ML20127L603

Contract: Assistance in Support of Diagnostic Evaluation of Nuclear Facility Engineering, Awarded to Science & Engineering Associates,Inc

ML20127L603
Person / Time
Issue date:	12/21/1992
From:	Colina I, Wiggins E NRC OFFICE OF ADMINISTRATION (ADM), SCIENCE & ENGINEERING ASSOCIATES, INC.
To:
References
CON-NRC-26-93-290 NUDOCS 9301270222
Download: ML20127L603 (152)

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• =""'"***'*"*" cooti i ma r cooE i U.S. Nuclear Regulatory Comission U.S. Nuclear Regulatory Comission Division of Contracts & Property Management Division of Contracts & Property Managemen 3 Contract Admin. Branch ilo.1; P-900 Washington, DC 20555 Mashinaton. DCe 20555

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Science & Engineering Associates, Inc. O'oa oa'o'- Do'"ra<5'*-> i

. - 1 , , - n.uc 1 6100 Uptown Blvd., NE Albuquerque, NM 87110 N/A Principal Investigator / Technical io svenmi hv0Ct$

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Contact:

Henry A. Dailev

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, ,"C' f,""Td 6 Telenhone No. em ) 49? 0005 F AcauTY CODE ADORESS SHOWN IN CODE ia PayWENT wu mE uGE 9 ---

n grew roesamm som cooE, U.S. Nuclear Regulatory Cbhtfhuiun '

See Section F.5 Div, of Accounting & Fin. , Gov /C0M Accounts, Uashington, DC 20555

i. ~~mo a~o eria cau o Accin roi us=o or4= 1=. mu. ano a s cm - B&R No.:382-19-301-100 APPN NO.:31X0200.823

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O a' u n e esm i Job Code: E8214 BOC: 2542 08L AMT: $0 0 a u sc isc. OuANTify eso unit ist uur ea.cf isF auovNT isa iTE u O isa Supeues.staveES The U.S . Nuclear Regulatory Commission letaby accept ; Science & Engireering

, as revised on Associates, Inc.'s technical proposal d ated April 17 , 1992 September 28, 1992, both of which are 1 1corporated h arein hv reference, to ich is perforn the work in accordance with Sol icitation No. RS-AEh-92-266 wr attached and made a part of this contra:t. This is 1 Cost Plus Fixet Fee Task Ordering, Requirements type contrar:t. S42a.024 --

ISGTOTAL AMOUNT OF CONTRACT 16 TABLE of CONTENTS DESCRIP rON lPAGEist OE SCAiPTION lPAGEtSt lSECl --

{ SEC l utT e cchinact clauses pamf . Tw scwoutt yl8 i CONTRACT PLAUSES 13 2 -i X A SOLICIT ATIONCONTRACT FORM paAT e . ust ca DocuuENTS En.asTS asso_omte artaca g y 9 SUPPttES OR SERVICES AND PACESCOSTS 8 l40 I

<q ylJ l LIST OF ATTACHMENTS X C DESCm:PTIONSPECSJWORK ST ATEMENT Paar vv . AEpnESEhf af10NS &a.0 esSTRUC'O.#S L4 y 0 PaCKA0iNO AND WAMMING 19 g piEPRESENTATONS. CERTIFCATONS AND d X E INSPECTION AND ACCEPT ANCE  ;.

oTHER STATEMENTS OF OFFEROAS F DElfvERsES Om PERFORMANCE 16 4 X WSTAS . CONOS , ANO NCTICES TO OFFEROAS 19 L

_X 0 CONTRACT ADMINtSTRATON CATA 3 I 7d M EVALUATON FACTOAS FOR AWARD Y N SPECIAL CONTRACT 3EQUlREMENTS q CONTRACTINo OFFICER w!LL COMPLETE ITEM 17 OR 18 AS APPLICABLE s

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PDR CONTR NRC-26-93-290 PDR

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NRC-26-93-290 Page 2 of 3 This contract is completed as follows:

1. Section 8 Article B.3.a is completed to read:

$424,02t

2. Section F, Article F.5, PLACE OF DELIVERY -- REPORTS, insert:

Project Officer: Henry A. Bailey U.S. Nuclea Regulatory Commission AE00/DEIIB, MS-5219 Washington, DC 20555

3. Section F, Article F.6, DURATION OF CONTRACT PERIOD, is completed to read, "... commence on December 18, 1992... expire on December 17, 1995."

4. Section G.1., INDIRECT COST RATES, is completed as follows:

Rate Base Period Fringe - 35.8% Direct Labor, 12/18/92-4/30/93 Less Sr. Associate Overhead - 84% Direct Labor, 12/18/92-4/30-93 Less Sr. Associate General & Administrative - 12.4% Costs before G&A, 12/18/92-4/30/93 except Subcontractor Facilities Capital Cost of Money - Direct Labor, less 12/18/92-4/30/93

.01040% Sr. Associate M&S Overhead - 1.8% Subcontractor 12/18/92-4/30/93 Costs

5. Section G.2, PROJECT OFFICER AUTHORITY, is completed as follows:

"Name: Henry A sailey Address: U.S. Nuc. ear Regulatory Commission AE00/DEIIB, MS-5319 Washington, DC 20555 Telephone No.: (301) 492-9006"

6. Section H.1, KEY PERSONNEL, is completed as follows:

Thomas Ippolito, Project Manager William Bernahl Robert Dameron Eddie Claiborne R. E. Nickell James Clark Y. R. Rashid John Darby Gary Bethke William Lowry Gordon Bryan James Lynch Charles Meaker Frank Sciacca Peter Reagan Willard Thomas David Schultz Gilbert Zigler James Leivo

NRC-26-93-290 Page 3 of 3

7.Section I.1, CLAUSES INCORPORATED BY REFERENCE, the following by-reference clauses are deleted in their entirety:

JUN 1991 52.209-6 PROTECTING THE GOVERNMENT'S INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS 4

DEBARRED, SUSPENDE0, OR PROPOSED FOR DEBARMENT APR 1989 j 52.232-25 PROMPT PAYMENT

8.Section I.1, CLAUSES INCORPORATED BY REFERENCE, the following by-reference clauses are hereby incorporated:

NOV 1992 l 52.209-6 PROTECTING THE GOVERNMENT'S INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR

- DEBARMENT SEP 1987 52.215-30 FACILITIES CAPITAL COST OF MONEY 52.232-25 PROMPT PAYMENT SEP 1992 9 .'Section I, FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER I) CLAUSES, add the following clause, copy attached:

52.222-18 NOTIFICATION OF EMPLOYEE RIGHTS MAY 1992 CONCERNING PAYMENT OF UNION DUES OR FEES

. 10. Attachment 1, BILLING INSTRUCTIONS FOR COST-REIMBURSEMENT TYPE CONTRACTS, dated 8/89, is deleted and the attached BILLING INSTRUCTIONS FOR COST-REIMBURSEMENT TYPE CONTRACTS, dated 3/92, is substituted in lieu l

thereof.

ALL OTHER TERMS AND CONDITIONS REMAIN THE SAME.

4 4

NRC-26-93-290 Section I 1.7 52.222-18 NOTIFICATION OF EMPLOYEE RIGHTS CONCERNING PAYMENT OF UNION OUES OR FEES (May 1992)

(a) During the term of this contract, the Contractor agrees to post a notice, of such size and in such form as the Secretary of Labor may prescribe, in conspicuous places in and about its plants and of fices, including all ;, laces where notices to employees are customarily posted. The notice shall include the following information (except that the last sentence shall not be included i

in notices posted in the plants or of fices of carriers subject to the Railway Labor Act, as amended (45 U.S.C. 151-188)):

Notice to Employees Under Federal law, employees cannot be required to join a union or maintain membership in a union in order to retain their jobs.

Under certain conditions, the law permits a union and an employer

" to enter into a union-security agreement requiring employees to pay uniform periodic dues and initiation fees. However, employees who are not union members can object to the use of their payments for certain purposes and can only be required to pay their share of union costs relating to collective bargaining, contract administration, and grievance adjustment.

If you believe that you have been required to pay dues or fees used in part to support activities not related to collective bargaining, contract administration, or grievance adjustment, you i may be entitled to a refund and to an appropriate reduction in future payments.

For further information concerning your rights, you may wish to contact either a Regional Office of the National Labor Relations Board, or the National Labor Relations Board, Division of Information, 1717 Pennsylvania Avenue, NW, Washington, DC 20570.

(b) The Contractor will comply with all provisions of Executive Order 12800 of April 13, 1992, and related rules, regulations, and orders of the Secretary of Labor.

(c) In the event that the Contractor does not comply with any of the requirements set forth in paragraphs (a) or (b) of this clause, this contract may be cancelled, terminated, or suspended in whole or in part, and the Contractor may be declared ineligible-for further Government contracts in accordance with procedures authorized in or adopted pursuant to Executive Order 12800 of April 13, 1992. Such other sanctions or remedies may be imposed as are provided in Executive Order 12800 of April 13, 1992, or by l

tule, regulation, or order of the Secretary of Labor, or as are otherwise provided by law.

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i NRC-26-93-290 Section I J

(d) The Contractor will include the provisions of paragraphs (a) through (c) in every subcontract or purchase order entered 4

into in connection with this contract unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 3 of Executive Order 12800 of April 13, 1992, so that such provisions will be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any j such subcontract or purchase order as may be directed by the Secretary of Labor as a means of enforcing such provisions, including the imposition of sanctions for noncompliance; provided, however, that if the Contractor becomes involved in litigation with a subcontractor or vendor, or is threatened with such involvement as a result of such direction, the Contractor may request the United States to enter into such litigation to protect the interests of the United States, (End of Clause) 4 i

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ATTACHMENT 1 Revised 3/92 BILLING INSTRUCTIONS FOR COST-REIMBURSEMENT TYPE CONTRACTS Gensral: The ccntractcr shall prepare vouchers / invoices for-reimbursement of l costs in the manner and format described herein. A sample voucher / invoice is i

j provided for your reference. FAILURE TO SUBMIT V0UCHERS/ INVOICES IN ACCORDANCE i l WITH THESE INSTRUCTIONS WILL RESULT IN REJECTION OF the VOUCHER / INVOICE  !

IMPROPER, i

Number of Cooies: An original and three copies, including supporting

documentation shall be submitted. A copy of all supporting documents must be attached to each copy of your voucher / invoice. Failure to submit all the

required copies will result in rejection of the voucher / invoice as improper.

Der 4nsted Acency 91 m ne Office: Youchers/invcicc: chcIl be sub=itted-to-the following address:

i U.S. Nuclear Regulatory Commission Division of Contracts and Property Management Contract Administration Branch, P-902 Washington, D.C. 20555 i

HAND DELIVERY OF V0UCHERS/ INVOICES IS DISCOURAGED AND WILL NOT EXPEDITE PROCESSING BY NRC. However, should you choose to deliver vouchers / invoices by hand, including delivery by any express mail services or special delivery services which use a courier or other person to deliver the voucher / invoice in person to the NRC, such vouchers /1nvoices must be addressed to the above Designated Agency Billing Office and will only be accepted at the following location:

4 U.S. Nuclear Regulatory Commission One White Flint North 11555 Rackville Pike Mail Room Rockville, Maryland 20852 HAND-CARRIED SUBMISSIONS WILL NOT BE ACCEPTED AT OTHER THAN THE AB0VE ADDRE Note that the official receipt date for hand-delivered vouchers / invoices will be the date it is received by the official agency billing office in the Division of Contracts and Property Management.

Acency Payment Office: Payment will continue to be made by the office designated t in the contract in Block 12 of SF 26 or Block 25 of SF 33, whichever is i applicable.

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

Form: Claims should be submitted in the format depicted on the attached sample form entitled " Voucher for Purchase and Services Other than Personal" (see Enclosure 1). The sample form is provided for guidance only. The form is not required for submission of a voucher / invoice. Alternate formats are permissible provided all requirements of the billing instructions are addressed. Additional copies of the fcrm are available from the Contracting Officer. The instructions for ir m ia e,.t ir.n ,.n.i i tuiza t ine. ..f the s nochpr/invoire tro included with the sample form (see Enclosure 2).

Task Orderino Contracts: If the contractor bills for more than one task order under a voucher / invoice, detailed cost information for each individual task order shall be submitted, together with a cumulative sumary of all charges billed on the voucher / invoice. This includes all applicable cost elementstogether discussed in with paragraphs (a) through (p) of the attached instructione, appropriate supporting information (see Enclosure 3 for a sample of support information).

Fee P f envorv Rillinac- Pursuant tn the nrovisions of 10 CFR Parts 170 and 171 on TTcense fees, the NRC must recover the40st of work perforW Accordingly, the contractor must provide the total amount of funds billed ce 71 the period, fiscal year to date and the cumulative total for each task or tass assignment by facility or report. The fee recovery billing reports shall be on a separate page, and shall be in the format provided in Enclosure 4. The billing period for fee recovery costs should be from the first day of each calendar month to the last day of the same month. Each separate fee billing report must be attached ,

to the monthly invoice and cover the same period as the invoice.

Each report will contain a docket number or other unique identifier. The NRC will provide a unique identifier for all work performed. Costs should be reported as whola numbar to tha nearest cant. For work that involves mora than i one facility at the same site, each facility should be listed separately and the costs should be split appropriately between the facilities. Comon costs, as defined below, shall be identified as a separate line item in the_ fee recovery 1 billing report each month.

Comon costs are those costs that are not licensee unique and associated with the perform:nce of :n over:ll progrs= th:t benefit all similar licensees covered under that program or that are required to satisfactorily carryout the program.

1 Comon costs include costs associated with the following: preparatory or startup efforts to interpret and reach agreement on methodology, approach, acceptance criteria, regulatory position, or technical reporting requirements; efforts associated with the " lead plant" concept that might be involved during the first one or two plant reviews; meetings and discussions involving the above efforts to provide orientation, background knowledge or guidance during the course of a program; any technical effort applied to a docket or other unique identifier; and project management. Comon costs must be reported monthly for each docket er

, unique identifier. Comon costs must be computed based on the proportion of direct costs incurred agcinst each docketa:r uniqueJdentifier for the billing period.

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4 Billine of Cost After Exoiration of Contract: If costs are incurred during.the-j contract period and claimed after the contract hes expired, the period during

which these costs were incurred must be cited.~ Ta be considered a proper

- expiration voucher / invoice, the contractor shall clearly mark it " EXPIRATION 1 VOUCHER" or " EXPIRATION INVOICE".

l Final vouchers / invoices shall be marked " FINAL VOUCHER" or " FINAL INVOICE".

Currency

Billings may .be expressed in the currency normally used by the contracter in stat?iaia3.Ms' accounting racords; payments will be made in that l

currency. However, the U.S. dollar equivalent for all vouchers / invoices paid under the contract may not exceed the total U.S. dollars authorized in the-contract.

i. Suoersession: These instructions supe :ede any previous billing instructions.

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s Enclosure 1

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VOUCHERS FOR PURCHASES AND SERVICES OTHER THAN PERS SAMPLE VOUCHER cfficist Acenev 9 riine_ Office (a) Contract Numoer U,S. Nuclear Regulatory Commessson Omsion of Centracts and Property . Task Crder No. (if Applicaele)

- Management, P-902 _ ,i Wasnington. CC 20555 (b) Titfe cf Project _

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, Pavee's Name ene Acr?ett l

(c) Voucher Number 4 (d) Project Officer (e) Cate of Voucher Inewidual to Ccntact Fegarcing This voucner: (f) Contract Amount j l

Name: (g) Fixec Fee Tel, No.:

4 - _ -.

_thru This voucner represents reimeursaote costs from (h)

Amount emea (1) Cor*ent Pened (m) Inceetion to Cate (i) Direct Cests (1) Dree+tseer i l

(2, Fringe Benefits 'i f

j H eemulee es cerce~ ace l

(3) Ca::itah2ec NonexcencaDie h l

E cu.cn~e c  ;

(4s Materials. Succues anc f Nenescitalered Ecuiement i 6

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Pemum Pay t 4 (5) i (6) Censuttants i I i (7) Travet - Comestic

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Fore.en i i i

(8) Subeentract

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(9) Other Cests __

Total Direct Costs (j) INO!AECT COSTS (A) Overnead __ _% of l

(Indicate Base; ,

Suetotal General & Administratue Expense (B)

% of Ccst Elements Nos.

Total Costs (k) FIXEO FEE EARNED (Forttiula) _

(n) Total Amount Ctaimec (c) Adjustments Outstancing Suscensions (p) Grand Totais

'(REOUIRES SUPPORTING INFORMATION-SEE ATTACHED)

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VOLDEG NR PURCHASES AND SERVICES ODER WAN PDtSONAL NRC-10-BI-624 Official Agenty Billing Office: (a) Contract Number 002 Task Order No. (If A.plicable) n U. 5. . Nuclear Regulatery (n.ission " Study cf Nuclear Division of Contracts anc Property (b) Titic of Droject ~ j

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Waste Conceots" j Management, P.002 20555 h Was hington , 0.0. 003 Pavee's Name eno Address (c) Voucher Number f ASC Corporation The National Bank (d) Preject Officer

.. . hr : , . < a i 100 Main htree,.i Assionee f or ABC Corp.

1 Anywhere, U.S. A. (e) Date of 'voucner j nny...sre, ...A.

IWhen Payments Assigned (f) Contract Amount I

j Individual to Contact (g) Billing Period _

Regarding This Voucner:

name: Harrv Muronv j Tel . No. . U :-x4-oo:- '

3/30/82 3/1/82 thru l e

This voucr.er represents reimbursable cos ts from

( h) l Atrount Billed I (m) Inception to Date

' (l) Current Period I u_ ann j ( i) Direct C sts 5?.400 (1) :irect Labor

• 20.:t 1,200 (2) trince eeneint 8 Ann '

l e comeutec as oeF2Tn'tacei S.000 J

(3) m tai uec :.:nexpenca:ic 5,000

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Eeuiemen:

2,000 4.000 (4) P,iteriais, Sc :nes anc

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l 150 '

n:ncacitalirec Ecut omen- 100 100

• (5) :remue eav 100 200 _ __ ?nn f (6) C:nsuitants *

(7) ! raves - Ceres:ic Fore,cn '

' 200 200 9,000 (S) ivocontract

• a,uvo  !

