tables of contents.) In reports made up of chapters or papers by different authors, the table of contents shall list the name of each author with the title of the chapter or the paper (see Exhibit 10, for example). .

When prootreading the table of contents, insure that the page numbers and wording of chapter and section titles are identical with those in the text.

6, List of Floures A separate page listing figures shall be included when there are five or more figures in the report. The figure numbers and 1 captions shall correspond to those in the text. Such a list is *

' unnecessary for conference proceedings or symposium l, compilations.

• i e

) 7. List of Tables .

I A separate page listing tables shall be included if there are five l

or more tables in the report. The table numbers and titles ll. shall correspond to those in the text. Such a list is unnecessary for conference proceedings or symposium l

compilations.

3 Preface (Optional)

The preface is the author's statement about the purpose, back.

i ground, or scope of the work, it can also contain acknowledg.

' monts of help received during the course of the work, if the .

i

!j acknowledgments do not run over several paragraphs. The I i

preface can also cite permission obtained for une of previously -

published work. The author's name shall appear at the end of the preface with his title, affiliation, and the date. ,

9 Acknowledgments .

Unless they are more than one page long, acknowledgments shall appear in the preface.

Acknowledgments, if entensive, shall follow the preface on a

, separate page and carry a Small Roman page number,

10. Previous Reports in Series if the report under preparation is one in an ongoing series, list all previous reports in the series, include report number and issuance dates .

I Approved: Janua ry 25. 1978 26 i

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.-,y- - , - __ - . , _ - _ - , - - - - . - - - - - - - - - - - - - - - - - - -

PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 Exhibit 8

, TA8LE OF CONTENTS 1

Abstract. . . . . . . . . . . . . . . . . . . . . . . . . . . . ill L i s t o f F i g u r e s . . . . . . . . . . . . . . . . . . . r i gh t roma n j

L i s t o f Tab l e s . . . . . . . . . . . . . . . . . . . . . ri gh t roma n P r e f a c e . . . . . . . . . . . . . . . . . . . . . . . . ri gh t roma n

' i Ac knowl e dgme nt s . . . . . . . . . . . . . . . . . . . . ri gh t roma n P re v i ous Repo r ts . . . . . . . . . . . . . . . . . . . . ri gh t roma n

!. Introduction . . . . . . . . . . . . . . . . . . . . . . . 1 A. Background. . . . . . . . . . . . . . . . . . . . . . 3

; 8. Overview and Objectives of Study. . . . . . . . . . . 8

!!. Experimental Apparatus and Procedure . . . . . . . . . . . 10 A. Esperimental Apparatus. . . . . . . . . . . . . . . . 15

8. Esperimental Procedure. . . . . . . . . . . . . . . . 19 i  !!!. Results. . . . . . . . . . . . . . . . . . . . . . . . . . 22 '

IV. Discussion . . . . . . . . . . . . . . . . . . . . . ... 25 Reference). .......................... 35 Bibliography. . . . . . . . . . . . . . . . . . . . . . . . . 37 Appendises A. Thereophysical Property Values. . . . . . . . . . . . 39

,8. Esperimental Data . . . . . . . . . . . . . . . . . . 41 Glossary. . . . . . . . . . . . . ............... 47 I P

27 Approved: January 25, 1978 r

l 1 l =

1 1

1

-^' "' ' ~ ~ ~ ~

_ - - - _ _ _ - , ~ - - - . - - - - - - - - - - - - - - - - - ~ - - - ~ - - -

,a b

j NRC Appendia 3202 PUBLICATION OF UNCLA55!FIED REGULATORY A TECHNICAL DOCUMENTS PREPARED SY NRC C _

Exhibit 9 CONTENTS A85 TRACT . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 '

1 E St#9%RY. . . . . . . . . . . . . . . . . . . . . . . . ri g h t roma n ,

1.

INTR 000CT10N. . . . . . . . . . . . . . . . . . . . . . . 1

2.

EXPERIMENT DESIGN . . . . . . . . . . . . . . . . . . . . 3 2.1 Test Train . . . . . .

2.2 Flow Shroud. . . . . .. .. .. .. .. ... .. .. .. .. .. ... .. .. 3 3 c 2.3 F ue l R o d s . . . . . . . . . . . . . . . . . . . . P 2.4 Instrumentation. . . . . ............. 10 4<-

i 2.4.1 Test Train Instr 6eentation. . . . . . . . . 10 2.4.2 Fuel Rod Instr a ntation. . . . . ..... 12 .

i

' 3. 4 EXPERIMENT CONOUCT. . . . . . . . . . . . . . . . . . . . 16 3.1 l l 3.2 Preconditioning . . . . . . . . . . . . . . . . . . 17 Power increase and Stene  !

I 3.3 Flow Reduction . . . . .y State Operation. . . . . . 25

.............. 26 4.

PRELIMikARY POST!RRADIATION EXAMINATION RESULTS 33 .....

4.1 Visual and Olsensional Characterization. . . . . . . 33 l

. 4.1.1 Rod IE 007. . . . . . . . . . . . . . . . . 33  !

4.1.2 Rod IE 008. . . . . . M 4.1.3 Rod IE 009 . . . . . ... .. .. .. .. . . .. .. .. ..

• M i

4.1.4 Rod IE 010. . . . . . . .......... 40 1,

4.2 Olscussion . . . . . . . . . . . . . . . . . . . . . 40

! 5.

EXPERIMENTAL RCSULTS AND COMPARISON OF CALCU AND MEASURED FUEL 200 BEHAVIOR. ...... . . . . . . 42 . LATED '

5.1 Analytical Model . . . . . . . . . . . . . . . . . . 43 '

5.1.1 Fuel Rod Model. . . . . . . . . . . . . . . .

5.1.2 43 Experissental Conduct Model. . . . . . . . . . 44

5. 2 Cladding Elongation. . . . . . , , , , , , , , , , , 44 l

Approved: Ja nuary 25, 1978 28 I

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t PUSLICATION 0F UNCLASSIFIED REGULATORY AMO NRC Appendix 3202 TECHNICAL _ DOCUMENTS PREPARED BY NRC CONTRACTORS Exhibit 10 CONTENTS OPENING REMARAS (W. P. 81 shop). . . . . . . . . . . . . . . .