.650

(?) Otner costs ' * '"

f (j) lif0! RECT COSTS $13,600

$29,650 A) Overneaa y)of Total Direct Costs (Indicate Base $59,300 j $27,200 Subtotal General & Administrative Expense 6.450

8) 3.264

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;n 12 i of Cost Elements Nos.1-9. A 530,464 Total Costs

, 1.523 _

_3.400

( k) FIXED-FEE EARHED (Formula) $31,987 $69.150

, ( n) Total kcunts Claicec 1.700

( o) Adjus tments 1,700 outster:ing Sescansions sA7,450

$30,287 _

( p) Grand Totals f

• (ftECUlnEs sur'?cRT!t:G 1t:F0~t'AT10: . )

(SEE ATTACilio )

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0 4 Enclosure 2 INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACTS In order .o constitute F*ecaration anc itemization of the Voucher / Invoice:

a proper invoice, the ccntracte- terli fuenish all the information set f0rth below. These notes are keyed to the entries on the sample voucher / invoice.

Official Agency Billing Office: Address the original and 3 copies of the voucher / invoice, together with supporting documentation attached to each l c: y to:

U. 5. Nuclear Regulatory Commission, Division of Contracts and l Preperty Management, P-902, Washington, D. C. 20555.

Vouchers / invoices delivered by hand, including delivery by an express mail services or special delivery services which use a courier or other person  ;

t; delivsr the .:ccher/ invoice in person in the NRC. U.should be addressed

5. Nuclear Regulatoryin ac:ordance with the foregoing and delivered to:

C:mmission,0ne White Fitnt North,11555 Rockville Pike, Rockville,

.aryland w 20852. Hand-delivered vouchers / invoices will not be accepted at Note, however, that the of ficial receipt etner than the above address.

cate for hand-delivered vouchers / invoices will be the date it is received by the of ficial agency billing office in the Division of Contracts anc

-operty Management.

Payee's name and address.

Show the name of the contractor as it appears-in t.te contract and its correct address. When an approved assignment-has been made by the contractor, or a different payee or addressee has been designated, insert the name and address of the payee. Indicate the name and telephone number of the individual responsible for answering any questions that the NRC may have regarding the invoice. 1 (a) Contract Number. Insert the NRC contract number Task Order Number, if applicable. Insert the task order-numoer.

4 (b) Title of Project. List the full title of the project being performed under the contract.

Sequential voucher / invoice number. The appropriate sequential number (c) of the voucher / invoice, beginning with 001 should be desigr.ated.

Contractors may also include. individual internal accounting numcers, if desired, in addition to the 3-digit secuential number.

(c) project Of ficer's name as designated in the contract.

(e) Date of voucher / invoice. Insert the date the voucher / invoice is prepared.

Insert the total estimated cost of the contract, (f) Contract Amount. Include this information as it applies to exclusive of fixed-fee.

individual task orders as well.

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(g) Fixed-Fee. Insert total fixed-fee. Include this information as it applies to individual task orders as well.

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

Insert th* major cost elements:

(i) Direct Ces<r This consists of salaries and wages paid (or (1) Direct Labor.

accrued) for direct performance of the contract itemized as follows: I Labor Hrs. Hours Cumulative

" Labor 4

Negotiated Billed Rate Total Hours Billed l

Category (4) Fringe Renefits. This reeresents fringe benefits applicable to Where a rate is used,

] direct labor and billed as a direct cost.

indicate the rate, Fringe benefits included in direct labor or in other indirect cost pools should not be identified here.

For educational institutions, list each item (3) Direct Equipment.

costing $500.00 or more and having a life expectancy of more than one year. For contractors other than educational institutions, list each item costing $200.00 or more and having a life i

expectancy of more than one year. List only those items of 4

equipment for which reimburrement is requestec. A reference shall be made to the following (as applicable): (a) the item numoer for the specific piece of equipment-listed in the property schedule of the contract; (b) the Contracting Officer's approval letter if the equipment is not covered by the property schedule; or (c) be preceded by an asterisk (*)

if the equipment is below the approval level. Further ltemization of vouchers / invoices shall only be required for items l

having specific limitations set forth in the contract.

(4) Materials, Supplies, or Other Expendable Items. These are consumable materials, supplies, and equipment other than that descrioed in (3) above.

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

The supporting information must include the

(6) Consultant's Fee.

name, hourly or daily rate of the consultant, and reference the NRC. approval (if not specifically approveo in tne original contract).

. o (7) Travel. Domestic travel is travel within the United States, its territories, possessions, and Canada. It snould be billed i l

separately from foreign travel.

All casu associated with each trip must be shown in the folk.t ng format.

Date Traveler Destination Purpose Cost From To Frem To 5 (8) Subcontracts. Include separate detaileo breakdown of all costs paid to approveo subcontractors during the billing period.

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

(j) Indirect Costs - Overhead. Cite the formula (rate and base) in

, effect during the time the cost was incurreo ano for which reimbursement is claimed.

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

J (1) Amount Billeo for Current Period. Insert the amount billed for the major cost elements, adjustments, and total amount for the period.

(m) Cumulative Amount from Inception to Date of Current Billing. Insert

- the cumulative amounts billed for the major cost elements and i

adjusted amounts claimed during this contract.

(n) Total Amounts Claimed. Insert the total amounts claimec for the current and cumulative periods.

4 (o) Adjustments. This includes cumulative amounts billed that have been suspended or disallowed.

. (p) Grand Totals.

Enclosure 3 SAMPLE SUPPORTING INFORPATION

1) Direct Labor - $2400 Hours Cumulative Labor Hours Total Hours Billed Labor Nam t ia ted Billeti Rate _

Catecory

$14.00 $1400 975 2400 100 Senior Engineer i 465 50 510.00 5500 1500 Engineer 5500 320 100 55.00 Computer Analyst 700 $2400 .

2) Direct Eouienent_

Spectrereter - General Electric (as approved in Property Sct.edule) 55,000

4) Materials, Sucolies & Other Exoencable items

= $1100.00 10 Racon Tubes 9 5?'0.00

= $900.00 6 Pairs Electr:: atic Gioves J 5150.00 52000.00

5) Premium Pay Walter Murpny 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br /> _0 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/89.)

6) Consultants' Fee

= 5100 Dr. Carney - 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> 9 5100

7) Travel Costs Destination Puroose Date Traveler From To from g Chicago, Wash., P.eeting with $200 William King Project 3/1/EC 3/6/89 Il DC Officer i

1

E) Subcontracts XYZ CORP. (CPFF)

Direct Labor: - 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> 0 $20.00 per hour = $1600.00 0/H P 50% = $800.00 Travel - 2 Trips - Wash., DC 9 $200 = $400.00 to Boston, MA Profit 9 71 = $200.00 '

TOTAL: 53000.00 (k) Fixed-Fee (Formula)

(5 )

$350,000 I 5% = $17,500 Total fixed fee for this Contract -

327,200 I 5: = $1350 fee 8 tiled for this Period (c) Adiustments

$1700 - Indicates ecour.t withheld from voucher d001, now approved by Contrac:ing Officer letter 3!1049.

e

.e ee e' W

, Enclosure 4 MONTHLY CONTRACTUAL COST

SUMMARY

REPORT FOR FEE BILLING FIN:

Facility Nam or Report

Title:

TAC or Inspection Report Number:

(or other unique identifier)

Docket Number (if applicable): _. _

Period Fiscal Year Total Cost Cateaories Period Amount Cost Incurred To Date Costs Cumulative Costs Labor Materials Subcontractor /

Consultant Travel Other (specify)

Comon Costs Total Remarks: --

R$-AEO-92-266 50LIC2 TAT 10N, OFFER AND AOARD

.;. Page 1 of 3 Pages 3 1. This contract i s a rated oroer under OPAS(15 CFR 350) RATING:

2. CCNTRACT NC. l3. SOLICITATION NO. l4 TYPE OF SOLICITATION l

RS-AED-92-266 l

[ ] SEALED BID (IFB)

[X) NEGOTIATED (RFP)

E. DATE ISSUED l6. REQUISITION / PURCHASE REQ. NO. .

gydt181992 AED-92-266

7. ISSUED BY CODE l8. ADDRESS OFFER TO ATTN: RS-AED-92-266 l (If other than Item 7)

U.S. Nuclear Regulatory Commission l Offer must be addressed as shown in Div. of Contracts & Property Mgmt. l Item 7. Hand-carried offers Contract Neg. Br. No.1; P-1020 l (Including Express Mail & delivery Wasnington, DC 20555 l services) must be~ delivered to l the address in Item 9.

l NOTE: In sealed bid solicitations, " offer"/" offeror" mean " bid"/"bidcer".

SOLICITATION

9. Sealed offers for furnishing the services or supplies in the scheoule are due at 3:30 PM, Washington, DC local time on 4/20/92 . Offers sent througn the U.S. Mail (including U.S. Postal Service Express Mail Next Day Service - Post Office to Addressee) must be addressed to the place specified in Item 7. All hand-carried offers including those made by private delivery services (e.g. Federal Express and Airborne Express) must be delivered to 7920 Norfolk Avenue, Bethesda, Maryland 20814 and received in the depository located in Room P-1011. NRC is a secure f acility with perimeter access-control and NRC personnel are not available to receive hand-carried offers except during normal working hours, 7:30 AM - 4:15 PM, Monday through Friday, excluding federal holidays. Offerors should be aware that many private carriers only make deliveries to the mail room. All offerors should allow extra time for internal mail distribution.

Offerers should clearly identify the RFP number on the outside wrapper. IFB's should have affixed the Optional Form (OF) 17, " Sealed Bid Label," on the outside wrapper.

CAUTION - LATE SUBMISSIONS, MODIFICATICNS AND WITHDRAWALS. SEE SECTION L.

PROVISION NO. 52.214-7 OR 52.215-10.

All offers are subject to all terms and conditions contained in this solicitation. (See the Provision in Section L, " Proposal Presentation and Fo rmat") .

10. FOR INFORMATIONl A. NAME: lB. TELEPHONE NO. (Include Area Code)

CALL: lTeresa McLearen l (N0 COLLECT CALLS) l l (301) 492-4290 l

EXCEPTION TO STANDARD FORM 33 (REV.4-85) Prescribed by GSA FAR(48 CFR) 53.214(c) i e

- - - - _ - - - - - - - ____.-__m -A _._ _ _ . _ _ . . _ , _ . _ _ . , _ _ _____ ,,_, ,,

RS-AED-92-266 SOLICITATION, OFFER AND AWARD Page 2 of 3 Pages

11. TABLE OF CONTENTS X SEC DESCRIPTION PAGE(S)

PART I - THE SCHEDULE A SOLICITATION / CONTRACT FORM B SUPPLIES OR SERVICES AND PRICES / COSTS C DESCRIPTION / SPECIFICATIONS / WORK STATEMENT D PACKAGING AND MARKING E INSPECTION AND ACCEPTANCE F DELIVERIES OR PERFORMANCE G CONTRACT ADMINISTRATION DATA H SPECIAL CONTRACT REQUIREMENTS PART II - CONTRACT CLAUSES I CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J LIST OF ATTACHMENTS -

PART IV - REPRESENTATIONS AND INSTRUCTIONS K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFER 0RS L INSTRUCTIONS, CONDITIONS, AND HOTICES TO OFFER 0RS M EVALUATION FACTORS FOR AWARD OFFER (Must be fully completed by offeror)

NOTE: Item 12 does not apply if the solicitatior. includes the provision at 52.214-16, Minimum Bid Acceptance Pe,'iod.

12. In compliance with the above, the undersigned agrees, if this offer is accepted within 00 calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point (s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT (See Section I, Clause No. 52.232-8) 10 CALENDAR DAYS 20 CALENDAR DAYS 30 CALENDAR DAYS CALENDAR DAYS

%  % NET %  %

14. ACKNOWLEDGEMENT OF AMENDMENTS The offeror acknowledges receipt of amendments to the SOLICITATION-for offerors and related documents numbered and dated:

AMENDMENT NO. DATE AMENDHENT NO. DATE One March 31, 1992 EXCEPTION TO STANDARD FORM 33 (REV.4-85) Prescribed by GSA FAR(48 CFR) 53.214(c)

4 . . .

RS-AED-92-266 SOLICITATION, OFFER AND AWARD Page 3 of 3 Pages OFFER (CONTINUED) 15A. NAME AND l CODE l l FACILITY l l16. NAME AND TITLE OF l'ERSON ADDRESS l l AUTHORIZED TO SIGN OFFER OF l Science & Engineering Assoc. , Inch (Type or print) 0FFEROR lP.O. Box 3722 Brad Ross. Administrator l Albuquerque. NM 87190 03-830-2634 fEC:

ISB. TELEPHONE NO. (Include Arec (15C. CHECK IF REMITTANCE ADDRESS IS Code) l [ ] DIFFERENT FROM ABOVE - ENTER SUCH (505) 884-2300 l ADDRESS IN SCHEDULE

17. SIGNATURE: 18. OF R TE:

AWARD (To be completed by Government) 19.ACCEPTEDASTOITEMSNUMBEREDl20. AMOUNT l21.ACCOUNTINGANDAPPROPRIATION l

l l l l 5 1

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION:

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

23. SUBMIT INVOICES 10 ADDRESS SHOWN IN l ITEM (4 copies unle s otherwise specified) l I

24. ADMINISTERED BY CODE l l25. PAYMENT WILL BE MADE BY CODE l (If other than Item 7) l U. S. Nuclear Regulatory Commission l Division of Accounting and Finance l GOV /COM Accounting Section l Washington, DC 20555

26. NAME OF CONTRACTING OFFICER l27. UNITED STATES OF AMERICA l28. AWARD (Type or Print) l l

DATE l l (Signature of Contracting Officer)

IMPORTANT - Award will be made on this Form or on Standard Form 26, or by other authorized official written notice.

EXCEPT0ETO STANDARD FORM 33 (REV.4-85) Prescribed by GSA FAR(48 CFR) 53.214(c) l

__.-____m.m._.___m______m.m_- _u_- _ . - -

c TABLE OF CONVENTS PAGE SOLICITATION, OFFER AND AWARD. . . . . . .... ... .... 1 PART I - THE SCHEDULE. . . . . . . . . . . . . .... ... 8 SECTION B - SUPPLIES OR SERVICES AND PRICES / COSTS. ... .. . 8 B.1 PROJECT TITLE . . . . . . . . . . . . . . . . . . . . . . . 8 B.2 BRIEF DESCRIPTION OF WORK (MAR 1987). . . . . . . . . . . . 8 ALTERNATE I (JUN 1988)

B.3 CONSIDERATION AND OBLIGATION--TASK ORDERS (AUG 1989). . . . 8 SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT. . . . .... 10 C.1 STATEMENT OF WORK , . . . . . ... .. ..... 10 SECTION D - PACKAGING AND MARKING. . . .. ... ...... . 14 0.1 PACKAGING AND MARKING (MAR 1987). . . . , ..... 14 SECTION E - INSPECTION AND ACCEPTANCE. . . . . . . . . ...... 15 E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988). . . 15 E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987) . . .. .. 15 SECTION F - DELIVERIES OR PERFORMANCE. . . . . . .. ...... 16 F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988). . . 16 F.2 PREPARATION OF TECHNICAL REPORTS (JUN 1991) . . . . . . . . 16 F.3 TECHNICAL PROGRESS REPORT (OMB CLEARANCE NUMBER 3150-0112). 16 (JUN 1988)

F.4 FINANCIAL STATUS REPORT (OMB CLEARANCE NUMBER 3150-0112). . 17.

(JUN 1988)

F.5 PLACE OF DELIVERY--REPORTS (JUN 1988) . ......... 18 F.6 DURATION OF CONTRACT PERIOD (MAR 1987). .......... 18 ALTERNATE I (JUN 1988)

SECTION G - CONTRACT ADMINISTRATION DATA . ... . ...... 19 G.1 INDIRECT COST RATES (JUN 1988). . ....... .. 19 G.2 PROJECT OFFICER AUTHORITY (JUN 1988). . ...... . 19 G.3 REMITTANCE ADDRESS (MAR 1987) . . . . . ... .... 21 G4 TASK ORDER PROCEDURES (MAR 1987). . . ......... 21 G.5 ACCELERATED TASK ORDER PROCEDURES (JUN 1988). ... .. 23 G.6 LICENSE FEE REC 0VERf COSTS. . . . . . ... ....... 23 SECTION H - SPECIAL CONTRACT REQUIREMENTS. . . . ..... ... 24 H.1 KEY PERSONNEL (JUN 1988). . ... . ....... . 24 H.2 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUN 1988) . . 25 H.3 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTECEST . ..... 25 (DEC 1991)

H.4 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY (JUNE 1988) . ... 28 H.5 DENIAL OF FEDERAL BENEFITS TO INDIVIDUALS . . ...... 28 CONVICTED OF DRUG TRAFFICKING CR POSSESSION (SEP 1990)

H.6 CONTRACT SECURITY REQUIREMENTS FOR UNESCORTED ACCESS TO , . 29 NUCLEAR POWER PLANTS PART II - CONTRACT CLAUSES . ....... ........... 32 SECTION I - CONTRACT CLAUSES . . . .. .......... 32 1.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988). . . 32 1

i m

I l

TABLE OF; CONTENTS PAGE I.2 52.203-9 REQUIREMENT FOR CEPTIFICATE OF PROCUREMENT . . . . 3 4 --

INTEGRITY--MODIFICATION (NOV 1990) 1.3 52.203-10 PRICE OR FEE ADJUSTMENT FOR ILLEGAL-. . . . . . . 35' OR IMPROPER ACTIVITY (SEP11990) 1.4' 52.216-18 ORDERING (APR 1984) , . . ............ 37 1.5 -52.216-19 DELIVERY-ORDER LIMITATIONS (APR 1984)'. ..... 37 1.6 52.216-21 REQUIREMENTS (APR 1984) ALTERNATE I (APR 1984). .

38 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS . . 40'-

SECTION J - LIST OF ATTACHMENTS. . . . . . . . . . . . . . . . . . . 40 i' J.1 ATTACHMENTS (MAR 1987). . . . . . . . . . ........ 40 PART IV - REPRESENTATIONS AND INSTRUCTIONS . ... ,,...... 41 SECTION K - REPRESENTATIONS, CERTIFICATIONS, AND . . . . . . . . . . 41 OTHER STATEMENTS OF 0FFERORS K.1 -52.203-4 CONTINGENT FEE REPRESENTATION AND . , , . . . . . 41 AGREEMENT ( APR -1984)

K.2 52.203-8 REQUIREMENT FOR CERTIFICATE OF PROCUREMENT . . .. 41 LNTEGRITY (NOV 1990) ALTERNATE -I-(SEP 1990) '

K.3 52.203-11 CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS . 44 l TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (APR 1991)

K.4 52.204-3 TAXPAYER IDENTIFICATION-(SEP -1989) . . . . . , . . 45  ;

K5 52.209-5 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, . . 46  !

PR6 POSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS (MAY 1989)

K: 6 52.209-7 ORGANIZATIONAL CONFLICTS OF INTEREST , . . . . . . 48 i CERTIFICATE--MARKETING CONSULTANTS (NOV 1991)

K.7 52.215-6 TYPE OF BUSINESS OPGANIZATION . . . . . . . . . . 50 (JUL 1987)

K.8 52.215-11 AUTHORIZED NEGOTIATORS (APR 1984). . . . . . . . 50-K,9 52.219-1 SMALL BUSINESS CONCERN REPRESENTATION. . . . . . 50.

(JAN 1991)

K.10 52.219-2 SMALL DISADVANTAGED BUSINESS CONCERN . .... 51 REPRESENTATION (FEB 1990)

K.11 52.219-3 WOMEN-0WNED SMALL BUSINESS REPRESENTATION. . . . . 52 (APR 1984)

K.12 52.220-1 PREFERENCE FOR LABOR SURPLUS AREA. . . . . . . .. 53-

" CONCERNS (APR-1984)

K.13 52.222-21 CERTIFICATION OF NONSEGREGATED FACILITIES . . . . 53 (APR 1984) _

K.14 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS . . . . 54 (APR 1984)

K.15 52.222-25 AFFIRMATIVE ACTION COMPLI ANCE ( APR 1984). . . . . 54 K.16 52.223-1 CLEAN AIR AND WATER CERTIFICATION (APR 1984). . . 55 K.17 52.223-5 CERTIFICATION REGARDING A DRUG-FREE. . . . . ... . 55 WORKPLACE (JUL 1990)

K.18 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST . . . .-. . 57 REPRESENTATION (JUN 1988)

K.19 QUALIFICATIONS OF CONTRACT EMPLOYEES (JUN 1988)_ . . . . . 58 4 K.20 CURRENT /FORMER AGENCY EMPLOYEE INVOLVEMENT (JUN 1988) . . . 58 SECTION L - INSTRUCTIONS, CONDITIONS,_ AND. . . ,. .... 60

)

l

TABLE OF CONTENTS PAGE NOTICES TO 0 FERORS L.1 52.252-1 SOLICITATION PROVISIONS INCORPORATED . . . . . . 60 BY REFERENCE (JJN 1988)

L.2 52.204-4 CONTRA TOR ESTABLISHMENT CODE (AUG 1989) .... 60 L.3 52.214-34 SUBMISSION OF OFFERS IN THE ENGLISH . ...... 61 LANGUAGE ( APR 1991)

L.4 52.214-35 SUBMISSION OF 0FFERS IN U.S. CURRENCY , ..... 61 (APR 1991)

L.5 52.216-1 TYPE OF CONTRACT (APR 1984) . .. ...... 61 L.6 52.219-22 SIC CODE AND SMALL BUSINESS SIZE. . . . ... 61 STANDARD (JAN 1991)

L.7 52.233-2 SERVICE OF PROTEST (NOV 1988) . . . . .. 61 L.8 62 LEVEL 0F EFFORT (JUN 1988). . . . . ....

L.9 .. ..... 62 ESTIMATED DURATION (JUN 1988) . . .

L.10 ACCEPTANCE PERIOD (MAR 1987). . . . . . . . ..... 62 L.11 AWARD NOTIFICATION AND COMMITMENT OF PUBLIC FUNDS . . . . . 63 (JUN 1988)

L.12 DISPOSITION OF PROPOSALS (JUNE 1988). . .... .. ... 63 L.13 PROPOSAL PRESENTATION AND FORMAT (JUN 1988). .... 63 L.14 NONDISCRIMINATION BECAUSE OF AGE (MAR 1987) . .. ... 67 L.15 SUBCONTRACTING PROGRAM PLAN FOR UTILIZATION OF SMALL. . . . 67 BUSINESS AND SMALL DISADVANTAGED BUSINESS CONCERNS (JUN 1991)

SECTION M - EVALUATION FACTORS FOR AWARD . . .. .... 69 M.1 CONTRACT AWARD AND EVALUATION OF PROPOSALS (JUN 1988) 69 M.2 EVALUATION CRITERIA (MAR 1987), . . . . . . . .. . . 69 i

......4 Page 8 RS-AED-92-266 Section B PART I - THE SCHEDULE SECTION B - dVPPLIES OR SERVICES AND PRICES / COSTS B.1 PROJECT TITLE The title of this project is as follows:

Assistance in Support of Diagnostic 4 Evaluation of Nuclear Facility Engineering l l

[End of Clause] l B.2 BRIEF DESCRIPTION OF WORK (MAR 1987) l ALTERNATE I (JUN 1988)

a. Brief description of work:

The Contractor shall provide personnel with expertise-and experience to assist NRC Diagnostic Evaluation Teams in evaluating nuclear facility engineering and quality assurance engineering.

b. Orders will be issued for work required by the NRC in accordance with 52.216 Ordering. Only Contracting Officers of the NRC or other individuals specifically authorized under this contract may authorize the initiation of work under this contract.

The provisions of this contract shall govern all orders issued hereunder.

[End of Clause]

B.3 CONSIDERATION AND OBLIGATION--TASK ORDERS ( AUG 1989)

a. The total estimated amount of this contract (ceiling) for the products / services ordered, delivered, and accepted under this contract is ___* .

The Contracting Officer may unilaterally increase this amount as necessary for orders to be placed with the contractor during the contract period provided such orders are within any maximum ordering limitation prescribed under this contract,

b. The Contracting Officer will obligate funds on each task order issued.

c. A total estimated cost as well as any fee, if any, will be negotiated for each task order and will be incorporated as a ceiling in the resultant task order. The Contractor shall comply with the provisions of 52.232 Limitation of Cost for fully funded task orders and 52.232 Limitation of Funds for incrementally funded task orders, issued hereunder.

e .

Page 7~

RS-AED-92-266 OFFER 0RS/ BIDDERS PLEASE NOTE:

Do NOT complete blanks identified by an asterisk (_*_), This-information will be provided by the Government and incorporated into any resultant contract.

I t

Page 10 RS-AED-92-266 Section C SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT

'C.1 STATEMENT OF WORK 4

C.1.1 Background The NRC has instituted a Program of Diagnostic Eys'uations of its licensees. These evaluations provide NRC senior management with an assessment of licensee safety performance which augments information provided by the Systematic Assessment of Licensee Performance (SALP) Program and Performance Indicator (PI) Program and the various inspections performed by NRC C(:d;"arters and Regional Offices. Diagnostic evaluations are independent in the sense that the administration and management of the program are independent of the licensing, inspection and enforcement processes. Diagnostic evaluations focus on safety performance rather than determining compliance with NRC regulations.

Diagnostic evaluations are conducted with intensive team efforts beginning with preparation by studying background information on plant design, procedures, organization, and piant performance information and trends. This is followed by two weeks of detailed onsite evaluation. Additional onsite evaluation and observation time (typically one week) are scheduled (as required) to_ complete the work. The team then prepares a report of the evaluation.

Some of the preparation and most of the final report writing activities are conducted at a central location at NRC Headquarters in Bethesda, Maryland.

Title 10, Code of Federal Regulations, Part 50 " Domestic l

Licensing of Production and Utilization Facilities," is i applicable, particularly the following sections:

l 10 CFR 50.54 - Conditions of licenses 10 CFR 50.55 - Conditions of construction permits

' 10 CFR 50.67 - Issuance of operating license 10 CFR 50.59 - Changes, tests and experiments 10 CFR 50.109 - Application-for amendment of license or construction permit 10 CFR 50, Appendix A - General Design Criteria for 3 i Nuclear Power Plants i

10 CFR 50, Appendix B - Quality Assurance Criteria for Nuclea,- Power Plants and Fuel I Reprocessing Plants C.I.2 Objectives The Contractor shall provide expert technical assistance to assist NRC Diagnostic Evaluation Teams by providing individuals with-expertise in nuclear facility engineering and quality assurance engineering.

l

. . Page 9 RS-AED-92-266 Section B 9

[End of Clause]

Page 11 RS-AED-92-266 Section C C.1.3 Scope of Work This is a Task Order contract under which all Task Orders will be issued by the NRC Contracting Officer. Task Orders require varying numbers of disciplines or services and can potentially be performed at any commercial nuclear facility in the United States.

C.1.3.1 The Contractor shall provide, as requested, the necessary qualified personnel to assist the NRC Diagnostic Evaluation Team in evaluating the licensee in the areas of mechanical, electrical, instrumentation and control, and civil / structural engineering design and support. The licensee's engineering and technical support services shall be evaluated. This requires personnel with expertise and experience in the areas of systems design and analysis, inspection, modifications, testing, maintenance, technical support services, performance improvement programs and root cause analysis. The onsite evaluation shall consist of procedure / program review, document reviews (including engineering calculations), work observations and interfacing with other Diagnostic Evaluation Team members regarding safety issues or concerns identified during the evaluation.

C.1.3.2 Schedules for the evaluation and the specific disciplines or functional areas to be covered by Contractor personnel will be provided to the Contractor by each Task Order.

C.1.3.3 During the conduct of a typical diagnostic evaluation, the Contractor shall be required to accomplish the following tasks:

C.1.3.3.1 Prepare for the diagnostic evaluation by a review of the overall Evaluation Plan (furnished by NRC), and a review of licensee background and technical information. The evaluation Plan will outline the areas to be evaluated. Personnel supplied by the Contractor shall establish a specific evaluation plan for their particular assigned area based upon the guidance in the overall Evaluation Plan. The time required for this effort may vary, however, two weeks should be allotted.

C.1.3.3.2 Onsite and corporate reviews shall concentrate on information gathering including an examination of the licensee's activities and performance in specific areas. The examination shall include interviews with key licensee personnel at all levels, programmatic reviews and assessments, reviews of selected safety systems, and direct observations of operations. Evaluation methodologies utilized provide input into a qualitative evaluation of licensee engineering management controls, oversight and involvement which are relevant to plant safety performance. This portion of the evaluation will include two consecutive weeks.

C.1.3.3.3 following the initial onsite and corporate evaluation period, a one- to two-week break is scheduled. This time is used to further evaluate and validate any observations, brief NRC management on preliminary findings and refocus or redirect the evaluation as appropriate.

l

Page 12 RS-AED-92-266 Section C C,1.3.3.4 Follow-up onsite and corporate reviews shall be tcheduled (as required) to reinforce 9reliminary findings, examine new functional areas, perform special case study evaluation of specific issue areas, and. firmly establish and validate root causes. T!me requirements for the follow-up activity should not exceed two weeks.

C.I.3.3.5 The final work product shall include the-sutv.ittal of a draft report by the Contractor to the NRC engineering sycluation team leader. The format, style, level of detail ~and quality expected will be made known to the Contractor during the j preparation phase of the evaluation. Guidelines _for the preparation of the diagnostic evaluation team report are attached (see Attachment 6 in Section J). All predecisional data shall be returned to the NRC Project Officer upon' completion of the report.

C.I.3.3.6 Depending upon the schedule for the conduct of the diagnostic evaluation, the Contractor shall, as required, submit progress reports to the NRC Project Officer at regular intervals.

C.2 Meetings and Travel C.2.1 Each expert assisting in a diagnostic evaluation will attend one or two meetings of about two days duration in Bethesda, Maryland, for preparation activities and will spend about tt;o weeks of ontite evaluation ar.tivities in one continuous trip to the facility site and corporate and engineering offices, followed immediately by report preparation activities in Bethesda, Maryland, in one or two trips. When needed, a third week of evaluation will be scheduled as a separate trip to the facility site and/or the offsite corporate and engineering offices.

C.2.2 Each Task Order will specify any required travel throughout the United States, NRC offices in Bethesda, Maryland, NRC Regional

' Of fices, and any other location as required for performance of l

work detailed in each Task Order. All travel requires the prior l approval of the NRC Project Officer.

C.2.3 All foreign travel must be approved in advance by the NRC l

' on NRC Form 445 and shall be in compliance with 52.247-63,_

Preference for U. S. Flag Air Carriers.

L C.3 NRC Furnished Material i

The NRC will furnish plant- and licensee-specific background information as appropriate, such as drawings, specifications, safety analysis reports, procedures, organization charts, event reports, administrative procedures, master work plans, position descriptiods, performance improvement program descriptions, and I. organization descriptions. The NRC will also furnish regulatory documents such as regulatory guides, standard review plans, and evaluation procedures.

C.4 Level of Effort 0

9 y

Page 13 RS-AED-92-266 Section C This is a requirements contract. The exact number and scheduling of Task Orders cannot be determined in advance. The Contractor will be compensated only for work actually ordered and performed. '

The NRC shall order from the Contractor all the services specified in the Schedule that are required to be purchased by the NRC. However, if such requirements fail to materialize, such failure shall not constitute grounds for an equitable adjustment hereunder. (See Sections 1.6 and L 8)

I

[End of Clause)

Page 14 RS-AED-92-266 Section l' SECTION D - PACKAGING AND MARKING 0.1 PACKAGING AND HARKING (MAR 1987)

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

[End of Clause)

. I a * .

_ _ _ . _ _ _ . _ _ _ _ _ _ __________________________________m. _ _ _ _ _ _ _

Page 15 RS-AED-92-266 Soction E SECTION E - INSPECTION AND ACCEPTANCE E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.

Upon request, the Contracting Officer will make their full text available.

NUMBER TITLE DATE 52.246-5 INSPECTION OF SERVICES APR 1984

- COST-REIMBURSEMENT

[EndofClause)

E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)

Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project Officer at the destination.

[End oi Clause) l l

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l l

l _, , _ . _ . . . _ . _ _ - . _ . . . _ - . _.,_ .,- .

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Page 16 RS-AED-92-266 Section F j 1

SECTION F - DEllVERIES OR PERFORMANCE F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)

This contract incorporates one or more clauses by reference, ,

with the same force and effect as if they were given in full text.

Upon request, the Contracting Officer will make their full text i available.

NUMBER TITLE DATE 52.212-13 STOP-WORK ORDER AUG 1989 Alternate I ( APR 1984)

[End of Clause)

F.2 PREPARATION OF TECHNICAL REPORTS (JUN 1991)

All technical reports required by Section C are to be prepared in accordance with the Guidelines for the Preparation of the Diagnostic Evaluation Team Report (See Attachment 7 in Section J).

All Technical Progress Reports required by this Section are to be prepared in accordance with the attached NRC Handbook 3.8 (See Attachment 3 in Section J), NRC Handbook 3.8 is not applicable to any Contractor Spending Plan (CSP) and any Financial Status Report that may be included in this contract.

(End of Clause)

F.3 TECHNICAL PROGRESS REPORT (OMB CLEARANCE NUMBER 3150-0112)

(JUN 1988)

The Contractor shall provide a monthly Technical Progress Report to the Project Officer and the Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall include the following for each discrete task:

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

b. Any problems or delays encountered or anticipated and recommendations for resolution; (if the recommended resolution involves a contract modification, e.g., change in work requirements, level of ef fort (cost) or schedule delay, the Contractor shall submit a separate letter to the Contracting Officer identifying the required change and estimated cost I

impact).

1 l' .

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, , - -+ < n ,

_ . . - ~ < ., ,

Page 17 RS-AED-92-266 Soction F l

c. A summary of progress to date; and

d. Plans for the next reporting period.

[EndofClause)

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

(JUN 1988)

The Contractor shall provide a monthly Financial Status Report to the Project Officer and tne Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall include the following for each discrete task:

1) Total Estimated Contract Amount.

2) Total Funds Obligated to Date.

3) Total Costs Incurred This Reporting Period.

4) Total Costs Incurred to Date.

5) Provide a detail of all direct and indirect costs incurred during the reporting period for the entire contract or each task, if it is a task ordering contract.

6) Balance of Obligations Remaining.

7) Balance of Funds Required to Complete Contract / Task Order.

8) CSP Status:

(a) Project Percentage (%) of Completion cumelative through the report period for the Project / Task Order as reflected in the current CSP.

(b) Indicate if there has been a significant change in the original Contractor Spending Plan (CSP) projection in either dollars or percentage of completion. Identify what the change is, the reasons for the change, whether there is any projected overrun, and when additional funds would be required. If there have been no changes to the original NRC approved CSP projections, a written statement to that effect is sufficient in lieu of submitting a detailed response to this item 8.

9) A revised CSP is required with the Financial Status Report whenever the Contractor or the Contracting Officer has

~

reason to believe-that the total cost for performance of this contract will be either greater or substantially less than what had been previously estimated.

If the data in this report indicates a need for additional funding beyond that already obligated, this information may only be used as backup to the official request for funding required in accordance with the Limitation of Cost (LOC) clause, FAR 52.232-20, or the Limitation of Funds (LOF) clause, FAR 52.232-22.

i

Page 18 RS '7C 02-266 Section F l

[End of Clause]

+' M C i# "; . iERY--REPORTS (JUN 1988)

'e items to be furnished hereunder shall be delivered, with all c i .4 Jes paid by the Contractor, to:

(a) project Officer (2 copies) l I

(b) Contracting Of ficer (1 copy)

[End of Clause]

F.6 0URATION OF CONTRACT PERIOD (MAR 1987)

ALTERNATE I (JUN 1988)

The ordering period for this contract shall commence on

• and will expire on

• __. Any orders issued during this period shall be completed within the time specified in the order, unless otherwise specified herein, (See 52.216 Ordering).

[End of Clause]

4 4 g-m..--.-..,, , . - - , , . . , . , _ . , . - , .__ ,,--m.--.,, - . . ,.,m, ...,_m.., , , , . ,vr-

'

• Page 19 l

. R5-AED-92-266 Section G SECTION G - CONTRACT ADMINISTRATION DATA G.1 INDIRECT COST RATES (JUN 1988)

a. Pending the establishment of final indirect rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs as follows:

b. The Contracting Officer may adjust the above rates as appropriate during the term of the contract upon acceptance of any revisions proposed by the Contractor, it is the Contractor's responsibility to notify the Contracting Officer in accordance with 52.232 Limitation of Cost or 52.232 Limitation of Funds, as applicable, if such change (s) affect (s) performance of work within the established cost or funding limitations.

[End of Clause]

G.2 PROJECT OFFICER AUTHORITY (JUN 1988) ,

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

Name:

Address: ___

Telephone Number: ___

(b) Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer.

The term " Technical Direction" is defined to include the following:

(1) Technical direction to the Contractor which shifts work emphasis between areas of work or tasks, fills in details or otherwise serves to accomplish the contractual statement of work.

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

(3) Review and, where required by the centract, approval of l,

Page 20 RS-AE0-92-266 Section G technical reports, drawings, specifications and technical information to be delivered by the Contractor to the Government under the contract.

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

(1) Constitutes an assignment of additional work outside the

Jneral scope of the contract.