• I

' 5  ;

TOPIC 1: VALUES AND IMPACTS OF WASTE PARitT10NihG. . . . . . .

\

Partitioning -An ERDA Overview (R. O. Walton, Jr. ,

v. c. Triu, Jr. , and n. O. Dance) . . . . . . . . . . . s  !

1 Discussion ..................... 22 Partitioning Fired or Foe 7 (J. W. Bartlett). . . . . . . 24 Diuussion ..................... 3 l

l A Program to Establish the Technical Feasibility and Incentives for Partitioning (J. O. Blomeke). . . . . . . 38 Discussion. . . . . . . . . . . . . . . . . . . . . . 49 l

i The lepact of Partitioning on the Fuel Fabricator (1. E. Knudsen and B. H. Neuman) . . . . . . . . . . . . 53 Discussion. . . . . . . . . . . . . . . . . . . . 62 Projected Benefits from Actinide Partitioning (C. Braun and M. Goldstein). . . . . . . . . . . . . . . 64 76 Discussion. . . . . . . . . . . . . . . . . . . . . .

80 l TOPIC !!: HAZ ARDS IN RA010ACilvE WASTE 015Po$AL. . . . . . . .

Potential Environmental Advantages from Partitioning of Radioactive Waste (J. L. Russell) . . . . . . . . . . 81 Discussion. . . . . . . . . . . . . . . . . . . . . . 89  :

Other than High-Level Waste (G. R. Bray) . . . . . . . . . 95

)

1 105 Discussion. . . . . . . . . . . . . . . . . . . . .

Environmental Hazards from High-level Vaste 107 (B. L. Cohen). . . . . . . . . . . . . . . . . . . . .

12 7 D i s c u s u on. . . . . . . . . . . . . . . , . .

29 Approv ed : January 25, 1978 1 .

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NRC Appendia 3202 1 PUBLICATION OF UNCLAS$1FIED RECUL TECHNICAL 00CLMENTS PREPARED BY II. Abbreviations and Symbols  !

When the abbreviations and symbols used in the are report , i

• numerous, and when there understood by the intended audience is a possibility they will not be g l section for them. include a separate 0.

last item of the front matter on a new right hand p .

TEXT 1

l. Title of Report ,'

f The title of the report shall be repeated on the first page text, it shall or section title. be centered at the top of the page, like a chapter

2. Introduction (Optional) .

I j

• Not every report needs an introduction.

sary, incluce an intIod2 tion. formation essential to an und -

i tion shall be included in the preface.Otnerwise,TaKgrEd informa-

{j The introduction follows ,

ginning on a new page.the preface (or acknowledgments), be-As the first text page, it shall be unnumbered but considered as page number i.

l If there is no Ing, after repeating the report title. introduction, begin th l 3- Paggg

$Plain, white, bond paper shall be used.

acceptable. Company letterhead is

4. Typino Instructions g

Paragraphs shall be single spaced and typed flush left in block style (no paragraph indentations).

Double space between para-headings. graphs, triple space before headings, and double space after

5. Image Area

{- The image areas for typing shall be 6 x 8 l/2 in.

t

\ 6.

Paos Numberino

4 i

Pages shall be numbered consecutively througnout, with small Roman text numerals and back matter. The for all front matter and Arabic numerals report will be printed on both sides f

of the paper; therefore, all left hand pages must carry even i numbers, and all right hand pages, odd numbers. i 3

Approved: January 25, 1978 30 I

,-m"*-'w

PtJ8LICAT10N OF UNCLASSIFIED f.EGULATORY AND TECHNICAL 00CtMENTS PRFPARED BY NRC CONTRACTORS NRC Appendix 3202 New chapters may begin on a new page; either a left or right.

hend page. Page numbers shall be centered one half inch above the bottom of the typing guide. Guidelines for numbering pages containing figures or tables are found in a later section on Graphic and Tabular Matter.

7. Photocopied Text Pages reproduced by photocopying machines are not acceptable as camera ready mater:al. Photo 1

(using photographic print paper)are graphically reprWuced pages acceptabia.

8. Footnotes Footnotes in the body of the report shall be used only for ex.

planatory rnatorial not extensive enough to comprise an appendix.

Notes citing references to literature used in the preparation of the report shall appear as part of the references (see item G, below).

Footnotes shall appear at the bottom of the text page between the last line of text and the page number; that is, the last line of the footnote shall be on the bottom line of the 6 x 41/2 in, typing guide. A double space shall appear between the last line of text and the first line of the footnote. A 20 space one shall appear above the first footnote.

Single, double or triple asterisks or daggers shall be used to mark footnotes in the text and at the bottom of the page, j E. B ACK MATTER j l. References

a. Format. Citations of source documents in technical and I I research reports shall be numbered consecutively in the order in which they appear in the text and collected in a reference section. For short reports (20 pages or less),

the reference section shall appear at the end of the report directly following the text. For long reports, reference

' sections shall appear at the end of each chapter or major section. in either case, reference sections are labeled as

, such and may begin at the end of the text or on a new page. For reports with more than one reference section, if a citation appears in separate chapters or sections, it shall be repeated in each appropriate reference section.

Multiple line citations shall be typed single space, with double spacing between citations.

31 Approved: January 25, 1978 l

4 i

I NRC Appendis 3202 PUGLICATION OF UNCLAS$1FIED REGULATORY AND TECHNICAL DOCUMENT 5 PREPARED BY NRC CO _

, The second and subsequent lines of an entry shall be typed flush with the same margin as the first line so that the reference number stands out. (See item G for I guidelines on how to cite specific references.)  !

b.

Availability Regulrement. The provisions of 10 CFR 2.740

~

and 10 CFR 9.4 require that written, reproduciDie material used as source material in NRC regulatory and technical .

documents produced by its contractors and subcontractors be readily available for inspection and copying or be documents ordinarily available from a public library.

Accordingly, reference citations must be presented in a '

format recognizable by a librarian.