(2) Constitutes a change as defined in the " Changes" clause of this contract.

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

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

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

(d) All technical directions shall be issued in writing by the Project Officer or shall be confirmed by such person in writing within ten (10) working days after verbal issuance. A copy of said written direction shall be furnished to the Contracting Officer.

(e) The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this clause and within such person's ,

authority under the provisions of this clause.

(f) If, in the opinion of the Contractor, any instruction or direction issued by the Project Officer is within one of the categories as defined in c above, the Contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days.after the receipt of any such instruction or direction and shall request the Contracting Of ficer 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 I under the Changes Clause.

(g) Any unauthorized commitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance and may even result in the Contractor expending funds for unallowable costs under the contract.

. (h) A failure of the parties to agree upon the nature of the a .

Page 21 RS-AED-92-266 52ction G instruction or direction or upon the contract action to be taken with respect thereto shall be subject to 52.233 Disputes.

(1) In addition to providing technical direction as defined l above, the Project Officer is responsible for: i (1) Monitoring the Contractor's technical progress, including ,

surveillance and assessment of performance, and recommending to l the Contracting Officer changes in requirements.

(2) Assisting the Contractor in the resolution of technical problems encountered during performance.

(3) Reviewing all costs requested for reimbursement by the l Contractor and submitting to the Contracting Officer  !

l recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.

[End of Clause]

G.3 REMITTANCE ADDRESS (MAR 1987)

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

Name:

Address:

[End of Clause]

G.4 TASK ORDER PROCEDURES (MAR 1987)

a. Task Order Request for Proposal When a requirement within the scope of work for this contract is identified, the Contracting Officer will transmit to the Contractor a Task Order Request for Proposal which will include the following, as appropriate:

(1) Scope of Work / Meetings / Travel and Deliverables.

(2) Reporting Requirements.

(3) Period of Performance - Place of Performance.

(4) Applicable Special Provisions.

(5) Technical Skills Required.

(6) Estimated Level of Effort.

b. Task Order Proposal By the date specified in the Task Order Request for Propo. sal, l _

Page 22 ES-AED-92-266 Section G i 1

the Contractor shall deliver to the Contracting Officer a written Task Order Proposal that provides the following technical and cost information, as appropriate:

(1) Technical proposal Content, (A) A discussion of the scope of work requirements to substantiate the Contractor's understanding of the requirements of the Task Order and the Contractor's proposed method of approach to meet the objective of the order.

(B) 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.

(C) Identification of administrative support personnel and/or facilities that are needed to assist the professional personnel in completing work on the task order.

(D) Identification of " Key Personnel" and the number of staff hours that wil. be committed to completion of work on the Task Order.

(2) Cost Proposal.

The Contractor's cost proposal for each Task Order shall be prepared using the Standard Form 1411, Contract Pricing Proposal cover sheet. A copy of the form and instructions are attached to this contract. Each Task Order cost proposal shall be fully supported by cost and pricing data adequate to establish the reasonableness of the proposed amounts. When the Contractor's estimated cost for the proposed Task Order exceeds $100,000 and the period of performance exceeds six months, the Contractor may be required to submit a Contractor Spending Plan (CSP) as part of its cost proposal. The Task Order Request for Proposal will l indicate if a CSP is required,

c. Task Order Award l

The Contractor shall perform all work described in definitized Task Orders issued by the Contracting Officer. Definitized Task l

Orders will include the following:

t

! (1) Statement of Work / Meetings / Travel and Deliverables.

l (2) Reporting Requirements.

t (3) Period of Performance.

(4) Key Personnel.

(5) Applicable Special Provisions.

(6) Total Task Order amount.

[End of Clause]

l s

O e

- , -. - - - - ,, , ., , ,+ .- .--

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

Page 23 l Section G RS-AED-92-266 G.5 ACCELERATED TASK ORDER PROCEDURES (JUN 1988)

a. The NRC may require the Contractor to comn,ence work before receipt of a definitized Task Order from the Contracting Officer.

Accordingly, when the Contracting Officer verbally authorizes,-the Contractor shall proceed with performance of the Task Order subject to the monetary limitation established for the Task Order by the Contracting Officer. j When this accelerated procedure is employed by the NRC, the 'l

b.  !

Contractor agrees to begin promptly negotiating with the Contre: ting Officer the terms of a definitive Task Order and agrees to submit a cost proposal with supporting cost or pricing data. If agreement on a definitized Task Order is not reached by ,

the target date mutually agreed upon by the Contractor and Contracting Officer, the Contracting Officer may determine a  :

reasonable price and/or fee in accordance with Subpart 15.8 and- l Part 31 of'the FAR, subject to Contractor appeal-as provided in ,

52.233 Disputes. In any event, the Contractor shall proceed  ?

with completion of the Task Order, subject only to the monetary limitation _ established by the Contracting Officer and the terms and conditions _of-_the basic contract.

i

[End of Clause]

G.6 LICENSE FEE RECOVERY COS15 P Diagnostic evaluations are not currently billable but may become so in the-future. Revised billing instructions, including license fee recovery costs, will be'provided at tie.e of contract award.

(End of Clause) f

, - - - , . . , . - - , , - - . - , , - ,, ,.-..-., - ,_,-:._,. .., _ .-,- , .- .- ,....~,. _.-.- ,,- ,.-- .,,-.-...-...:

RS-AED-92-266 Page 23 Section G G.5 ACCELERATED

a. TASK ORDER PROCEDURES (JUN receipt of a definitized Taskommence Order from thThe NRC m work before Accordingly, when the Contracting Of fice e Contracting Officer.

Contractor shall proceed with performancer verbally authorizes, the subject by the Contracting to the Officer, monetary limitation established fof the Task Order

! or the Task Order b.

Contractor agrees to begin yed promptly by the NRC, the negoti tiWhen t Contracting Officer the terms of a adefiniti ng with the data. ve Task Order and agrees to submit the target date mutually agreed upon by th a cost proposal with supportiIf ag Contracting Officer, the Contracting Of fi ands not reached by e Cutractor reasonable price and/or fee in accordancecer may determine a Part 31-of 52.233-1 Disputes. the FAR, subject to Contracto with Subpart 15.8 and r appeal as provided in with completion ofInthe any event, Task thesubject Order, Contractor shall proceed limitation established by the Contractin only to the monetary and conditions of the basic contract .

g Officer and the terms G.6 [EndofClause]

LICEN3E FEE RECOVERY COSTS so in the future. Diagnostic evaluations are not currently bill fee recovery costs, will be provided at tiRevised cense billing instruction me of contract award.

(End of Clause)

__,a-,--~' .

_ _ - ~ " ~ ~ _----

Page 24 RS-AED-92-266 Section H SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 KEY PERSONNEL (JUN 1988)

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

The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs b and c hereof.

b. If one or more of the key personnel, for whatever reason becomes, or is expected to become unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall immediately notify the Contracting Officer and shall, subject to the concurrence of the Contracting Officer, promptly replace such personnel with personnel of at least substantially equal ability and qualifications.

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

d. If the Contracting Officer determines that:

(1) Suitable and timely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming; or (2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract, the contract may be terminated by the Contracting Of ficer for def ault or for the convenience of the Government, as appropriate. If the Contracting Officer finds tha Contractor at fault for the condition, the contract price or fined fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.

t e

• Page 25 RS-AED-92-266 Section H

[End of Clause)

H.2 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUN 1988)

Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, information and other data developed or acquired by or furnished to the Contractor '

in the performance of this contract shall be used only in connection with the work under this contract.

[End of Clause)

H.3 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (DEC 1991)

(a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor:

(1) Is not placed in a conflicting role because of current or planned interests (financial, contractual, organizational, or otherwise) which relate to the work under this contract; and (2) Does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.

(b) Scope. The restrictions described apply to performance or participation by the contractor as defined in Section I, " Scope of Policy," paragraph C, of document entitled "NRC Organizational Conflicts of Interest" (see Section J. List of Attachments).

(c) Work for others, (1) Notwithstanding any other provision of this contract, during the term of this contract the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract. The contractor shall ensure that all employees under this contract abide by the provision of

! this clause. If the contractor has reason to believe, with respect to itself or any employee, that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval cf the contracting officer prior to execution of such contractual arrangement.

, (2) The contractor may not represent, assist, or i otherwise support an NRC licensee or applicant undergoing an NRC

! audit, inspection, or review where the activities that are the subject of the audit, inspection, or review are the same as or substantially similar to the services within the scope of this contract (or task order as appropriate), except where the NRC licensee or applicant requires the contractor's supp0rt to explain or defend the contractor's prior work for the utility or other I

v - - w~ e

1 i

Page 26 l RS-AED-92-266 Section H '

entity which NRC questions.

(3) When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, the contractor shall neither solicit nor perform work at the site or work in the same technical area for that licensee or applicant organization for a period commencing with the award of the task order or beginning of work on the site (if not a task order contract) and ending one year after completion of all work under the associated task order, or last time at the site (if not a task order contract).

(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 Section II, " Definitions," paragraph C, of the document entitled "NRC Organizational Conflicts of Interest" (see Section J, List of Attachments).

(2) The contractor agrees that, if after award, it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writi co the contracting officer. This statement must include a description of the action which the contractor has taken or proposes to take to avoid'or mitigate such conflicts. The NRC may, however, terminate the contract if termination is in the best interest of the Government.

(3) It is recognized that the scope of work of a task-order

• type contract necessarily encompasses a broad spectrum of activities. Consequently, if this is a task-order-type contract, the contractor agrees that it will disclose all proposed new work involving NRC licensees or applicants that comes within the scope of work of the underlying contract. Such disclosure must be made before the submission of a bid or proposal to the utility or other regulated entity whenever possible, and must be received by the NRC at least 15 days before the proposed award date in any event. The disclosure must include the statement of work and any other documents that are needed to- fully describe the proposed work for the regulated utility or other regulated entity. NRC may deny approval of the disclosed work only when the NRC has issued a task order which includes the technical area and, if site-specific, the site, or has plans to issue a task order which includes the technical area and, if site-specific, the site, or when such work violates (c)(3), above.

(e) Access to and use of information.

(1) If in'the performance of this contract the contractor obtains access to information, such as NRC plans,.

policies, reports, studies, financial plans, internal data protected by the Privacy Act o'f 1974 (5 U.S.C. Section 552a

,, (1988)) or the Freedom of Information Act (5 U.S.C. Section 552

, . . - . . , - - - - . - - . .- . , -~~ ,,,.,,- ,~,.e -n , , - - . - - , - - , , - r., -

Page 27 RS-AED-92-266 Section H (1986)), the contractor agrees not to:

(1) Use this information for any private purpose until the information has been released to the public; (ii) Compete for work for the Commission based on the information for a period of six months after either the completion of this contract or the release of the information to the public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on the information until one year af ter the release of the information to the public; or (iv) Release the information without prior written approval by the contracting officer unless the information has previously been released to the public by the NRC.

(2)- In addition, the contractor agrees that, to the extent it receives or is given access to proprietary data, data protected by the privacy Act of 1974 (5 U.S.C. Section 552a (1988)) or the Freedom of Information Act (5 U.S.C. Section 552 (1986)), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat the information in accordance with restrictions placed on use of the information.

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

(f) Subcontracts. Except as provided in Section II,

" Definitions," paragraph I, of the document entitled "NRC Organizational Conflicts of Interest" (see Section J, List of Attachments), the contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms contract, contractor, anci contracting officer, must be appropriately modified to preserve the Government's rights.

(g) Remedies. For breach of any of the above restrictions, or for intentional nondisclosure or misrepresentation of any relevant interest required to be discloseo concerning this contract, or for such erroneous representations that necessarily imply bad faith, the Government may term:nate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies permitted by law or this contract.

(h) Waiver. A request for waiver under this clause must be directed in writing to the contracting officer in accordance with the procedures outlined in Section VII, " Waiver," paragraph A, of i

the document entitled "NRC Organizational Conflicts of Interest" l (see Section J, List of Attachments).

E

Page 28 RS-AED-92-266 Section H (i) Follow-on effort. The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefore (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 may not perform any technical consulting, management support services work, or evaluation activities under this contract on any of its products or services or the products or services of another firm if the contractor has been substantially involved in the development er marketing of the products or services.

(1) If the contractor, under this contract, prepares a complete or essentially complete statement of work or specifications, the contractor is not eligible to perform or participate in the initial contractual effort which is based on the statement of work or specifications. The contractor may not incorporate its products nr services in the statement of work or specifications unless so directed in writing by the contracting officer, in which case the restrictions in this paragraph do not apply.

(2) Nothing in this paragraph precludes the-contractor from offering or selling its standard commercial items to the Government.

[End of Clause]

H.4 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY (JUNE 1988)

a. The NRC will provide the contractor with the following items for use under tnis contract:

Standard office space and supplies. Telephone uso is limited to official business on this contract.

b. Only the equipment / property listed above in the quantities shown will be provided by the Government. This property is subject to the provisions of the Government Property clause under this contract. All other equipment / property required in performance of the contract shall be furnished by the Contractor.

.[End of Clause]

H.S DENIAL OF FEDERAL BENEFITS TO INDIVIOUALS CONVICTED OF DRUG TRAFFICKING OR POSSESSION (SEP 1990)

In the event that an award is made to an individual, Section 5301 of the Anti-Orug Abuse Act of 1988 (P.L.100-690) may be cause fo" denial of specific benefits to individuals convicted of drug trafficking or possession.

,. [End of Clause]

I Page 29

'- Section H RS-AED-92-266 l

I H.6 CONTRACT SECURITY REQUIREMENTS FOR UNESCORTED ACCESS TO NUCLEAR POWER PLANTS

- Performance under this contract will involve unescorted access to protected and vital areas of nuclear power plants or access to unclassified Safeguards Information (SGI).

Individual contractors requiring access to protected and vital areas of nuclear power plants or access to unclassified SGI will be l approved for unescorted access in accordance with the following l procedures:

H.6.1 TEMPORARY APPROVAL

a. The contractor shall submit the following within 30 calendar days following contract award, modification, or proposal of new personnel for contract tasks. This information shall be provided for each person proposed to perform tasks requiring unescorted access to nuclear power plants or access to unclassified SGI. The information shall be provided to NRC Division of Security (SEC) through the NRC Project Officer. The information to be provided is as follows: a completed Personnel Security Forms Packet, including an SF-86, " Questionnaire for Sensitive Position," copies of their five-year employment and education history checks, including verification of highest degree obtained; a reference from at least one additional person not provided by the individual; results of a psychological evaluation; and a certification that the contractor has found all checks acceptable. The results of a psychological examination shall be a determination of a subject's reliability and stability using a reliable written personality test or any other professionally accepted clinical evaluation procedure, The contractor shall review all required information for accuracy, completeness, and legibility, except Part 2 of the SF-86 which is required to be completed in private and submitted by the individual to the contractor in a sealed envelope.

or,

b. The individual will arrange to be fingerprinted by the subject utility, and the contractor will submit to the utility's access authorization program.

In H.6.1. SEC will conduct criminal history and credit checks and a security assurance interview with the individual.

Based on the result of these checks, SEC will determine the individual's eligibility for temporary access and provide an objection or no C iection to the sponsoring Office pending completion of the required background investigation.

H.6.2 FINAL APPROVAL a, The individual has completed processing (by OPM) of the required investigation resulting in NRC endorsement for unescorted access at l

l ,

Page 30 RS-AED-92-266 Section H all nuclear facilities for the life of the contract; or

b. Contractor has obtained unescorted access authorization (other than temporary access) at the specific utility through that utility's access authorization program, resulting in unescorted l access at a specific f acility; or

c. The individual possessos a valid government issued clearance as verified by SEC. A valid government-issued clearance is defined as a U.S. Government-issued 5,,:urity clearance equivalent to or higher than an NRC "L" clearance (e.g., Secret) based on a comparable investigation not more than five years old.

The investigation in H.6.2. may involve a National Agen:y Check with I Inquiries and Credit (NACIC) or other investigation as deemed necessary by SEC in accordance with 10 CFR Part 10 and NRC Appendix 2101, Part VI. Any question regarding the individual's eligibility for unescorted access to protected or vital areas of nuclear power facilities will be resolved in accordance with the provisions as set-forth in 10 CFR Part 10, which is incorporated into the contract by l reference as though fully set forth therein. j The contractor shall submit, for each contractor individual approved  !

for access under the provisions of H.6.1. and H.6.2.,to SEC through the Project Officer, a signed statement from the individual that he or she understands his or her responsibility to report information bearing on his or her continued eligibility for access authorization as specified in 10 CFR Part 10, Section 10.1," Criteria."

Access to unclassified SGI not also involving unescorted access to protected and vital areas of nuclear power plants will require tne submission of a completed Personnel Security Forms Packet to SEC through the Project Officer and may require a National Agency Check (NAC) or other investigation deemed necessary by the NRC in accordance with 10 CFR Part 10 and NRC Appendix 2101, Part VI. Any question regarding the individual's eligibility for access to nuclear power reactor SGI will be resolved in accordance with the provisions set forth in 10 CFR Part 10, which is incorporated into this contract by reference as though fully set forth herein. Based on the review of the applicant's security forms by SEC and/or the receipt of adverse information by NRC, the individual may be denied access to nuclear power reactor SGI until a final determination of his or her eligibility for access is made under the provisions of 10 CFR Part 10. During the processing by SEC of new individuals for access to nuclear power reactor SGI, access may be granted under licensee programs.

H.6.3 FITNESS FOR DUTY Pursuant to NRC policy, all contract individuais proposed for performance of task orders requiring unescorted access to nuclear power plants will be subject to the requirements of the licensee's Fitness-for-Duty program.

H.6.4 BASIC EXPOSURE CONTROL AND PERSONNEL 00SIMETRY TRAINING O

w o _ . . . - ___ _

• Page 21 RS-AED-92-266 Section H REQUIR'IMENTS The contractor shall certify that personnel utilized under the scope of work herein have completed basic exposure control and personnel ,

dosimetry training suf ficient to meet the requirements of commercial nuclear power plants for unescorted access. Site specific training obtained at each site will still be required during the performance of individual task orders in addition to the basic training.

(End of Clause)

P l

l l

Page 32 RS-AED-92-266 Section I PART II - CONTRACT CLAUSES SECTION I - CONTRACT CLAUSES I.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.

Upon request, the Contracting Officer will make their full text available.

I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES NUMBER TITLE- DATE 52.202-1 DEFINITIONS APR 1991 52.203-1 0FFICIALS NOT TO BENEFIT APR 1984-52.203-3 GRATUITIES -

APR 1984 52.203-5 COVENANT AGAINST CONTINGENT FEES APR 1984 52.203-6 RESTRICTIONS ON SUBCONTRACTOR- JUL11985-SALES TO THE GOVERNMENT 52.203-7 ANTI-KICKBACK PROCEDURES- OCT-1988 52.203-12 LIMITATION ON PAYMENTS TO JAN 1990 INFLUENCE CERTAIN FEDERAL TRANSACTIONS 52.209-6 PROTECTING THE GOVERNMENT'S .JUN 1991 INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT 52.215-1 EXAMINATION OF RECORDS BY APR 1984 "

COMPTROLLER GENERAL 52.215-2 AUDIT - NEGOTIATION DEC 1989 52.215-22 PRICE REDUCTION FOR DEFECTIVE JAN 1991 COST OR PRICING DATA 52.215-24 SUBCONTRACTOR ~ COST-OR APR 1985 PRICING DATA 52.215-27 TERMINATION OF DEFINED BENEFIT SEP 1989 PENSION PLANS 52.215-33 ORDER OF PRECEDENCE JAN 1986 52.215-39 REVERSION-0R ADJUSTMENT OF PLANS JUL 1991 FOR POSTRETIREMENT BENEFITS OTHER THAN PENSIONS (PRB) 52.216-7 ALLOWABLE COST AND PAYMENT JUL 1991 52.216-8 FIXED' FEE APR 1984' 52.219-8 UTILIZATION OF SMALL BUSINESS FEB 1990 CONCERNS AND SMALL DISADVANTAGE 0 BUSINESS CONCERNS 52.219-9 SMALL BUSINESS AND SMALL JAN 1991

-DISADVANTAGED BUSINESS SUBCONTRACTING PLAN 52.219-13 UTILIZATION OF WOMEN-0WNED AUG 1986 SMALL BUSINESSES w'

8

~4 g

Page 33 RS-AED-92-266 Section 1 52.219-16 LIQUIDATED DAMAGES--SMALL BUSINESS AUG 1989 SUBCONTRACTING PLAN 52.220-3 UTIL12AT10N OF LABOR SURPLUS APR 1984 AREA CONCERNS 4 52.220-4 LABOR SURPLUS AREA APR 1984 SUBCONTRACTING PROGRAM 52.222-3 CONVICT LABOR APR 1984 52.222-26 EQUAL OPPORTUNITY APR 1984 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL APR 1984 ,

DISABLED AND VIETNAM ERA VETERANS y 52.222-36 AFFIRMATIVE ACTION FOR APR 1984 HANDICAPPED WORKERS ,\

52.222-37 EMPLOYMENT REPORTS ON SPECIAL JAN 1988 DISABLED VETERANS AND VETERANS \

OF THE VIETNAM ERA ')5 52.223-2 CLEAN AIR AND WATER APR 1984 52.223-6 DRUG-FREE WORKPLACE JUL 1990 t 52.225-11 RESTRICTIONS ON CERTAIN FOREIGN APR 1991 g PURCHASES 52.227-1 AUTHORIZATION AND CONSENT APR 1984 i' 52.227-2 NOTICE AND ASSISTANCE REGARDING APR 1984 PATENT AND COPYRIGHT INFRINGEMENT , k' 52.228-7 INSURANCE - LIABILITY TO THIRD APR 1984 PERSONS 52.230-3 COST ACCOUNTING STANDARDS SEP 1987 52.230-4 ADMINISTRATION OF COST ACCOUNTING SEP 1987 STANDARDS 7 i-52.230-5 DISCLOSURE AND CONSISTENC1.0F COST SEP 1987 -

I ACCOUNTING PRAC11CES 52.232-17 INTEREST JAN 1991 52.232-22 LIMITATION OF FUNDS APR 1984 52.232-23 ASSIGNMENT OF CLAIMS JAN 1986 52.232-25 PROMPT PAYMENT APR 1989 52.232-28 ELECTRONIC FUNDS TRANSFER APR 1989 PAYMENT METHODS 52.233-1 DISPUTES DEC 1991 52.233-3 PROTEST AFTER AWARD AUG 1989 Alternate 1 (JUN 1985) 52.237-3 CONTINUITY OF SERVICES JAN 1991 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS APR 1984 52.242-13 BANKRUPTCY APR 1991 52.243-2 CHANGES - COST-REIMBURSEMENT AUG 1987 Alternate I (APR 1984) 52.244-2 SUBCONTRACTS (COST-REIMBURSEMENT JUL 1985 AND LETTER CONTRACTS) 52.244-5 COMPETITION IN SUBCONTRACTING APR 1984 52.245-5 GOVERNMENT PROPERTY JAN 1986 (C0ST-REIMBURSEMENT, TIME-AND-MATERIAL, OR LABOR-HOUR CONTRACTS) 52.246-25 LIMITATION OF LIABILITY - SERVICES APR 1984 52.249-6 TERMINATION (C0ST-REIMBURSEMENT) MAY 1986 52.249-14 EXCUSABLE DELAYS APR 1984

Page 34 RS-AEO-92-266 Section 1

[End of Clause) 1.2 52.203-9 REQUIREMENT FOR CERTIFICATE OF PROCUREMENT INTEGRITY--MODIFICATION (NOV 1990)

(a) Definitions. The definitions set forth in FAR 3.104-4 are hereby incorporated in this clause.

(b) The Contractor agrees that it will execute the certification set forth in paragraph (c) of this clause when requested by the Contracting Officer in connection with the execution of any modification of this contract.

s (c) Certification. As required in paragraph (b) of this clause, the officer or employee responsible for the modification proposal shall execute the following certification:

CERTIFICATE OF PROCUREMENT INTEGRITY-- 1 MODIFICATION (NOV 1990)

(1) I, [Name of certifier] , am the officer or employee responsible for the preparation of this modification proposal and hereby certify that, to the best of my knowledge and belief, with the exception of any information described in this certification, I have no information concerning a violation or possible violation of subsection 27(a), (b), (d),

or (f) of the Office of Federal Procurement Policy Act, as amended * (41 U.S.C. 423), (hereinaf ter referred to as "the Act"),

as implemented in the FAR, occurring during the conduct of this procurement (contract and modification number).

(2) As required by subsection 27(e)(1)(B) of the Act, I further certify that to the best of my knowledge and belief, each

• of ficer, employee, agent, representative, and consultant of [Name ofOfferor] who has participated personally and substantially in the preparation or submission of this proposal has certified that he or she is familiar with, and will comply with, the requirements of subsection 27(a) of the Act, as implemented in the FAR, and will report immediately to me any information concerning a violation or possible violation of subsections 27(a), (b), (d), or (f) of the Act, as Implemented in the FAR, pertaining to this procurement.

(3) Violations or possible violations: (Continue on plain bond paper if necessary and label Certificate of Procurement Integrity--Modification (Continuation Sheet) ENTER "NONE" IF NONE EXISTS)

U e

Page 35 RS-AED-92-266 S:ction I

[ Signature of the officer or employee responsible for the modification propo*al and date]

[ Typed name of the officer or employee responsible for the modification proposal]

• Subsections 27(a), (b), and (d) are effective on December 1, 1990. Subsection 27(f) is ef fective on June 1,1991.

THis CERTIFICATION CONCERNS A MATTER WITHIN THE JURISDICTION OF AN AGENCY OF THE UNITED STATES AND THE MAKING OF A FALSE, FICTITIOUS, OR FRAUGULENT CERTIFICATION MAY RENDER THE HAKER SUBJECT TO PROSECUTION UNDER TITLE 18, UNITED STATES CODE, SECTION 1001.

(End of Certification)

(d) In making the certification in paragraph (2) of the certificate, the officer or employee of the competing Contractor responsible for the offer or bid, may rely upon a one-time certification from each Individual required to submit a certification to the competing Contractor, supplemented by periodic training. These certifications shall be obtained at the earliest possible date after an individual required to certify begins employment or association with the contractor. If a contractor decides to rely on a certification executed prior to the suspension of section 27 (i.e. , prior to Decer..ber 1,1989),

the Contractor shall ensure that an individual who has so certified is notified that section 27 has been reinstated. These certifications shall be maintained by the Contractor for a period of 6 years from the date a certifying employee's employment with the company ends or, for an agency, representative, or consultant, 6 years from the date such individual ceases to act on behalf of the contractor.

(e) The certification required by paragraph (c) of this clause is a material representation of f act upon which reliance will be placed in executing this modification.

[End of Clause]

1.3 52.203-10 PRICE OR FEE ADJUSTMENT FOR ILLEGAL OR IMPROPER ACTIVITY (SEP 1990)

(a) The Government, at its election, may reduce the price of a fixed-price type contract or contract modification and the total cost and fee under a cost-type contract or contract modification by the amount of profit or fee determined as set forth in paragraph (b) of this clause if the head of the contracting activity or his or her designee determines that there was a violation of subsection 27(a) of the Office of Federal Procurement Policy Act, as amended (41 U.S.C. 423), as implemented in the FAR.

In the case of a contract modification, the fee subject to I

Page 36 RS-AED-92-266 Section I reduction is the fee specified in the particular contract modification at the time of execution, except as provided in subparagraph (b)(5) of this clause.

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

(1) For cost-plus-fixed-fee contracts, the amount of the fee specified in the contract at the time of award; (2) For cost plus-incentive-fee contracts, the target fee specified in the contract at the time of award, notwithstanding any minimum fee or " fee floor" specified in the contract; (3) For cost plus-award-fee contracts--

(i) The base fee established in the contract at the time of contract award; (ii) If no base fee is specified in the contract, 30 percent of the amount of each award fee otherwise payable to the Contractor for each award fee evaluation period or at each award fee determination point.

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

(1) Reduce the contract target price and contract target profit both by an amount equal to the initial tarjet profit specified in the contract at the time of contract award; or I

(ii) If an immediate adjustment to the contract target price and contract target profit would have a significant adverse impact on the incentive price revision relationship under the contract, or adversely affect the contract financing provisions, the Contracting Officer may defer such adjustment until establishment of the total final price of the contract. The total final price established in accordance with the incentive price revision provisions of the contract shall be reduced by an amount equal to the initial target profit specified in the contract at the time of contract award and such reduced price shall be the total final contract price.

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

(c) The Government may, at its election, reduce a prime contractor's price or fee in accordance with the procedures of paragraph (b) of this clause for violations of the Act by its subcontractors by an amount not to exceed the amount of profit-or fee reflected in the subcontract at the time the subcontract was first definitively priced.

~

t a

"ot .

Pago 37 Secd on I RS-AED-92-266 fee reflected in the subcontract at the time the subcontract was first definitively priced.

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

[End of Clause)

I.4 52.216-18 ORDERING (APR 1984)

(a) Any supplies and services to be furnished under this contract shall be ordered by issuance of delivery orders by the individuals or activities designated in the Schedule. Such orders may be issued from the effective date of the contract through contract expiration.

(b) All delivery orders are subject to the terns and conditions of this contract, in the event of conflict between a delivery order and this contract, the contract shall contrui.

(c) If mailed, a delivery order is considered " issued" when the Government deposits the order in the mail. Orders may be issued orally or by written telecommunications only if-authorized in the Schedule.

[End of Clause) 1.5 52.216-19 DELIVERY-ORDER LIMITATIONS (APR 1984)

(a) MINIMUM ORDER. When the Government requires supplies or services covered by this contract in an amount of less than $0, the Government is not obligated to purchase, nor is the Contractor obligated to furnish, those supplies or services under the contract.

(b) MAXIMUM ORDER. The Contractor is not obligated to honor--

(1) Any order for a single item in excess of 990 manhours.

(2) Any order for a combination of items in excess of 1930 manhours.

(3) A series of orders from the same ordering office within 30 days that together call for quantities exceeding the limitation in subparagraph (1) or (2) above.

(c) If this is a requirements contract (i.e., includes the Requirements clause at subsection 52.216-21 of_the Federal Acquisition Regulation (FAR)), the Government is not required to order a part of any one requirement from the Contractor if that requirement exceeds the maximum-order limitations in paragraph (b) i

I a i Page 38  ;

RS-AED-92-266 Section I ,

shall honor any order exceeding the maximum order limitations in paragraph (b), unless that order (or orders) is returned to the i ordering office within 5 days after issuance, with written notice stating the Contractor's intent not to ship the item (or items)_ l called for and the reasons. Upon receiving this notice, the Government may acquire the supplies or services from another source.

[End of Clause)

I.6 52.216-21 REQUIREMENTS (APR 1984) ALTERNATE I (ApR 1984) ,

(a) This is a requirements contract for the supplies or. services specified, and effective for the period stated, in_the Schedule.

The quantities of supplies or services specified--in the Schedule are estimates only and are not purcl.ased by this contract. Except as this contract may otherwise provide, if the Government's requirements do not result in orders in the _ quantities described '

as " estimated" or " maximum" in the Schedule, that fact shall not~

constitute the basis for an equitable price adjustment.

-(b) Delivery or performance shall.be_made only as authorized by l orders issued in accordance with the Ordering clause. Subject to- ,

any limitations in the De18very-Order Limitations clause or .

elsewhere.in this contract, the Contractor shall furnish to the Government all supplies or services specified in the Schedule and called for by orders issuc ! in accordance with the Ordering .

clause. The Government may issue orders requiring delivery to multiple destinations or performance at multiple locations._

(c) The estimated quantities are not the total requirements of the Government activity specified in the Schedule, but'are .

estimates of requirements in excess of the quantities that the activity may itself furnish within its own capabilities. Except-as this contract otherwise provides, the Government shall order from the Contractor all of that activity's requirements for supplies and services specified in the~ Schedule that exceed the quantiW es:that the activity may itself furnish within its own capabilities.

(d) The Government is not required to' purchase from the Contractor requirements in excess of any limit on total orders under this contract.

(e) If ths. Government urgently requires- delivery of any quantity '

of an item before the earliest date that delivery may be specified' under this contract, and.if the Contractor will~not accept an.

order _providing for the accelerated delivery,.the Government may acquire the urgently' required' goods or services ~from'another.

! -source. i (f) Any order issued during the effective: period of this _

l contract and not completed within that period'shall be completed -

,y

.- by_the Contractor within.the time specified in the order. . The

.I

Page 39 RS-AED-92-266 Section !

contract shall govern the Contractor's and Gov 6rn.nent'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 make any deliveries under this contract af ter 60 days af ter the contract expiration date.

(End of Clause)

T k

O

Page 40 RS-AED-92-266 Section J PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS J.1 ATTACHMENTS (MAR 1987)

Attachment Number Title 1 Billing Instructions 2 NRC Contractor Organizational Conflicts of Interest 3 NRC Handbook 3.8 4 Standard Form 1411 with Instructions 5 Contractor Spending Plan (CSP)

Instructions 6 Subcontracting Plan 7 Guidelines for the Preparation of the Diagnostic Eva;ustion Team Report 8 Office of Federal Procurement Policy Letter 89-1, December 8, 1989 0 0 8

e o

'. ATTACHMENT 1 REVISED 8/89 BILLING INSTRUCTIONS FOR COST-EEIM90RSENENT TYPE CONTRAC'S The c:ntractor shall prepare voucners/ invoices for A samoie General:

resecursement of costs in the manner ano format cescribec herein. FAILU voucner/ invoice is provided for your reference.

VOUCHERS / INVOICES IN ACCORDANCE VITH THESE INSTR REJECTION OF the VOUCHER / INVOICE AS IMPROPER.

An original and three copies, including succorting Numoer of Csoies: A copy of all supporting cocuments must c:cumentation snail be suomittee. Failure to submit all be attacneo to eacn cocy of your voucner/ invoice.

ne recuirec cc:ies will result in rejection of the voucner/ invoice as im: roper.

Vouchers / invoices snall be suomittee "esienatec ioenev Billino Office:

t: tne following accress:

U. 5. Nuclear Regulatory Commission Division of Contracts anc Property Management Contract Acministration Eranen. P 802  !

Wasnington. 0.C. 20555 OT EXPEDITE

-aND CEL'VERY OF VOUCHERS / INVOICES IS DISCOURAGED AN

tCCESSING BY NRC.

ey nano, inclucing delivery by any express mail services or special ,

ceiivery services wnich use a courier or other person to celiver ttne ce voucner/ invoice in cerson to the NRC, suen vouchers / invoices must ao:resseo ::

ac:eptec at the following location:

U. 5. Nuclear Regulatory Commission One White Flint North 11555 Rockville Pike Mail Room Roctville, Marylano 20852 HAND-CARRIED SUBMISSIONS VILL NOT PE ACCEPTED AT O A00RE55.

Note that the of ficial receipt cate for hand-delivereo voucners/invoicesilling offi will be the date it is receivec by the official acency b the Division of Contracts ano Property Management payment Office: Payment will continue to ce mace by the of fice Acency 1&.cf SF 26 or Block 25 of SF 33, designateo in tne contract in Bloct whichever is applicaole.

l

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

l

\

REVISED 8/89 Page 2 Tr.evency: The contractor shall submit claims for reimbursement once eacn montn. unless otnerwise autnori:to :y ne Contracting Officer, b Claims snoulo be succittec in the format depictec on the attacneo samose form entitleo "Voucner crevideo 4 r guidance (or furenases only. The anc form isServices not Other than

ers:nal." The samole f:r= :: Alternate formats are recuireo f or submission of a voucner/ invoice.

permissible provided all reouirements of the billing instructions are accresseo.

entracting Of ficer. Additional cocies of the form are available from theT the voucner/ invoice are incluceo with the samole form.

• asa Creer'no Contracts: If the contractor bills for more than one tast orcer uncer a voucner/ invoice, detaileo costall information for e This includes summary of all charges billeo on the voucner/ invoice.

apoiicaole cost elements discusseo in caragraons (a) throug of C:nt-act: If costs are incurreo oireo, tne Si'i'-e e' C:st Af ter Exci-att a Sur ; . e contract pertoo anc ciaimec arter the contract nas ex To ce

er Oc curing wnicn thece costs were incurreo must te citec.::n

-art t "EXP! RATION VOUCHER" or "EXPIRATICN INVOICE."

OUCHER" or "e!NAL *NVOICE."

iea; <ou:. srs/ invoices snail :a marteo "c!NAL V

sereaev-ifllings may be excresseo in the currency normally lluseo by nein be mace

n:ract:r 'n maintaining nts acc:unting recorcs; ;:ayments for all wi However, ina: :gr-eacy. the V. 5. collar ecuivalentexceec :ne :: tai U. 3.

vou:nsrs/ voices caic uncer One c:ntract may not dollars a'.tneri:eo in the contract.

These instruct :ns sucersece any previous oilling Suceasess':n:

instructi:ns.