! Citations to infor.

l mation not available in the open literature shall state l 1,

where the document can be purchased or copied. Give  ;

8

• purchase price, if known (see item G for guidelines). t I c. Proprietary and Classified Documents.

i

' When rionproprie- k

! tary or unclassified (or cectassifiable) information con-tained in proprietary or classified documents must be used as source material, it should be (l) inserted in the body of the text or as a footnote to the text, (2) Copied and placeJ in an appendix, or (3) abstracted and made available for 5

inspection and copying for a fee at the NRC. Public Document Room.

should be referenced if alternative (3) is chosen, the abstract ,

appropriate sequence, in the reference list in the li i

l In some instances, reference to classified or proprietary '

documents cannot be avoided because those documents are ,

the only source for the material. The documents are re-

{. quired, however, to be withheld from the public. Never-  !

theless the public must be made aware that such documents served as the bases for the material preser}ted.

Accordingly,

. proprietary documents and clat,sified 4

documents (omit the title if the title is classified) may be i referenced when necessary. This type of reference g should include a statement such as the following: This document is not, publicly available because it contains proprietary (or national security) Information.

2. Biblioc raphy Citations of other documents pertinent to the subject but not referenced in the text shall be listed in a bibliography.

Bibliographic entries shall be arranged alphabetically by per-sonal nr corporate author name.

j The bibliography, labeled as such, shall follow the ta erence sectio's in the text and begin on a new page,tsteither right or left, ref-t Approv ed: Ja nuary 25, 1974 32

~,,, ,

• '!i PUBLICATION OF UNCLA$$1FIED REGULATO:tf AND l 1ECHNICAL 00CUMEN15 PREPARED BY htC CONTRACTORS htC Appendia 3202 l

3. Appendix The sppendix shall comprise information supplemental to the report. The types of material to be placed in the appendix are (a) explanations too long for footnotes but helpful to the reader '

seeking further assistance or clarification, (b) passages from documents or laws that support or illustrate the text, or (c) long charts or tables.

The first appendix shall appear on the first right hand page directly after the reference section or biblio Each additional appendix shall begin on a new page, graphy. either right or' left. Each appendix shall be identified by a title and heading centered above the text.

4, Glos sary A glossary shall be included if the report contains many terms that will be unfamiliar to the intended audience. Terms shall be arranged alphabetically, with each new entry beginning on a new line. Definitions shall follow the term on the same line, dictionary style.

The glossary, labeled as such, shall appear directly l'ter the appendix, beginning on a new page, either right or left.

5. Distribution List The distribution list shall cita the NRC distribution category and any supplemental distribution the report is to receive. The supplemental recipients shall be listed by title and complete address, including Zip Code, 11 shall begin on a right nanc page.

F. GR APHic AND TABULAR MATTER 1, Tables Each table shall have a number, in Arabic numerals, and e title. The table number and title shall be centered above the table. Tables shall be numbered se";uentially throughout the l

text or double numbered by chapter, such as 1.4, 5.6, etc.

Tables shall be referred to in the text by number ratner inan by direction ("Table 4" rather than "the above table"). When a table must be continued from one page to the next, the table i number ("Tuble 3, Continued") and the column headings shall 7 be repeated at the head of the new page.

Page? containing full page tables shall be numbered in the same mannt. as regular text pages.

33 Approved: Jamwary 2$. 1978 1

l  !

J NRC Ap endia 3202 PutLICAT1081 0F UNCLA551Fl[0 RfCULATORY AMO '

' TECHNICAL 00Cl84EHT5 PREPARED BY NRC CONTRACTOR 5

\

j 2 Flouras l

( Each figure shall beve a number, in Arabic numerals, and a

' title. The figure number and title shall be pl6ced below the

' - figure. Figures shall be numbered Sequentia!!y throughout the t text or doubled numbered by chapter, such as 1.4, 5.6, etc.

Figures shall be referred to in the text by number rather than <

by direction ("Figure 3' rather than "the figure below").

k Pages containing full page figures shiell be numbered in the same manner as regular text pages.

3. photog raphs Only continuous tone glossy black and white prints are accept-able. The following types are ng acceptable: color prints and prescreened or half tone prints or plates. All photographs i

shall be mounted and the title, number, and page number 4 placed on the page. Photographs shall be considered as figures with respect to numbers and title.

2 4 Special Graphics l

!, Specie' vaphics include oversized engineering drawings and folcout instructions for handling special graphics shall be

provid".c for each docume t, where appropriate, G. EXAMPLES OF REFERENCE CITATIONS j l. Correspondence j

Letter from D. B. Blackman, Georgeto .n Municipal Utility, to j j

R. A. Gilbert, NRC,

Subject:

Answers to NRC Questions on i

Docket 50 825, dated Vanuary 31, 1975. Available in NRC POR i

I for in'"ection and copying for a fee.

l 2. In. .ial Papers I

l I  ;

Internal papers, such as technical notes and minutes of meet-l ings should not be referenced unless they are already available

In the NRC Public Document Room (POR) or will be made 1

available In the POR prior to issuance of the report. For a technical note, list author (if any), title, and date, and state l'

that it is "available in the NRC POR for inspection and copying for a fee." The same format is applicable to minutes of i

i meetings. Calculations and working papers should not be referenced. if the information in them is pertinent to tFe~ text of the report, it should be made part of the report as text.

i footnote, or appendix.

l-Approved: Ja nwery 25, 1978 34 a

l i

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n -. ---~,~ -- ~- ~ " ~"~ ' ' " " ~ ~ ~ ~ ~^^ ^ ^

PUBLICATION 0F (* CLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC C0KTRACTORS NRC Appendix 3202

3. Personal Communications, Private Communications, Notes Reoardino Visits References of the following type should g be used:

J. G. Facer, ERDA Grand Junction Office, personal com-munication to M. B. Sears, Oak Ridge National Lal> oratory, December 16, 1975.

Staff visit to the Exxon mine waste dump, Converse County Wyoming, April 12, 1972.

In both instances place these remarks directly in the text, since they do not represent any retrievable information.