. g

-'- - ~ - - ' - - - - - - ~ , _ _ . . , _ . _ -----m_ __

.' ~,

, REVfSED 5/59 Page 1 INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACTS

-acaration ano Itemization of the Voucher / Invoice: In order *.o constitute a proper invoice, the contractor shall furnisn all the information set ferth below. These notes are keyed to the entries on the sample

<oucner/ invoice.

Cf ficial Agency Billing Of fice: Address the original ano 3 copies of the voucner/ invoice, together with supporting documentation attached to each c:py to: U. S. Nuclear Regulatory Commission, Division of Contracts and

? coerty Management, P-902, Washington, D. C. 20555.

Voucners/ invoices delivered by hano, including delivery by an express mail services or special delivery services which use a courier or other person

deliver the voucher / invoice in person to the NRC, should be addressed in a :ordance with the foregoing and delivered to: U. 5. Nuclear Regulatory

mission,0ne White Flint North.11555 Rockville Pike, Rockville,

.arylana w 20852. Hana-deliverea voucners/ invoices will not ce acceptea at

tner than the above address. -Note, however, that the official receipt case for hano-deliverea vouchers / invoices will be the cate it is receiveo Oy the official agency billing office in the Olvision of Contracts anc P-coerty Management.

Dayee's name and address. Show the name of the contractor as it appears in t..e contract and its correct address. When an approved assignment has been made by the contractor, or a different payee or addressee has been designated, insert the name and address of the payee. Indicate the name and telephone number of the individual responsible for answering any ouestions that the NRC may have regarcing the i voice.

(a) Contract Number. Insert the NRC- contract number Tasm Order Number, if applicable. Insert the task order numoer.

(t) Title of Project. List the full title of the project being performed under the contract.

(c) Sequential voucher / invoice numoer. The appropriate sequential numoer of the voucher / invoice, beginning with 001 should be designated.

Contractors may also include individual internal accounting numoers, if desired, in addition to the 3-digit seauential number.

(c) Project Officer's name as designatec in the contract.

(a) Cate of voucher / invoice. Insert the date the voucher / invoice is prepared.

(f) Contract Amount. Insert the total estimated cost of the contract, exclusive of fixed-fee. Include this information as it applies to individual task orders as well, i-

i 2 REVISED 8/89 (g) rixtd-Fee. Insert total fixed-fee. include this information as it applies to individual task oroers as .eil.

(h) efiling Period. Insert the beginning and ending dates (day, month, year) of the period during which costs nere incurreo and for which reimbursement is claimed.

(i) Direct Costs, insert the major cost elements:

(1) Direct Labor. This consists of salaries ano wages paid (or accrued) for direct performance of the contract itemized as follows:

" Labor Labor Hrs. Hours Cumulative Category Negotiated Billed 9 ate Totai Hours Billed (2) Fringe Benefits. This represents fringe benefits applicable to direct labor and billed as a direct cost. Where a rate is used, indicate the rate. Fringe benefits included in direct labor or in other indirect cost pools should not be identified here.

(3) 01 rect Equipment. For educational institutions, list each item costing $500.00 or more and naving a life expectancy of more than one year. For contractors other than educational institutions, list each item costing $200.00 or more and having a life expectancy of more than one year. List only those items of equipment for which reimbursement is requested. A reference shall be made to the following (as applicable): (a) the item numoer for the specific piece of equipment listed in the property schedule of the contract; (b) the Contracting Of ficer's approval letter if the equipment is not covered by the property senedule; or (c) be preceded by an asterisk (*)

if the equipment is below the approval level. Further itemization of vcuchers/ invoices shall only be required for items having specific limitations set forth in the contract.

(4) Materials, Sucplies, or Other Expendable Items. These are consumable materials, suoplies, and equipment other than that descrioec in (3) above.

(5) Premium Pay. This is remuneration in excess of the basic hourly rate. (Recuires written approval of the Contracting Officer.)

(6) Consultant's Fee. The supporting information must include the name, hourly or daily rate of the consultant, and reference the NRC aporoval (if not specifically approvec n tne originai contract).

t

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

. .s, 1

3 REVISED 8/89 Domestic travel is travel within the United States, its (7) Travel. It should be billed territories, possessions, and Canada.

separately from foreign travei.

All ::sts associatec with eacn tric must be shown in the following format:

Date Traveler Destination Purpose Cost.

From To- Froml To $

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

(9) Other. List all other cirect costs by cost- element _ and dollar amount separately.

(j) Indirect Costs - Overhead. Cite the formula (rate and base) in effect curing the time the-cost was incurred anc for wnicn reimbursement is claimed.

(k) Fixed Fee. If the contract provides for a fixed fee, it must be .

claimed as provided for by the contract. Cite the. formula or method of computation. The contractor may bill. for fixed fee only up to 85% of total fee.

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

(m) Cumulative Amount from Inception to Date of Current Billing. Insert the cumulative amounts billed for the major cost-elements ano.

adjusted amounts claimed during this contract.-

.(n) Total Amounts Claimed. Insert the total amounts claimea for the current and cumulative periods.

(c) Adjustments. This incluces cumulative amounts oilleo that nave ceen suspended or disallowed.

(p) Grand Totals.

. . . - . _ . _ . _ . _ .~.._,.-.,,.._._.._._-._-,_.._-.--,.___...._.....~.u~-~. .. . , _ ,

- )# ~ :A ray a 1

v0UCHERS FCR FURCHASES AND SERVICES CTHER THAN FERSCNAL; i

' SAMPLE VOUCHER cat.c ni f.eenw sci;ne- Clfice -

(a) Centract Numcer U.'J. Necleair Re pmatory Commission CivisicA of Cbntracts and Property Tasx Order No. (If Acolicaole) - _f Manactment. F-v02 Wasrivigton, DC 20555 (D) Title et Project -

osv== t Name sac are ett .

t l (c) Voucner Number f

li

-(d) Pro:ect Officer -

(e) Cate of Voucher Incividual to Ccmact (f) .Centract Amount Aegaroing TNs vcuener: .

' \ Nam 3: Fixeo Fee l.

Tel. No.:

l(g) l _.

• *1ru (h)

This voucher represents reimeursaole costs from .

Amount B;flec (1) Carrent pence - (m) incection to Date (i) Direct Cests I (1) Decem Laber

• Fringe Benefits _ *. l 3 (2)  !

If eeerutee et eerceatsce -

(3) Cacitanzec Nonexcencacie l-Eeuiement * ,

i (4) Matenals. Succues anc l Non'aeitahree Ecu'ement *

(5) - P'emium pay i (6) censuttants -

j I '

, (7) Traves - Comestic

• i

ere.cn a l.

(8) Subcontract * '

(S) C*ee cests '

Total Cirect Costs (j) WO:pEC* COSTS (A) Overneaa _% of

(?ncicate Base; Subtotal (B) - General & Administrative Expense--

% of Ccst Elements Nos.

Total Costs (k)~ -FIXED-FEE EARNED (Formuta)

(n) Total Amount Claimec (c) Adjustments }

Outstancing Suscensions (p) Grano Totats

• (REQUIRES SUPPORTING INFORMATION-SEE ATTACHED)

P

.4 -_ ,

1 i , ...

" w- .. ..-,..y.,,,,

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'I NRC-10-81-624 I

Official Acency Billing Office: (a) Contract Numoer 002 Task Orcer No. (lf Anplicable) J

,1, ;, Lc.taar gegt3:en onsjs3jan c "S tudy of Nut t eer */

dim sici of Jan. trac.cs anc Propert.v (d) Titic of eroject waste concepts" a 1

'anagemena, c-907 ~

Washington. 0.C. 20555 003 }'

Pavee's tiame ano Address Voucner Numoer j

ABC Corporation The National Bant (d) Project Officer 100 Main Street or Anywnere, U.S. A.  !

Arifwhere, U.S. A. Assignee for ABC Corp. (e) Date of Voucher nnv hare U.S.A. ( O MT hm apents Assigneo t j

Individual t: Contacf en (9) Billin9 Period l Regarding This Voucner:  ;

Name: Har-v Murchv _

Tel. No.: Z1:-ast-code l 3/1/82 thru 3/30/82 This voucner represents reimoursaole casts from

( h) I knount Billed _

(m) Inceotion to Date_ f (1) Current Period u onn

( i) Direct Costs 52.400 (1) :f rect taber

• l 1,200 (2) 'ringe Bener i ts is 4o. ; t Ann i

if comoutec as cercentace) S,000 i

(3) ;4sitalizec ,onexpenoaose 5.000

!:uioment l 4,000 (a) P.aterials, Supplies anc 2,000 l

Noncacitalizeo Ecuioment - 1 150

! 100 100 l

(5) :remium Pav 100 i l

(6) ::nsuitants - 200 1 700_.

j  ;

! (7) Travei - Domestic

• i 200 l foreien

• 200 i I

- 9,00(

(S) Succontract a uuu  ! '

(9) Er;er costs - ** ' -

i (j) $29,6!)  !

INDIRECT COSTS ~102 of Total $13,600 Direct Costs l A) Overneaa I (Indicate Base) $59,3LO 527.200 subto ta1 I 3,264 6,450

8) General & Administrative Expense ps .7 so i 12 of Cost Elements Nos.1-9. A $30,464 Total Costs  !

1,523 3.400 l

( k) FIXED-FEE E ARNED (Formula) $31,987 $69.150

( n) Total Amunts Claimed 1,700 1.700

( o) Adjustments _

outstanding Susper.sions 567,450

$30,2c7

( p) Grand Totals

• (RECU!RES SUPPORTING tnFOCAT103. )

(SEE ATTAttiED. )

DC-3

Page o S A.MPI.E SUPPORTING INFORFATION

1) Direct Labor - $2400 Hours Cumulative Labor Labor Hours Total Hours Billeo Neootia ted Billed Rate Catecory

$14.00 $1400 975 2400 100 Senior Engineer 1 465 50 $10.00 $500 Engineer 1500

$5.00 $500 320 700 100 Computer Analyst 52466 .

3) Of rect Eouienent Spectr: meter - General Electric (as approvea in Property Schedule) 55,000

4) Materials. Sueolies & Other Excencable items

= $1100.00 10 Racon Tubes 9 5110.00

= $900.00 6 Fairs Electrostatic Gloves ,e 1150.00 52000.00

5) Premiwn Pav Walter Murony - 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 (This was approvec by NRC in letter cated 3/6/89.)

6) Consultants' Fee

= $100 Dr. Carney 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> 9 3100

7) ~ Travel Purcose Costs Traveler Des ti na tion _

Oate From To From To Chicago, Wash., Meeting with $200 William King 3/1/89 3/6/89 Project Il OC Officer i i

l l

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I j '.

, . -c.

3) Subcorit ra cts ITZ CORP. (CFFF)

Direct Labor: - 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> 0 $20.00 per hour = $1600.00 0/H 0 SO: =

$800.00 Travel - 2 Trips - Wash., DC 0 $200 =

$400.00 to Boston, MA Profit 0 7% = $200.00 TOTAL: 53000.00

( k) Fixed-Fee (Fomulal (SI) 5350,000 X St = $17,500 Total fixed Fee for this Contract 327,200 X 5: = $1360 Fee Billed for this Period

( o) Adiustrnents

$1700 - Indicates a:nount withheld from voucner 8001, now approved by Contracting officer letter 3/10f39.

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\ U. S. Nuclear Regulatory Commission

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% ~I Volume: 3 Disclosure, Distribution, and Management of Information ADM

% ..... /

Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 Policy (3.8-01)

This directive and handbook govern the publishing of(1) unclassified NRC contractor, consultant or grantee formal reports, books, and -

international agreement reports, in the NUREG/CR, NUREG/GR.

and NUREG/IA series: (2) reports and books by contractors of the U.S. Department of Energy (DOE): and (3) publications prepared for NRC under memoranda of understanding and interagency agreements.

Objectives (3.8-02)

. To ensure the production and dissemination of information and publications as required by the Energy Reorganization Act of 1974 and the Freedom cf Information Act. (a)

. To ensure the technical and management reviews of formal reports and books prior to publication. (b)

. To ensure that national security patent rights, copyrights, proprietary rights, and rights in other sensitive unclassified information, including those specified in interagency and international agreements and mt.moranda of understanding, are not compromised by the release or publication of information by NRC. (c)

• To ensure that all unclassified NRC contractor or grantee-publications in the NUREG series carry the registered Govern-ment identification NUREG/CR-0000, NUREG/GR-0000, or NUREG/IA-0000, with the exception of some publications Approved: April 23.1991 1

Unclassified Contractor and Grantee -

Publications in the NUREG Series Directive 3.8 Objectives (3.8 02)(continued) prepared by grantees, and indicate the availability of source material used in these publications. (d)

• To ensure that NRC-sponsored book manuscripts receive proper peer review from experts within and outside NRC, (e)

. To provide uniform procedures for publishing formal reports and books prepared by NRC contractors or grantees. (f)

Organizational Responsibilities and Delegations of Authority (3.8-03)

Executive Director for Operations (EDO)

(031)

Delegates to the Deputy Executive Directors foi Operation decisionmaking authority for the resolution of differences between NRC and contractors about the contents of publications, about granting contractors permission to publish NRC-sponsored information in the open literature, and about permitting contractors to issue press or other media releases concerning NRC-sponsored information.

Deputy Executive Director for Nuclear Reactor Regulation, ,

Regional Operations and Research (032)

As delegated from the EDO, makes final decisions in the following areas for the Office of Nuclear Reactor Regulation. Ofnce of Nuclear Regulatory Research, and Regional Offices:

. When an Office Director refuses to publish an NRC-sponsored document because of irreconcilable differences between themselves and the author (s) about the contents of the document. (a)

. When an Office Director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open literature. (b)

Approved: April 23.1991 l 2

ATTACHMENT 3 Unclassified Contractor and Grantee Publications in the NUREG Series

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Directive (Formerly MC 3202) OeU OQ 4

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Unclessified Contrccter end Grantee Publications in the NUREG S: ries Directive 3.8

! Contents i

1 i

i Policy................................................................. 1 l O bj ect i ves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Organizational Responsibilities and Delegations of Authority . . . . . . . . . . . 2 4

j Executive Director for Operations (EDO) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

! Deputy Executive Director for Nuclear Reactor Regulation, j Regional Operations and Research . . . . . . . . . . . . . .' . . . . . . . . . . . . . . . . . . . . . . . . 2 Deputy Executive Director for Nuclear Materials Safety. Safeguards,

an d Ope ra tions Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-i Dire ctors of Offices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 i Director, Office of Administration (ADM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

} Director, Division of Freedom of Information and Publications S e rvi ce s , ADM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 i

j Director, Division of Contracts and Property Management, ADM . . . . . . . . . . . . 5 -

l Ap pl i ca bili ty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 l E m p l oy e e s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 1

i O the r P ubli ca tions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 i

,. H a n d b oo k . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 1

R e fe ren ces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-i 1

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i Approved: April 23,1991 i 4

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Unclassified Contractcr and Grtntee Publications in the NUREG Seri:s

. Directive 3.8 Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (032)(continued) e When an Office Director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored publication. (c)

Deputy Executive Director for Nuclear Materials Safety, Safeguards, and Operations Support (033)

As delegated from the EDO, makes final decisions in the following areas for the offices reporting to this official:

. When an Office Director refuses to publish an NRC-sponsored document because of irreconcilable differences between themselves and the author (s) about the contents of the document.

(a) e When an Office Director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open literature. (b) e When an Office Director refuses to permit a contractor.to issue a press or other media release about an NRC sponsored l

publication. (c)

L Directors of Offices (034)

. Ensure that publications will be reviewed in draft prior to final printing and distribution for acceptability by determining that they i are consistent with agency policy, management decisions, and that they raise no significant legal issues. (a)

. Ensure that statements of work include statements requiring l

i contractor

• compliance with this directive and handbook and l Government Printing and Binding Regulations. (b) l

• • Contract in ttus context encompames the

• standard order for DoEWork* (NRC Form 173). micragency and international a greements, l and granu. l l

l l l l Approved: April 23,1991 3 l l

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Unclassified Contract @r and Grantee

. Publications in the NUREG Series -

4 Directive 3.8 I

l Directors of OfUces l (034)(continued) i l . Sign, or delegate signature authority for, the NRC Form'426A, i'

" Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports," and for memoranda requesting i reprints of contractor publications. (c):

I Director, Office of Administration (ADM) i (035) 1 s

As delegated from the Deputy Executive Director for Nuclear Materi-

als Safety, Safeguards, and Operations Support, administers NRC_'s 2 programs and policies for publishing unclassified contractor and -

i grantee reports and books in the NUREG series.

1

{ Director, Division of Freedom of i Information and Publications l Services, ADM j (036) i

. Develops and administers, as delegated from the Director, ADM, j NRC's program and policies for publishing unclassified contractor, i consultant, and grantee formal reports, books, and international agreement reports in . the . NUREG/CR,' NUREG/GR, and l NUREG/IA series. (a)

• Applies the policy, procedures, standards, and guides for the docu-mentation, formatting, composition, printing, and dissemination i of NRC-sponsored publications in the NUREG series consistent -

with the mission of the agency and in accordance with the require- - '

l[ ments of the Government Printing and Binding Regulationsissued by the Joint Committee on Printing, U.S. Congress. (b)

! . Develops- and administers. the central. agency publication j numbering system for identifying, producing, and retrieving j unclassified NRC-sponsored 1 publications . in the NUREG .

[ 4 series. (o) .

! Director, Division of Contracts and

! Property Management, ADM (037)

E Ensures that those requests for proposals, invitations for bids, and 4

grant proposals, and the ensuring contracts and grants that require i

j 4 .- ApprovedQApril 23.1991 4 .

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. Unclassified Contractor end Grcntee Publications in the NUREG Series

' Directive 3.8 Director, Division of Contracts and Property Management, ADM (037)(continued) publications as deliverables, include provisions requiring contractot compliance with this directive and handbook and Government Printing and Binding Regulations.

Applicability (3.8-04)

Ernployees (041)

This directive and handbook apply to and must be followed by all NRC employees.

Other Publications (042)

The provisions of 'this directive and handbook do not apply to NRC i staff publications in the NUREG series, NRC docket material, or documents created by NRC boards, paruls, advisory committees, and offices that report to the Commission.

i Handbook (3.8-05)

Detailed guidelines for the preparation of publications are contained in Handbook 3.8.

References l (3.8-06) l

1. Executive Order 12291--Federal Regulation, February 17,1981. l

2. Title 17, U.S. Code, Copyrights. -

3. Government Printing and Binding Regulations, S. Pub.101-9, )

February 1990.

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- Approved: - April 23,1991 5

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$ - Unclassified Contrector end Grantee .

Publications in the NUREG Series l Directive 3.8 F References 4 (3.8-06)(continued)

4. DOE-NRC Memorandum of Understanding, February 24,1978.

I S. Title 44, U.S.' Code, "Public Printing and Documents," Chapter 3, Government Printing Office.

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! 6. U.S. Government Printing' Office Style Manual,1984.

7. Energy Reorganization Act of 1974 (42 U.S.C. 5801, et seq.).

8. The Freedom of Information Act (5 U.S.C. 522).

! 9. Public Law 224, The: Federal' Grant and Cooperative

- Agreement Act, February 3,1978.

10. Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations, OMB Circular  ;

i j A-110 July 1976.

i 11. Cost Principles for State and Local Governments. OMB Circular 4

A-87, January 1981.

l 12. NUREG-0650, - Revision 1 " Publishing Documents in the

- NUREG Series," November 1990.

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Approved: April 23,1991

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VT. Subcontracts.-

The contracting officer shall require offerors and contractors to submit -

a representation statement from all subcontractors (other than a supply subcontractor) and consultants performing services in excess of $10,000. .The contracting officer shall require the contractor to include contract clauses in consultant agreements or subcontracts involving performance of work under a -

prime contract. ,

VII. Waiver.

A. The contracting officer determines the need to seek a~ waiver for specific contract awards, with the advice and concurrence of the program office director and legal counsel. Upon the recommendation of the contracting officer, and after consultation with legal counsel, the Executive Director for.

Operations may waive the policy in specific cases if he determines that itzis ~

in the best. interest of the United States to do so.

B. Waiver action is strictly limited to those situations-in which:

1. The work to be performed under contract is vital to the NRC program.

2. The work cannot be satisfactorily performed except by a contractor _ whose interests give rise to a . question of conflict of interest.

3. Contractual and/or technical review and supervision methods can be employed by the NRC to neutralize the conflict.

C. For any waivers, the justification and approval documents must be placed in the NRC Public Document Roor- 2120 L Street, NW. (Lower level),

Washington, DC.

VIII. Remedies.

In addition to other remedies' permitted by law or contract for a breach of the restrictions in this subpart or for any: intentional-misrepresentation c

or _ intentional nondisclosure of any relevant interest required to be.provided for this section, the NRC may debar the contractor from subsequent NRC contracts.

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' ATTACHMENT 2 NRC Organizational Conflicts of Interest I. Scope of policy.

A. It is the policy of NRC to avoid, eliminate, or neutralize contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships. if any, with organizations or persons (including those regulated by the NRC) which may give rise to actual or potential-conflicts of interest in the event of contract aware' B. Contractor conflict of interest determinations cannot be made automatically or routinely, The application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied to satisfy the overall public interest. It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise.

However, examples are provided in these regulations to guide application of this policy guidance. The ultimate test is as follows: Hight the contractor, if awarded the contract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage?

C. The conflict of interest rule contained in this subpart applies to contractors and offerors only. Individuals or firms who have other relationships with the NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC agreements with other government agencies, international organizations, or state, local, or foreign governments. Separate procedures for avoiding conflicts of interest will be employed in these agreements, as appropriate.

II. Definitions, f A. Affiliates means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both.

B. Contract means any contractual agreement or other arrangement with l

I the NRC except as provided in the section, " Scope of Policy,' paragraph C.

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

0. Evaluation activities means any effort involving the appraisal of l

a technology, process, product, or policy.

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E. Offeror or prosoective contractor means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, or their affiliates or successors in interest, including their chief executives, directors, key personnel, proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract.

F. Oroanizational conflicts of interest means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which:

1. May diminish its capacity to give impartial, technically sound, objective assistance and advice, or may otherwise result in a biased work product; or

2. May result in its being given an unfair competitive advantage.

G. Pot _qntial conflict of interest means that a factual situation suggests that an actual conflict of interest may arise from award of a proposed contract. The term potential ccnflict of interest is used to signify those situations that (1) merit investigation before contract. award to ascertain whether award would give rise to an actual conflict, or (2) must be reported to the contracting officer for investigation if they arise during contract performance.

H. Research means any scientific or technical work involving theoretical analyri:, :xplaration, or experimentation.

I. Subcontractor means any subcontractor of any tier who performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts not exceeding the small purchase threshold.

J. Technical consultino and manaaement sucoort services means internal assistance to a component of the NRC in the formulation or administration of its programs, projects, or policies which normally require that the contractor be given access to proprietary information or information that has not been made available to the public. These services typically include assistance in the preparation of program plans, preliminary designs, specifications, or statements of work.

III. Criteria for recognizing contractor organizational conflicts of interest.

A. General,

1. Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist:

a. Are there conflicting roles which might bias an offeror's or contractor's judgment in relation to its work for the NRC7 2

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b. May the offeror or contractor be given an unfair competitive advantage based on the performance of the contract?

2. NRC's ultimate determination that organizational conflicts of interest exist will be made in light of common sense and good business judgment based upon the relevant facts. . While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships that might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements that call for the rendering of advice, consultation or evaluation activities, or similar activities that directly lay the groundwork for the NRC's decisions on regulatory activities, future procurements, and research programs.

8. Situations or relationshios. The following situations or relationships may give rise to organizational conflicts of interest:

1. The offeror or contractor shall disclose information that may give rise to organizational conflicts of interest under the following circumstances. The information may include the scope of work or specification for the requirement being performed, the period of performance, and the name and telephone number for a point of contact at the organization knowledgeable about the commercial contract,

a. Where the offeror or contractor provides advice and recommendation to the NRC in the same technical area where it is also providing consulting assistance to any organization regulated by the NRC.

b. Where the offeror or contractor provides advice to the NRC on the same or similar matter on which it is also providing assistance to any organization regulated by the NRC.

c. Where the offeror or contractor evaluates its own products or services, or has been substantially involved in the development or marketing of the products or services of another entity.

d. Where the award of a contract would 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 would result in an unfair competitive advantage for the offeror or contractor.

2. The contracting officer may request specific information from an offeror or contractor or may require special contract clauses in the following circumstances:

a. Where the offeror or contractor prepares specifications that are to be used in competitive procurements of products or services covered by the specifications.

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

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

d. Where the offeror or contractor is granted access to proprietary information of its competitors.

e. Where the award of a contract might 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 might result in an unfair competitive advantage for the offeror or contractor.

C. Policy aoolication ouidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations.

1. The ABC Corp., in response to a Request For Proposal (RFP),

proposes to undertake certain analyses of a reactor component as called for in the RFP. The ABC Corp. is one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the ABC Corp advises that it is currently performing similar analyses for the reactor manufacturer.

Guidance. An NRC contract for that particular work normally would not be awarded to the ABC Corp. because the company would be placed in a position in which its judgment could be biased in relationship to its work for the NRC.

Because there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.

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

Guidance. An NRC contract normally could be awarded to the ABC Corp.

because no conflict of interest exists which could motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work with the private sector that could create a conflict during the performance of the NRC contract. For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.

3. The ABC Corp., in response to a competitive RFP, suomits a proposal to assist the NRC in revising NRC's guidance documents on the respiratory protection requirements of 10 CFR Part 20. ABC Corp. is the only firm determined to be technically acceptable. ABC Corp. has performed substantial work for regulated utilities in the past and is expected to 4

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

continue similar efforts in the future. The work has and will cover the writing, implementation, and administration of compliance respiratory protection programs for nuclear power plants.

Guidance. This situation would place the firm in a role where its judgment could be biased in relationship to its work for the NRC. Because the nature of the required work is vitally important in terms of the NRC's responsibilities and no reasonable alternative exists, a waiver of the policy in accordance with the section "Walver" may be warranted. Any waiver must be fully documented in accordance with the waiver provisions of this policy, with particular attention to the establishment of protective mechanisms to guard against bias.

4. The ABC Corp, submits a proposal for a new system to evaluate a specific reactor component's performance for the purpose of developing standards that are important to the NRC program. The ABC Corp. h2s advised the NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component.

Guidance. A contract could be awarded to the ABC Corp. if the contract

' stipulates that no informaticq produced under the contract will be used in the contractor's private activities unless this information has been reported to the NRC. Data on how the reactor component performs, which is reported to the NRC by contractors, will normally be disseminated by the NRC to others to preclude an unfair competitive advantage. When the NRC furnishes information about the reactor component to the contractor for the performance of contracted work, the information may not be used in the contractor's private activities unless the 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 information, developed about the performance of the reactor component under the contract, is proposed to be used.

5. The ABC Corp., in response to a RFP, proposes to assemble a map showing certain seismological features of the Appalachian fold belt. In accordance with the representation in the RFP and the section, " Criteria for Recognizing Organizational Conflicts of Interest," paragraph B.1 above, ABC Corp. informs the NRC that it is presently doing seismological studies for several utilities in the eastern United States, but none of the sites are within the geographic area contemplated by the NRC study.

Guidance. The contracting officer would normally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. Paragraph (c), " Work for Others," of the clause in Section I entitled " Contractor Organizational Conflicts of Interest" would preclude ABC Corp from accepting work which could create a conflict of interest during the term of the NRC contract.

6. AD Division of ABC Corp., in response to a RFP, submits a proposal to assist the NRC in the safety and environmental review of applications for licenses for the construction, operation, and decommissioning of fuel cycle 5

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facilities. ABC Corp. is divided into two separate and distinct divisions, AD and BC. The BC Division performs the same or similar services for industry.

The BC Division is currently providing the same er similar services, required under the NRC's contrac t for an applicant or licensee.

Guidance. An NRC contract for that particular work would not be awarded to the ABC Corp. The AD Division could be placed in a position to pass judgment on work performed by the BC Division, which could bias its work for NRC. Further, the Conflict of Interest provisions apply to ABC Corp. and not to separate or distinct divisions within the company. If no reasonable alternative exists, a waiver of the policy could be sought in accordance with section Vil, " Waiver," below.

D. Other considerations.

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

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

IV. Evaluation, findings, and contract award.

A. The contracting officer shall evaluate all relevant facts submitted by an offeror, and other relevant information. After evaluating this information against the criteria in section III, " Criteria for Recognizing Contractor Organizational Conflicts of Interest," the contracting officer shall make a finding of whether organizational conflicts of interest exist with respect to a particular offeror. If it has been determined that real or potential conflicts of interest exist, the contracting officer shall: ,

1. Disqualify the offeror from award; 2, Avoid or eliminate such conflicts by appropriate measures; or

3. Award the contract in accordance with the section VII, the Waiver.

V. Conflicts identified after award.

If potential organizational conflicts of interest are identified after award with respect to a particular contractor, and the contracting officer determines that conflicts do exist and that it would not be in the best interest of the government to terminate the contract, the contracting officer shall take every reasonable action to avoid, eliminate, or after obtaining a waiver in accordance with section VII, " Waiver" below, neutralize the effects of the identified conflict.

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Unclassified Contractor and Grantee Publications in the NUREG Series

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Handbook (Formerly Appendix 3202) nU D

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Unclassified Contracter cnd Grantee Publicaticns in the NUREG Series

'. Handbook 3.8 Parts I - V i Contents I n t rod uct io n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-e Part I 1

! Preparing Publication Requirements for Statements of I Wo rk fo r Co n t ra c ts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-l . Specifying Publication Requirements (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 l P ublishing Formal Reports (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Publishing Unclassified Information in Open Literature and Presenting Papers (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-l Reports Containing Sensitive Unclassified and Classified.-

I n fo rm a t i o n (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6:

1 j Conference and Workshop Proceedings (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 2

Distribution of Reports to Contractors (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 9

Coordinating Contractor Press or Other Media Releases of l I n fo rm a t i o n - (G ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 1

Part II-i Draft and Final NUREG Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Identification Information _ (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 l- NU RE G N u mb e r ( 1 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . -. . . . . . . . . . . 8

Au th o r N a m es (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. 8

- Organizational Identification (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 I

2 Previous Reports in Series (4) . . . . . . . . . - . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 i . R epo rt D a t es (5 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

.l 4

_ Approved: April 23,1991 i i

s ., ~ _.-.- . - - , , . - , . - _ . . _ , _ . . ... ..- . - ...,,,. m - - -, ~ ,. < - , . . . . - -,,-c,+. ,. ,

- . . .. _ ~ . ._ ___

p Unclassified Centracter and Grantee Publicati:ns in the NUREG Series -

. Handbook 3.8 Parts I - V . '-

i i Contents (continued) 4 i

Part II(continued) i Report Organization and Components (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9  ;

i

, Pre-P ublication Reviews (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10. j 2

l 10

a Pa t e n t Re vi ew (1 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Se curi ty Review (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

]

i Copyri ght Review (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 i Colo r P rin tin g (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11  !

1

^

f

' 12 M i cro fi ch e (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  !

1 Dis cl a ime r (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 4

Availability Information (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . _13 1

Reference Availability (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 ~

i Report Availability (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . - 14 i

14 Fo rm s (H ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

! Bibliographic Data Sheet (NRC Form 335) (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2) . . . . . . . . . . . . . . . . . . . . 14 Printing and Reprinting (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 2

i D is t ri b u t i o n - (J ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 i

Part III 7

International Agreement Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 l Background and Rationale (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

16-

- Identification Information - (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 i:

' ii Approved: April 23,1991-

Uncl:ssifi:d Contractor and Grantee Publications in the NUREG Series Ilandbook 3.8 Parts I - V Contents (continued)

Part III (continued)

Cove r ar.d Ti tle Pa ge (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 N R C R e p o rt N u m be r (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Previous Reports in Series (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Report Organization and Components (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Availability I nformation (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 References and Bibliographies (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 R eport Availability (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 D i s cla i m e r (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Fo r m s ( F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Bibliographic Data Sheet (NRC Form 335) (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . IP Release to Publish Unclassified NRC Contractor. Consultant, or Conference Proceedings Reports (NRC Form 426A) (2) . . . . . . . . . . . . . . . . . . . 19 Classified or Sensitive Unclassified Information (G) . . . . . . . . . . . . . . . . . . . . 19 Part IV Books........................................................ ... 20 D e fi n i t i o n ( A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . , . . . . . . . . . . . . . . . . . 20 Fo r m a t ( B ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 NRC Document N umber (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Availability of Reference Materials (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 R e vi ew s ( E ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Peer (1)................................................,........... 22 C o pyri gh t (2 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Approved: April 23.1991 iii

Unclassified Contrector and Grentee -

Publications in the NUREG Series -

llandbook 3.8 Parts 1 - V Contents (continued)

Part IV (con:inued) 23 S e curi ty (3 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

23 P a t e n t (4 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

23 Publishing Authorization Form (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

23 D i s cl ai m e rs (G ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

24 Printing (H) ..........................................................

24 Dist ribution and Sales (i) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Part V 25 G ra nt P ublica tio n s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

25 Background and Rationale ( A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

25 P ublication of Result s (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

25 Publication by NRC (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

25 Publication by a Grantee (2) . . . . . . . . . .................................

25 Open Literature Publication by Grantee (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

27 Reprints of Open Literature Publications (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

27 Identification of Grant Publications (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

27 P re-P ublication Reviews (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

28 G l o s s a ry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Exhibits

1. Form 426A," Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports" . . . . . . . . . . . . . . . . . . . . . . . . . . 32 2A. Form 335," Bibliographic Data Sheet" .. ...............................33 2 B . Fo rm 3 3 5. "Instru cti o ns" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3. Microfiche Shee t Sample . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Approved: April 23,1991 iv

Unclessified Contrcetcr and Grcntee

. Publications in the NUREG Series Handbook 3.8 Part I i

l Publishing Formal Reports (n)(continued)

If a draft is desired prior to completion ola final report, specify in the statement of work (SOW) the due date for delivering the final camera-ready copy after receiving NRC or participant comments (if applicable) on the draft. State that all draft material be submitted to the cognitant NRC contact.

When the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program ,

or participant comments (if applicable), the contractor will be asked to - ,

make changes. If agreement on the changes is reached, the NRC - i contact will authorize the contractor to prepare the final copy and submit it to the NRC contact,ifit is a letter report or input to a Safety Evaluation Report or an Environmental Statement, or to the Director, Division of Freedom of Information ~ and Publications Services (DFIPS),ifit is a camera-ready copy for printing and distribution.This is to be done to ensure proper publication, handling, distribution and, among other things, to preclude further changes that might nullify the agreement.

If special caveats were agreed to between the contractor and the NRC contact, the caveats should accompany Form 426A (Exhibit 1) for approval when it is sent to the NRC contact. A copy of special caveats should also accompany the camera-ready copy sent to DFIPS.

If agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC contact may request the contractor to prepare the camera-ready copy with,in addition to the standard disclaimer required ~on all contractor formal reports (see Section II.F. below), any caveats deemed necessary to cover NRC _

objections. Such caveats may range from "The views expressed in this -

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

If NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE / National Laboratory reports, the DOE Operations Office Manager responsible for that laboratory should be informed by the NRC Office-Director or Regional Administrator of the decision and the reasons therefor,with a copy to the 1.aboratory Director In the case of another Federal agency, a State, or a private contractor, the person who entered into the contract should similarly be informed by the NRC contracting officer. The contractor is then free to publish the report without NRC Approved: April 23,1991 3

a. 2 aA.a 4 .rv4 .ai _

sM.a,i.. a ._4m.-2.a.+.-.--.2 _-A,- _,- -_--. --4iLas,_A _ _ _ __a'--- z.- - , a _ . - _.J u.4Ad__,.am _,Ae ~4+ --_-.4 Unclassified Contracter end Grantee .

Publications in the NUREG Series - .

IIandbook 3.8 Part I l Publishing Formal Reports (a)(continued) being identified as the funding sponsor of the report and without the NRC disclaimer Office Director or designee decisions may be appealed to the appropriate Deputy Executive Director for 1 Operations.

) Publishing Unclassified Information in Open Literature and Presenting Papers (C) l l

i Specify whether the contractor's principal investigator is permitted to ,

publish in the open literature instead of submitting a final report  :

l

, and/or to present papers at public or association meetings during the course of the work. If that arrangement is authorized, add the 4

following statement to the Statement of Work (SOW):

~

The prinEpalIrivestidato'r(slma,hpuSish the results of this work' )

in the open literatureinstead of submitting a final report and/or

present papers at, public or association meetings at interim-

~

stages of the work.1 .

, - , -s - u m I

4 If the NRC contact wants to review the paper or journal article prior to presentation or submission for publication, state so in the SOW, as follows:

i The principal invesiigator(s) may publish the results of this work

- In the open literature instead of submitting a final report and/or present papers atLpublic or associati9n' meetings at. interim

stages of thework, if the article or paperhas been reviewed by the -

l NRC contact in draft form and ' agreement has been reached on the content. _

i If the agreement is not reached, NRC may also require that the paper 4 include in addition to the standard statement " Work supported by the

U.S. Nuclear Regulatory Comrnission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC may refuse to authorize publication in the open literature and/or presentation of papers.