4. Procedures Manuals Procedures manuals should not be referred to unless they are normally available. The citaIion should give sufficient in-formation to indicate where they can be obtained, if specific procedures are pertinent, they can be reiterated in the text without reference to documents.

5. Government Acency Printed Documents and Drafts that Have Been Mace Available to the Public for Comment ,

For draft reports:

U.S. Nuclear R egulatory Commis sion, "Draft Generic Environmental Statement on the Use of Recycle Plutonium in Mixed Oxide Fuel in Light Water Cooled Reactors ,"

USNRC Report NUR EG 0002, Vols. 15, April 1976.

Available in NRC POR for inspection and copying for a

! fee.

l If specific pages are being referenced, insert volume and page

, numbers following the title; e.g., Vol. 4, pp.10 20, 500 730.

For final reports:

l t

i U.S. Nuclear Regulatory Commission, "Final Generic l Environmental Statement on the Use of Recycle Plutonium i

en Mixed Oxide Fuel in Light Water Cooled R e 6ctor s ,"

USNRC Report NU R EG 0002, Vols. 15, August 1976.

Available for purchase from National Technical Information Service, Springfield, Virginia 22161.

l R. O. Meyer, "The Analysis of Fuel Densification,"

USNRC Report NUREG 0085, p. 44, July 1976. Available i

for purchase from National Technical Information Service, l Springfield, Virginia 22161.

35 Approved: January 25, 1978

i l

i NRC Axencia 3202 PUBLICAi!0N F C LASSIFIED REGULATOR t

' TECHNICAL 006,HENTS PREPARED BY NRC CON 6.

NRC Contractor Agreemen ts Reports and Reports Preparedoencv on inters I 1

lation 196, of aReport USNRC Sodium Cooled Fast Reacto NUREG Ollo, ,

i September 1976. ~

I Service, Springfield, Virginia 22(61.Available on for p l G. L. Bordner i Reactor Experiment 62," USNRC Accession No.and oth 771090001

, prepared October for 1976. NRC by Argonne National Laboratory. ,

copying for a fee.Available in NRC POR for inspection and 7.

NRC Applicant Document i

ExxonVol.

port," Nuclear 3, p. Company, "Preliminary Safety Analysis Re-5.4 3, Nuclear Fuel Recovery and Re-cycling Center, Docket 50 564, April 1976.

NRC POR for inspection and copying for a fee. Available in

8. Project Documents 1

The format given in item G.7 for applicant documents e may b used by the for project project documents, with tne docket number replaced number.

9.

Licensee Documents The used format given in item G.7 for applicant documents may be licensefor licensee documents, with the docket number or the number.

10. Books S. Glasstone, Sourcebook on Atomic Enerov, p. 155, D. Van Nostrand Co., Inc. New York,1974 -

11.

Conference Pacers Unpub!!shed conference papers should not be referenced.

information being u;ed should be statedTn the textThe and credit

{ to the originator given in text or footnote.

can mentioned in the text. supply a paper, it may be placed in an appen l

Published conference papers should be referenced as follows:

, J.

I, Partitioning of Radioactive Waste," p. 83,in P Approved: Ja nuary 25. 1978 36

,,,y,-e--mww W #' "

l PUBLICATION OF UNCLASSIFIED REGULATOR AND T[CHN]*AL 00Cllt'ENTS PPCPARED BY NRC CONTRACTORS hRC AppenJh 3202 the Conf erence on th> Manacement of Rad eset so waste.

tIaste Partitioning [g Atternative7 tlSNRC Cn.terence Report CONF-001, June 1976. Available ter purchase from National Technical information Service, Springfield,

. Virginia 22161.

12. Journal Articles. Magazine Articles, Newspaper Articles S. O Shearer and C. h. Still, "Evaluation of Atmcspheric Redon en the Vicinits of Uranium Mill Tailings," Health Phs sics 17, 77 88 (1976). Available in public technical libraries.

"Why the Nuclear Power Race worries the U.S. ," p. 68, Business heek, August 23, 1976. Available in public libraries.

"Argentina Says it Has Atom Fuel To Triple its Electrical Capacity," p. 53, The New York Times, August 31, 1976.

Available in pub'lic IIbraries.

13. University Theses J. J. Jacobs, "Programming Language I for the Varian PLCU," Master's Thesis, p. 70, North Carolina Unive rsity ,1071.

14. Codes and Standards "American National Standard Requirements for Collection, Storage and Maintenance of Quality Assurance Records for Nuclear Power Plants," ANSI N45.2.91974. Available from American National Standards institute, 1430 Broadway, i New York, N.Y. 10018, Copyrighted.

f "Draf t American National Standard Requirements for

< Collection, Storage, and Maintenance of Quality Assurance Records for Nuclear Power Plants," ANSI N45.2.9, Rev. t, f Draft 1, February 1976. Available from The American Society of Mechanical Engineers, 345 East 47th Street, New York, N.Y. 10017.

k 37 Approved: January 25, 1978 t

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PUBLICAT10m 0F L8K1.A$$1FIgg I dibtt 11 liltC Appendia 3:08 KSULAT0Ay CD TECNNICAL U. S Nesen Repteory convoimica 00Ct3075 PREPAtt0 ST BRC PnoCEDUREs poR PueLM:ATION OF CGITRACT0t$ PORMAL CONTRACTOR DOCUMENTW' PNPero riport h essentimes, wie NRChi Appendts 320!Part IV or eenewenir wrkien editrAd riendert l L t Obtain NUREG/CR nureher by assing 301482 7000 er by edweission l sf NRC Perm d 20 to TDIC" i

l 1 r 1 le report propeed under en i hearsamsy seroement?

l .

'"/ \"

i Propers ties page ad Propers or drift thee 1

amor in eecedense wet Pese e d seter h NRC Form 173 "Terms and esterdenes wie NRCM Appendh Constar" t* WW 2. 3. and 4 3202 EapNts 1 wed 2 y _<

! Prepare a sentreet of

( l 200 weeds er les d

Ice,tesn ps nt raiew, w ep,ti eae 1 4

[Otytein soeurtty review,if apsdisete l

'A

[Otrtan draft reriew by NRC, if appliceWe ]

I E gene dirtrtartion I d

Ptsp n reprodusbie mesters in socorebee wt* NRCM Appendh 3202 Part IV 4

[Is repcwt to be printed by NRC7"']

l sus / \ yes l bbast be printed by e JCP land rearedwe Ade merers artertad print >g piast and NRC Form 428 to TCC O

l swnnot enttwent report sopist, es.

repredhnolkie morter, and NRC Fonn 438 to T10C ter disetwilen NRCad 3202 er NRC Fern 173 "Terms ed Conditiere,"item it, ter deRnhien.

, preestarse (NRChi 3202) ed forms may be ettenned by ensing 301482 7908..

l "Okielea of Teshnicef Information and Occuruent Control, Landow 212 U. 8. N6seleer Repleesty Cornrnianon, Washington, D. C. 205M t

If DOE senverter, see NRC Form 173 "Terms and ConfRlens,"item it, for prinung meter.

] inesons if not DOE sontrwtor er other govemenent egency, printing must be done by NRC.

Carneet: 1. NRC Technied Monker for sentract or Stender 11 Or11er for Viert.

2. 06eleien ef Techoloof information and Dea 4 ment Control, Toisphone 301482 7984.

• U* Approved: Fe6rvary 10,1918 1

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A i

NAC Appendia 3202 (ahlbit 12 PutL! CATION 0F UNCL A551 Fit 0 R((MAATORY AND TCCHNICAL

': 00CuminT5 PREPARED er Nat >

CONTRACTORS i

U. 5. NWaar Repletory Commiensen PROCEDURE 8 FOR ISSUANCE OF '

INTERIM CONTRACTOR REPORT 8' '

.l l Prtpers report in ascensense wMh NRCM I I ':: .: 382 Part tY er eentresser writian adMartel st:C-d Prepare ipes pays ln ancordamse em NRChi ApperdW 3202 enhba 7 or NRC Form 173 'Tervns and cane -r h u 1  !

i q

L0trtem potent iew. M apoibaMe l 4

[_Obtem incurley renow, if apolceblo I Loriormine dieirmutson 1 j .

4 Is report to be prierted by NRC7]

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[ DupfHsts (oorstractori Prepare reproducele martori d in awardarme with NRCM is report to be Apperdor 3202 Part IV distritwted by NRC7 E

"'/ \ Y'8 5 erd rsproducrees mesters and oornpleted NRC Form 426 to TfDC

W 2 e of Send dietrtwsten for prmting and diedibuten report to TIDC wm MN

, NRC Form 429 and a N AE E*'m 428 ed copy of the **P I 'h' dstrbuDon list mord to TIDC for dh 4 g I

[ cirtrinute (contrusterl l 7 'Serd NRCM 3202 er NRC Form 173 "Terms mW Conditions "item 12. for def*' tion.

Compists procedures (NRCM 3202) and forme eney be obtained by carling 301492 7508.

* *0heien of Tishniui *.afarmation and DocumerW Conwel, Larefeu 212. U. S. Nuclear Rsyletoey CommienJun Washington D. C. 29644.

k

Contact:

1. NRC Technical Mordier b eortract er Standard Order ter Wert.

f 2. Divleien of Technical inWmetion and Docurnen: Control, Tdephone 301482 760s.

I i

8

, Approved: February 10,1978 6

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ATTACHMENT 4 ,

1

$TANDARD FORM 1411 WITH INSTRUCTIONS {

1. SF 1411 provides a vehicle for the offeror to submit to the Government a pricing proposal of estimted and/or incurred costs by contract line item with supporting in forma tion , adequately cross-referenced, suitable for detailed analysis. A cost element breakdown, using the applicable format

' prescribed in 7A, B, or C below, shall be attached for each proposed line item and must re flect any specific requirements established by the Contracting Officer. Supporting breakdowns must be furnished for each cost element, consistent with offeror's cost accounting system.

When more than one contract line item is proposed, surmary total amounts covering all line items must be furnished for each cost element. if ,

agreement has been reached with Government representatives on use of forward pricing rates / factors, identify the agreement, include a copy, anw describe its na turt. Depending on offeror's system, breakdowns shall be provided for the following basic elements of cost, as applicable:

Materials - Provide a consolidated priced surmary of individual material quantities included in the various tasks, orders, or contract line items 1 being proposed and the basis for pricing (vendor quotes, invoice prices, etc.).

5 Subcontracted items - Include parts, components, asseeablies, and services that are to be produced or performed by others in accordance with efferor's design, specifications, or direction and that are applicable only to the

~! prime contract. For each subcontract over $500,000, the support should

?; provide a listing by source, item quantity, price, type of subcontract, degree of competition, and basis for establishing source and reasonableness of price, as well as the results of review and evaluation of subcontract proposa!s when required by FAR 15.806.

Standard Comercial I t err.s - Consists of items that of fe ror normally fabricates, in whole or in part, and that are generally stocked in inv ento ry. provide an appropriate explanation of the basis for pricing. If price is based on cost, provide a cost breakdown; if priced at other than cost, provide justification for esemption from submission of cost or pricing data, as required by FAR 15.804-3(e).

Interorganizational Transfer (at other than cost) - Explain pricing rethod used. (See FAR 31.205-26).

Raw Material - Consists of material in a form or state that requires further processing. Provide priced quantities of items required for the proposal.

purchased Parts - Includes material items not covered above. Provide priced quantities of items required for the proposal.

Interorganizational Transfer (at cost) - Include separate breakdown of cost by element.

I t

Ofrect Labor - Provide a time-breakdown of labor hours, rates, phased (e.g., monthly quarterly, etc.)

furnish bases for estimtes. and cost by appropr,iate ca tegory, and Indirect Costs - Indicate how offeror has computed and applied offeror's l indirect costs, including cost breakdowns, and showing trends and bu data, I rates. to provide a basis for evaluating the reasonableness of proposed Indicate the rates used and provide an appropriate explanation. I described above (e.g.,Other Costs - List all other costs not otherwise in 1' special tooling, travel, computer and consultant services, preservation, packaging and Federal excise tax on finished articles) packing, spoilage and rework, and and provide bases for pricing. ,

Royalties page - If more for each than $250, separate royaltyprovide the fee:

or license following information on separate ,

licensor; date of license agreement; patent nuders,name andapplication address of '

patent serial nueers, or other basis on which the royalty r I

description (including any part or model nuders of each contractis payable; item or brief corponent on which the royalty is payable); percentage or dollar rate of royalty dollar per unit; amount unit price of contract item; nueer of units; and total of royalties.

Contracting Officer, provide In addition, if specifically requested by the a copy of the current I identification of applicable claims of specific patents. license agreement and and31.205-37). (See FAR 27.204 Facilities Capital Cost of Money -

factittles capital cost of money as anWhen the offeror allowable elects cost, the to claim offerer must FAR31.205-10). submit Form CASB-CMT and show the calculation of the propos 2.

i As part of the specific information required, the offeror must submit with offeror's proposal, and clearly identify as such, cost or pricing data (that is, data that are verifiable and factual and otherwise as defined at FAR 15.801).

In addition, submit with off ero r's proposal any in forn tion reasonably required to explain offeror's estimating process, including; ,

i a.

The judgmental used in the es tir.ste, factors applied and the saathentical or other methods data; and including those used in projecting from known

' b.

The nature and amount of any contingencies included in the proposed price.

} 3.

!  : There ismking merely a clear distinction available books, between submitting cost or pricing data and identification. records, and other documents without The met when' all accurate cost or pricing requirement for submission of cost or pricing data is data reasonably available to the offeror to the Contracting Officer or an authorizedor have been sutwnf tted, either actually by specific identification, inforn tion comes into the offeror's possession,presentative. As later re submitted to the Contracting Officer. it should be promptly l The requirement for submission of i

cost or pricing data continues to the time of final agreement on price.

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3. Change Orders (modifications). l l

Cost Of Estimted Deleted 1 Cost of All Work '

Cost Work Already Net Cost To Cost Of Net Cost Of i

[lements Deleted Performed Be Deleted Work Added Change Reference (1) (2) (3) (4) (5) (6) (7)

Under Colu m (1) - Enter appropriate cost elements.

Under Column (2) - Include (1) current estimtes of what the cost would have been to complete deleted work not'yet performed, and (ii) the cost of deleted work already performed.

Under Colum (3) - Include the incurred cost of deleted work already performed, actually computed if possible, or estimated in the Contractor's accounting records. Attach a detailed inventory of work, materials, parts, components, and hardware already purchased.

I manufactured, or performed and deleted by the change, indicating the cost and proposed disposition of each line ites. Also, if offeror I desires to retain these items or any portion of them, indicate the ,

i amount offered for them.

I Under Colum (4) - Enter the net cost to be deleted which is the estimated cost of all deleted work less the cost of deleted work already performed. Colum (2) less Colum (3) = Column (4).

Under Column (5) - Enter the offeror's estimate for cost of work added by the chang 7. When nonrecurring costs are significant, or when specifically requested to do so by the Contracting Officer, provide full ,

J identification and explanation of them.

under Column (6) - Enter the net cost of change which is the cost of work added, less the net cost to be deleted. When this result is negative, Column (6) place the amount in parentheses. Column (4) less Colum (5) =

Under Colum (7) - Identify the attachment in which the information supporting the specific cost element my be found. Attach separate pages as necessary.

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4. In submitting of fe ror's propcsal , offeror must include an index, appropriately referenced, of all the cost or pricing data and information accompanying or identified in the proposal . In addition, an future additions and/or revisions, up to the date of agreement on price,y sust be

, annotated on a supplemental index.

4

5. By submitting offeror's proposal, the offeror, if selected for negotiation, grants, the Contracting Officer or an authorized representative the right to examine those books, records, documents, and other supporting data that will l permit adequate evaluation of the proposed price. This right may be exercised at any time before award.

l 6. As soon'as practicable after final agreement on price, but before the award

resulting from the proposal, the offeror shall, under the conditions stated in FAA 15.804-4, submit a Certificate of Current Cost or Pricing Data.

7. Headings for Submission of Line-Ites Susmaries:

j A. New Contracts (including Letter contracts).

i Proposed Contract Proposed Contract Cost Elements Estimate-Total Cost Estimate-Unit Cost Re f ere, nce (1) (2) (3) (4)

Under Coluart (1) - Enter appropriate cost elements.

Under Column (2) - Enter those necessary and reasonable costs that in offeror's judpent will properly be incurred in efficient contract

/ performance. When any of the costs in this column have already been incurred (e.g., under a letter contract or unpriced order), describe them on an attached supporting schedule. Wen preproduction or startup I

costs are significant, or when specifically requested to do so by the Contracting Officer, provide e full identification and explanation of them.

I Under Colunri (3) - Optional, unless required by the Contracting Officer.

~

Under Column (4) - Identify the attachment in which the information suppetting the specific cost element may be fo nd. Attach separate

. pages as necessary.

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L_______ _ _ _ _ - - - - - .

==n C. Price Revision /Redetemination Numer of Nueer of Redeterufna-Units Units To le Contract tion Proposal Cutoff Date Completed Coepleted knount Amount Difference (1) (2) (3) (4) (5) (6)

Incurred Incurred Incurred cost. Cost- I Cost- Total Estimated '

Cost Preproduc- Cospleted Work In Incurred Cost To Estimated Elements tion Units Process Cost Complete Total Cost Reference (7) (8) (9) (10) (11) (12) (13) (14)

Under Column (1) - Enter the cutoff date required by the contract, if applicable.

Under Colum (2) - Enter the nueer of units completed during the period for which experienced costs of production are being submitted.

Under Column (3) - Enter the nuder of units remaining to be completed under the contract.

Under Column (4) - Enter the cumulative contract amount.

Under Colum (5) - Enter the offeror's redetermination proposal amount.

Under Colum (6)proposal redetermination - Enter amount.

the difference between the contract amount and the When this result is negative, place the amount in parenthesis. Column (4) less Column (5) = colum (6).

Under Column (7) - Enter appropriate cost elements. When residus1 inventory exists, the final costs established under fixed-price incentive and i

j fixed price-redeterminable arrangements should be net of the fair market value of such inventory. In support of subcontract costs, submit a listing j of all subcontracts subject to repricing action, annotated as to their status.

i Under Colum (8) - Enter all costs incurred under the contract before starting production and other nonrecurring costs (usually referred to as startup costs) from offferor's books and records as of the cutoff date.

These include such costs as preproduction engineering, special plant rearrangement, trainin and any identifiable nonrecurring costs such as initial rework,g program, spoilage, pilo In the event the amounts are not segregated in or otherwise av,t runs, from ailable etc. offeror's records, enter in this colum offeror's best estimates. Explain the basis for each j estimate and how the costs are charged on offeror's accounting records

(e.g., included in production costs as direct engineering labor, charged to manufacturing overhead, etc. ). Also how the costs would be allocated to the

, units at their various states of contract completion.

-Under Colums (9) and (10) - Enter in Colum (9) the production costs from offeror's books and records (exclusive of preproduction costs reported in Coluse (8) of the units completed as of the cutoff date. Enter in Column (10) the costs of work in process as deterstned from offeror's records or .

Inventories at the cutoff date. Whea the amounts for work in process are not available in contractor's records but reliable estimtes for them can be mde, enter between the estimated amounts in costs Colum exclusive (10)(and of enter in Column (9) the differences the total incurred preproduction costs) as of the cutoff date and these estimates. Explain the basis for the estimtes. Including identification of any provision for esperienced or anticipated allowances, such as shrinkage, rework, design enanges, etc.

Furnsth experienced unit or lot costs (or labor hours) from inception of l .' contract to the cutoff date, improvement curves, and any other available q production cost history pe rtaining to the item (s) to which offeror's proposal relates.

Under Coluen (11) - Enter total incurred costs (Total of Colums (8), (9),

and(10)).

Under Colum (12) - Enter those necessary and reasonable costs that in l

' Contractor's judgment will pMperly be incurred in coepleting the remining work to be performed under the centract with respect to the item (s) to which Contractor's proposal relates.

Under Colum (13) - Enter total estimated cost (Total of Columns (11) and

(12)).

Under Colum (14) + Identify the attechment in which the inforn tion supporting the specific cost element may be found. Attach separate pages as neces sa ry.

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ATTACHMENT 5 l

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(REYlSEO-6/84) l l

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81LLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS _

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' General.

l The contractor shall submit vouchers for cost-reimbursement in thevoucher.

manner and format described herein and as illustrated in the sample r i and two copies should be mailed to h RC of C nti ed Frequency.

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

1 Form.

t l

Claims and Services Othershall Than be Personal."submitted on the Form DC-3 "Voucher for Purchas Contracting Officer. These fonns are available from the of the voucher are showti on the fonn.)(Tlie instructions for preparation a E

Billing of Costs Afte'r Expiration of Contract.

If costs are incurred during the contract perior, and claimed af teIthe contract has expired, the period during which these costs were incurred must be cited.

Currency. ,

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

j Supersession.

instructions. These instructions supersede all previous billing

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l INSTRUCTIONS FOR PREPARING COST '

INF0PXATION FOR NRC CONTRACTS Preparation and Iteatration of the Voucher. The contractor shall furnish the infonnation set forth in the explanatory notes below. These notes are keyed . ,

to the entries on the sagle voucher.

Payor's Name and Address. (1) Address the ori copies) to: U.S. Nuclear Regulatory Comission ginal of Division voucher (with 2 Accounting and Finance. Office of Resource Management ATTN: GOV /COM Accounts Section Washington, D.C. 20555.

Any questions regarding vouchers yet to be paid by the NRC should be addressed to Division of Accounting (301-492-7535). Arty questions regarding vouchers for which payment has been received (either in full or partially with suspensions or disallowances) should be ad-dressed to the Contracting Officer.

Payee's Name and Address. Show the name of the contractor as it appears in the contract and its correct address; except when an approved assign-ment has been made by the contractor, or a different payee or addressee has been designated, then insert the name and address of the p yee.

Indicate the individual responsible for answering any questions NRC may have regarding the invoice (name er.c phone nunter).

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

(b) Title of Project - List the full title of the project being perfurmed under this contract.

(c) Voucher Number - insert the appropriate serial nurter of the voucher beginning with 001 for this contract. Contractors may also include individual internal accounting numbers in addition to the three digit numbe r. -

(d) Date of Voucher - Insert the date the voucher is p'epared.

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

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

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

3 (h)

Direct Costs - Insert the major cost elements.

(1)

Direct Labor - This consists of salaries and wages paid (or accrued) for direct performance of the contract itemized as follo Labor Labor Hours Ca tegory Negotia ted Hours Billed Cumula tive Ra te Total Hours Billed (2) to direct labor and billed as a direct cost. Fringe Benefits .

indicate the rate. Frin Where a rate is used, not be identified here. ge benefits included in direct labor should (3) Direct Equipment tions list each item costin - For educational institu-ancy of more than one year.g 5500 or more, and having a life expect-institutions list each item costinFor contractors other than education expectancy of more than one year. g $200 or more, and having a If fe for which reimbursement is re List only those items of equipnent the following (as applicable) quested.

A reference shall be made to piece of equipment listed in the property schedule of the (2) the Contracting Officer's approval letter if 'the equipment is not covered by the property schedule; or (3) be preceded by an ast-erisk (*) if the equipment is below the approval level. Further specific limitations set forth in the contract. itemization (4)

Materials, Supplies, and Other Expendable items

- These are

. described in (3) above. consumable materials ano supplies and equipment (5) hourly Premium rate. Pay - This is remuneratfor. in excess of the basic (Requires written approval of Contracting Officer.)

(6) name, hourlTUTa'ITy rate of the consultant and refere approval (if not specifically approved in the original contract).

(7) its territories, possessions and Canada; it should be bil separately from foreign travel.

for individual Per Diem and all supporting infortnation for eachTrave trip taken.

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All costs associated with each trip must be shown in the following forma t : (Unless the organization's travel policy has been negotiated and approved by MRC)

Da te Traveler Des tina tion _ Purpose Cost From g From h

1. Airfare

2. Rental Car

3. Local Travel

4. Per Diem Days 9

5. Meals:

• Date Breakfast Lunch Dinner i

I j If not included in Per Of em.

6. Tips, Misc.

(!temize if more than 510,00)

(8) Subcontracts - Include all costs paid to approved subcontractors during billing pertod. This includes the details of the subcontract terms (i.e.,

cost-plus. fixed-fee, direct labor, indirect costs, travel, profit, etc.)

(9) Other - List all other direct costs by cost elements and dollar amount s e pa ra tel y.

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

(j) Fixed-Fee - If the contract provides for a fixed-fte, it must be claimed as provided for by the ccatract. Cite the formula or method of computation.

Contractor may bill for fixed fee only up to 85% of total fee.

(k)

• Amount Billed for Current Period - Insert the amount billed for the major cost elements, adjustment, and adjusted amounts for the period.

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. - . , , - , . - - - - - , _ , _ , . _ , , - , . - - - , - - ---w-

-w ---..---,.,---,-..-,w_,.--.,.-,--,-------1._-.-.

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(1)

Cumulative Amount from Inception to Date of this Billing - Insert the ctanulative amounts billed for the major cost elments and adjusted amounts claimed during this contract.

(a)

Total and Amounts curnulative Claimed periods. - Insert the total amounts claimed for the current (n) Adjustments - This includes amounts conceded by the contractor, outstand-ing suspensions, and .dtsapprovals subject to appeal.

(o) Grand Totals i

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i WVCHERS FOR FURCILASLS AA0 SLRYlCES 01HER litAN PERi

\

l SAMPLE YOUCHER

.. 1 r tory Consnission ' " "

. NRC40-81-624 Division of Accounting and Finance (b)

Office of Resource Management Title of Project __"$tudy of Nuclear Waste concepts

• Attention: GOV /COM Acets Section Washington, D.C. 20555 Payee's Name and _ Address A5C CORPORATION (c) Yovcher Nur6er 003 The National Bank (d) Date Yovcher Prepared l 100 Main Street or Anywhere. U.S.A. , 10/18/82 Anphere U.S.A. Assignee for A8C CORP.

Anphere. U.S. A. (e) Total Estimated Cost of Contract

$350.000.00 lIndiividual to Contract (When Payments Assigned) (f) Total Fixed-Fee Regarding This Youcher: $17,500.00

. Name: Harry Murphy Tel. No.: 215-321-8654

)

l(9) This voucher represents ref t.turseable costs from 3/1/82 thru 3/30/8?

{, _Anount Billed l(h) Direct Costs .

(L) Current Period (1) . Inception te Date (1) Direct Labor * $2.400

' (2) Fringe Benefits P 16.5. 56.800 (if computed as percentace)

(3) Direct 600 1.200 j [cuiprent

• 5.000 (4) itaterials. Supplies and _

0,000,

%y Other Expendable items

• 2.000 4.000 (5) Vrc.mium Pav ~~

1 (6) Consultants * ~~ ~ 100 100

"'W~ ~ ~ ~ ~

~

(7) travel - Domestic

• 20f 100 i

i (S) Subcontract

• Foreien

• 200 _[

'I (9) Dtner Costs

• 200 200

~~'

T.000 9.000 l (i) Irl0! RECT COSTS '

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' II ' Fve rIIeTo~100 '. o f To t a l D i rec t Co s t s

~

(indicate 8Ise) $13.600 $2n.650

. ~

Subtotal $27.200 $ 50.100

0) General A Administrative Expense 3.264 l ? '., o f Co s t E lemen t s Nos . 1 -9. A 6.eo lotal Costs $30.464 $65.750 t

(j) FIICO.F([ TARN [D (formula) 1.$/3 3.400 (m) Total Ancunts Claimed 531.987

$69.150 _

(n) Adjus tnen ts Outstandinq $uspensions

• 1.700 1.700 (ri) Gr.ints int 11 . $3n,7a7 St7.4so

• (kt Allnl 5 $UrrtW11NG INf 0lWA110N. )

-- ( *.i t Al lt.Clif D. )

W.1 M.G G

,, /D'

I SAMPLE  ;

_ SUPPORTING INFCRMTION

1) Direct Labor - $2400 Labor Labor Hours Hours Category Negotiated Cumulative Billed Rate Total _ Hours Billed Senior Engineer I 2400 100 $14.00 $1400 975 Engineer 1500 50 $10,00 $500 465 Computer Analyst 700 100 $5.00 $500 320 TRW

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

4) Materials, Supplies & Other Excendable Items 10 Radon Tubes 9 $110.00 = $1100.00 6 Pairs Electmstatic Gloves ,9 $150.00 = $900.00

32000.00

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

6) Consultants

• Fee Dr. Carney - I hour 9 $100 = $100 i 7) Travel l

Date Traveler Destina tion Purpose Costs l i F rom To From To 1

l 3/1/82 3/6/82 William King Chicago, Wash., Meeting with 1) Airfare $80.00 i IL OC Project 2) Rental Car 515.00 1 Officer 4) Per Diem - 2 Days i 9 $50.00 = $100.0,0

6) Tips , Mi sc. $ 5.00 TOTAL: $200

?

• rm

8) Subcontracts XYZ CORP. (CPFF) j Ofrect Labor:

0/H 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> # $20.00 per hour = $1600.00 9 50%  !'

Travel - 2 Trips - Wash.. DC . $g g 0 $200 . $400,'o0 to Boston, M )

=** . 7, .

$200.00

) i

-53000.00 ,

(j) Fixed. Fee (Formula)

(5%)

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

$27,200 X 5% = $1360 Fee Billed for this Period (n) Adjustments 3

$1700Officer

- Indicates tacent withheld from voucher f001, now ap letter 3/10/82.

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