< in the latter case, NRC willinform the contractor of the decision, as stated above.The contractor is then free to publish without NRC being l identified as the funding sponsor of the information. Office Director 1

-4 Approved: April 23.1991

1 Unclassified Centrcctor cnd Gr:ntee  !

Publications in the NUREG Series Handbook 3.8 Introduction 4 Introduction 1

This handbook specifies the procedures necessary for Nuclear 1 Regulatory Commission (NRC) contractors and grantecs to follow l when preparing the following kinds of publications for the NRC. .

e Final NUREG Reports e International Agreement Reports e Books e Grant Publications The handbook is dividi:d into five major parts and includes a glossary .

and exhibits. Part I provides general information for staff consideration in the preparation of statements of work. Parts II, III, IV, and V provide publishing guidelines speci6c to, respectively, contractor reports, international agreement reports, books, and grantee publications.

Contractor means a private contractor, consultant, expert, another State or Federal agency working under an interagency agreement, or a

. DOE facility or subcontractor, such as the National I.aboratories, working under the DOE /NRC Memorandum of Understanding of February 24,1978, and any subcontractors of these organizations.

This directive and handbook, as well as a copy of " Publishing Documentsin the NUREG Series"(NUREG-0650, Revision 1), must be included or- referenced in all contracts, interagency and international agreements, and grants for which the publications listed above are contract deliverables or grant obligations. In addition to the '

- guidelines speci5c to each type of _ publication that appear. in subsequent parts of this handbook, all statements of work must contain the applicable guidelines outlined in Part I.

Approved: April 23,1991 1

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

l Unclassified Contractor cnd Gr:ntee '

Publications in the NUREG Series Ilandbook 3.8 Part I d

i Part I l Preparing Publication Requirements for i Statements of Work for Contracts i

) Specifying Publication Requirements (A)

- Ust and describe the type of technical reports required from each project, task or subtask, as applicable. State when, how many, and to whom they should be submitted and the scope of information they i

should contain. These reports may be unclassified, sensitive unclassified, or classified. For guidelines and requirements covering sensitive unclassified and classified publications, refer to NRC Management Directive 12.2, NRC Information Security Program j

(formerly MC 2101).

This directive and handbook pertain to publications that will be issued in the NUREG/CR, NUREG/lA, and NUREG/GR series.

Publishing Formal Reports (s)

NUREG series reports will be printed and distributed by NRC from camera-ready copy submitted by the contractor to the Regulatory 1 Publications Branch, MS P 223, U.S. Nuclear _ Regulatory Commission, Washington, DC 20555. The camera-ready copy is to be prepared in accordance with the provisions of this handbook.

Recommended guidelines for the organization and format of formal reports are specified in " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1).

When the report contains sensitive unclassified or classified i information, the contractor must comply with Management Directive 12.2, NRC Information Security - Program (formerly

, MC 2101).

i Approved: April 23,1991 2

4 g --eg g--w,< m- 6. w.. ,+-J-- r q _ a --

Uncl ssified Centrccter cnd Grantee Publicati:ns in the NUREG Series IInndbook 3.8 Part I Publishing Unclassified Information in Open Literature and Presenting Papers (C)(continued) or designee decisions may be appealed to the appropriate NRC Deputy Executive Director for Operations.

If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required technical reports, approval of the proposed article or presentation should be obtained from the NRC. The NRC shsil take one of the following actions: approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, the NRC may disapprove or delay presentation of papers on information that is subject to Commission approval that has not been ruled upon or which has been disapproved.

If the contractor requests permission to publish in the open literature even though the contract does not explicitly provide for this type of publication, the contract can be modified to provide for such presentations.

4 When the contractor submits journal articles for publication, each must be accompanied by the following statement:

The submbled marnisAript has been authored by a contractor of -

the U.S. Government under Contract

• No. ~ . Accordingly,the U.S. Government has n' nonexclusive, rvyalty-free license to publish or reproduce the published form of this contribution, or allow others to do so, for U.S. Gmtrnment purposes.

All published papers and articles must include the following disclaimer:

This report was prepared as an account of work sponsored by an agencyof the United States Government.Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty,, expressed or implied. or .

assumes anylegal liability orresponsibility for any third party's use or the results of such use, of any information, apparatus, product or process disclosed in this report, or represenis that its use by such third party would not infringe privately owned rights. The views expressed in this' paper are not necessarily those of the U.S. Nuclear Regulatory Commission.

'For DOE work orders the appropnate FIN tmmber is appbcable.

Approved: April 23,1991 5

i i Uncirssified Centract:r and Grantee '

l Publications in the NUREG Series ,

~ '

i- Handbook 3.8 Part I i

i '

4 Publishing Unclassified Information in

Open Literature and-Presenting Papers (C)(continued)

Should the contractor be requested bythe journal or other publisher to transfer the copyright, the contract author will respond to the journal i or other publisher in writing in accord with the sample letter shown as follows:

i ,_-.--,.,-n-

• 1

Dear (Copyright Holder's Name):

We ncently; nceived aidocument for; signature assigning -

i-copyright and republication rights in the. submitted article

- (title) to (name of publication). This letter is offered in lieu of the document:as a means-offcompleting the; transfer-of

}

ownership. Accordliigly, we, hereby. expressly . transfer and d , assign our rights;of ownership 11n the above

cited work to

! i(name'of publisher).i C* -

i 4 . . . .' You are advised,however, th cat the aboveassignment and anyi publication orrepublication of the above cited work is subject 1to the following Government rights:i i

4.  % f q jo y ,

i JDie submitted manuscript has been authored by a contractor 3

> of the~ U.s. Govemment under Contract No.' * ".

i

?

1 Accontingly,ithei U.Se Government ha's0 a ; nonexclusive,=

1 royalty freelicense to publish or nprtiduce the published form ;

of this:contributionOorjallow others toido so, for U.s.

Government purposes. +

l g ,-

, , sincerely, l

! If NRC approves open literature publication and page charges and

travel costs are required for the presentation. of papers, see i Management Directive 3.10, NRC Contractor Unclassified Papers,

- Journal Articles, and Press or Other Media Releases on Regulatory I and Technical Subjects (formerly MC 3206).

Reports Containing Sensitive-Unclassified

and Classified Information (D)

. Examples of the proper marking of reports designated Official Use Only, Limited Of5cial Use, Proprietary Information, Safeguards i

1

~

6 Approved: _ April 23.1991 t'

1 k

. . . _ . - , , ,_ _ - .._. _ . -_ .__._. _.~. __._ 2 _.- _ ~~_u. . . . _

_ ___ _ _ _ _ _ . . - . . . _ _ . _ . . _ _ . . _ . _ _ _ - _ _ ~ _ _ __ _ _ _

, Unclessified Contr:ctor end Grantee Publications in the NUREG Series Handbook 3,8 - Part i Reports Containing Sensitive Unclassified i and Classified Information (D)(continued)

Information, and Classified (Confidential, Secret, and Top Secret) are provided in Management Directive 12.2, NRC Information Security Program (formerly MC 2101).

Conference and Workshop Proceedings (E)

If NRC approves publication of compilations of papers presented at NRC sponsored or cosponsored meetings, conferences, and-symposia, see Management Directive 3.11 Conferences and Conference Proceedings (formerly MC 3207). i Distribution of Reports to Contractors (F)

Up to 50 copies of printed unclassified NUREG/CR, NUREG/GR, I and NUREG/lA reports will be bulk shipped to the contractor by NRC. (Joint Committee on Printings Government Printing and Binding Regulations permit contractors to receive up to 50 copies of reports they have produced for NRC free of charge.) If fewer than 50 copics are needed, indicate the desired quantity on NRC Form 426A (Exhibit .1). Contractors requesting single copies for- specific individuals in organizations othes than the contractor's organization who are notincluded in the distribution requested by the NRC contact may address such request (s), with written justification, to the NRC contact. If the additional distribution is approved by the NRC contact, the contractor shall send address labels with the camera-ready copy to the Regulatory Publications Branch, DFIPS, USNRC, Washington, DC 20555, and that distribution will be made along with the standard distribution.

Coordinating Contractor Press or Other Media Releases ofInformation (G)- .

A contractor may request permission to issue a press or other media release on the work being done, That request must be made to the NRC Office Director or designee, who will consult with the Public Affairs staff. The contractor must not issue a press release on nonroutine information without this prior approval. This approval may be obtained by a telephone call to the Office Director or designee to expedite the request. The contractor may appeal decisions not to authorize the release ofinformation or delays in handling the request to the appropriate Deputy Executive Director for Operations.

Approved: April 23,1991 7 -'

i e

Unclassified Contractor and Grantee Publications in the NUREG Series llandbook 3.8 Part II i

2 Part II Draft and Final NUREG Reports Identification Information (A)

, l NUREG Number (1)

I Each contractor report published by NRC must be identified by a unique alphanumeric designation controlled and maintained by the Division of Freedom of Information and Publications Services (DFIPS). To obtain an NRC report number, call the Regulatory Publications Branch, DFIPS, at FTS 49 27001 or (301)49-27001.

1 The NRC identification numbers will have one of the following forms:

. NUREG/CR 0000 NUREG/GR-0000 e NUREG/IA 0000 where CR indicates contractor report, GR indicates grant report, and IA indicates international agreement report. The contractor report number,if any, will be placed below the NUREG number on the title-

page and cover, When a report consists of more than one volume or binding or is issued in more than one edition, an appropriate volume, number, supplement, part, addendum, or revision designation must appear immediately below the NRC report number and the contractor's report number,if any, Author Names'(2)

Authors' names routinely appear on the report cover and title page, unless doing so is impractical, as for an annual report having many contributors. Editors or compilers with subject area expertise may also be identified as such on the cover and title page. Author I

Approved: April 23,1991 -

8

Unclessified Contracter end Gr ntec Publications in the NUREG Series llandbook 3.8 Part II Identification Information (A)(continued)

Author Names (2)(continued) affiliations need not be listed unless the affiliation differs from the organization creating the report.

Organizational Identification (3)

The Regulatory Publications Branch, DFIPS, prepares the covers and title pages for all repea and will list information about the organization that created the report as it is provided.

Previous Reports in Series (4)

If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.

Report Dates (5)

The report dates are shown on the title page. These dates include the month and year the report is completed, and the month and year it is published.

Report Organization and Components (B)

The organization and components of contractor reports vary somewhat, depending on their purpose and scope. Recommended format and organizational guidelines appear' in " Publishing Documents in the NUREG Series"(NUREG 0650 Revision 1).

Each draft and final report prepared for NRC must include an abstract of 200 words or less that appears on a separate page preceding the table of contents. The abstract must also appear on the Bibliographic Data Sheet, NRC Form 335 (Exhibit 2A). The back of Form 335 contains instructions for completing the form (Exhibit 2B). Guidelines on the special writing requirements for preparing abstracts appears in Section 5.5 of NUREG 0650, Revision 1.

l Approved: April 23,1991 9

Unclassified Contract:r cnd Grantee Publications in the NUREG Series .

IInndbook 3.8 Part 11 Pre-Publication Reviews (C)

Patent Review (1)

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

DOE National I.aboratories), that Government agency should be requested by the contractor to perform the patent review.The result of the review must be reported on NRC Form 426A under item 8 (Exhibit 1).

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 must be consulted, and the responsible NRC technical contact shall consider the patent implications. If there is no need for patent review because of the certainty that the report contains no description of novel technical developments that may be of an inventive nature, mark "N/A on the NRC Form 426A in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shall request assistance from the NRC Assistant General Counsel for Administration, Office of the General Counsel, on FTS 49-21553 or (301)49-21553.

Security Review (2)

Should a report of sensitive unclassified or classified work be required, the NRC contact must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of these procedures through the contracting officer. The standards for marking and handling these reports are given in Management Directive i: NRC Information Security Program (formerly MC 2101' Copyright Review (3)

Copyrighted material must not appear in NRC sponsored publications without written permission from the copyright holder.

See NUREG-0650. Revision 1, Section 3.4, for information about obtaining copyright permission.

1 10 Approved: April 23.1991 l

'- Unclassified Contractor end Grantee l' '

. Publications in the NUREG Series Ilandbook 3.8 Part II Color Printing (o)

I Regulations issued by the Joint Committee on Printing (JCP) restrict the use of color in printed materials to those uses that are of

. demonstrable value. 'JCP regulations specify that " Demonstrably valuable multicolor printing..." includes the following categories:

. Maps and technical diagrams where additional color is necessary for clarity. (a) e Object identification (medical specimens, diseases, plants, flags, uniforms, etc.). (b) e Safety programs, fire prevention, savings bonds programs, and competitive areas of personnel recruiting. (c)

. Areas wherein clearly identifiable savings in costs can be soundly predicated on multicolor use. (d)

. Printing for programs required by law, whose relative success or failure is in direct ratio to the degree of public response, and where that response can be logically attributable to the number of colors planned and the mamier in which they are proposed to be used. (e) e Color for promotional or motivational purposes such as programs concerning public health, safety, consumer , benefits; or to encourage utilization of Government facilities such as programs for Social Security, Medicare, and certain areas of need for veterans would come within this category. (f)

The regulations indicate that the following categories do not meet the

" demonstrable value" criteria, e

Printed items wherein additional color is used primarily for decorative effect. (a) e Printed items where additional color is used primarily.in lieu of effective layout end design. (b) -

e Printed items where additional color is used excessively, i.e., four colors when two or three will fulfill the need; three colors when two are adequate; two colors when one is adequate. (c)

Printed items wherein the inclusion of multicolor does not reflect careful,' competent advanced planning which recognizes the contribution that the use of color is expected to make to the ultimate end-purpose, (d)

. Approved: April 23,1991 11

Unclassified Contractor and Grantec Publications in the NUREG Series llandbook 3,8 Part 11 Color Printing (D)(continued)

If color printing is anticipated when the statement of work or Standard Order for DOE work is being prepared, contact the Regulatory Publications Branch, DFIPS. Prior approval must be granted by the Director of DFIPS. If a requirement for color printing arises as the report is being prepared, subntit a written justification for its use to the Director of DFIPS.

Microfictie (E)

NRC contractors and DOE 1.aboratories submitting microfiche with reports raust subrnit a hard copy of each microfiche, include headers on each microfiche, as shown in Exhibit 3, and conform to the following NRC specifications.*

1. Microfiche must conform to either the 24/98 format for source documents with 14 columns and 7 rows (reduction ratio of 1:24) or the 48/270 format for computer output microfilm with 18 columns and 15 rows (reduction ratio of 1:48).

2. The microfiche sheet must be standard 105 mm x 148 mm.

3. The microfiche must be either a silver halide master or a black or blue-black diazo placed in acid free envelopes.

4. The microfiche must contain headers as shown in the sample in Exhibit 3. Specifically, the first block of the header must contain the NUREG number (include volume or revision,if applicable),

the contractor identification number, and the classification (e.g.,

unclassified, proprietary). The second block must contain the description of the microfiche and may include the contractor name.

The third blou must contain the publication date and sheet identification.

5. The header information must be eye readable on a clear background.

6. A foldout page must be microfilmed in sections if the page is too large to be microfilmed in a double frame. No less than 25 mm overlap of original materialis acceptable.

'With the exception of items 3. 4. and B these spec 6 cations are consistent with the Amencan National " Standard for Micrographn-Microfiche. ANS!!AllM Ms5-1985." Copies of this Standard are available from the Amencan National Standards Institute. ATrN: Sales Department.1430 Broadway. New Yort. NY 10018 (212)354-3300, or from the Associatton for Information and Image Management. ATrN Pubhcations Section.1100 Wayne Avenue. Sdver Spnnt. MD 20910 (301)$98-8202.

12 Approved: April 23,1991

l

~-

Uncitssified Contrceter and Grcntee l . Publications in the NUREG Series ,

Handbook 3.8 Part II ,

i l Microfiche (s)(continued) 1 l 7. The first frame must be blank (on the first sheet only), and the i second frame must contain the National Institute of Standards and i Technology's Reference Material resolution target in Microcopy j Test Charts (NBS SRM 1010A). i f 8. Jacketed microfiche is unacceptable.

l t

Disclaimer (F) i The following notice will be added by the Regulatory Publications

! Branch, DFIPS, before the printing process on the inside front cover:

i j 'This report wa$ hvared as an account of work sponsored by _

j i an agency of the United States Government. Neither the United

! States Government nor-.any; agency thereof,<or any:of their.

l  ; employees,1makeslan'ylwarranty, expressedfor. Implied, or i assu mes any legal ilability or responsibility for any third p arty's l - uses or the results of such use, of any information, apparatus, prwduet or process disclosed in this report, orrepresents tha t its

! - use bylsuch third partylwouldinot infringe privately owned '

j rights.0 ; . ,

.m.a m<. _

I t

! 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 l appropriate. Other qualifying statements may be added, if neede'd. ,

i

! Availability Information (c) i 4

Reference Availability (1) 1

Reports or other documents referenced in text, reference sections, i bibliographies, and appendixes of unclassified regulatory and l technical reports in the NUREG series must be available to the public .

either in the public domain (as in a public library, at the Government '

j Printing Office (GPO), at the National Technical Information Service (NTIS), or at other reference or sales outlets) or in the NRC Public -

2 Document Room (PDR). This means that references should not be i made to personal communications and interviews, unpublished

information and information with restricted distribution _ (e.g.,

i  :

I

! Approved: April 23.1991 131 i- ,

4-

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

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

Unclassified Contrcet:r cnd Grcntee "

Publications in the NUREG Series finndbook 3.8 Par't II Availability Information (G)(continued) proprietary, national security, official use only, etc.). If the unretrievable information is important and unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknowledgement section. Avaliability may be stated collectively for all entries.

Guidelines for developing and presenting reference material are provided in NUREG 0650, Revision 1.

Report Availability (2)

Most final reports are sold by the GPO and NTIS. A statement indicating this availability is added to each report, as appropriate, by the Regulatory Publications Branch, DFIPS, before the report is printed.

Draft reports for which comments are requested are typically announced in the Federal Register as being availabic from the NRC.

These reports are not sold at GPO or at NTIS.

Forms (n)

Bibliographic Data Sheet (NRC Form 335) (1)

All published NRC reports must include an NRC Form 335 as the final right hand page of the manuscript. Instructions for completing the fonn appear on the back of the form. A* completed Form 335 must be submitted to the Regulatory Publications Branch, DFIPS, with the camera-ready copy of the report. Exhibit 2A shows a completed Form 335.

Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)

The NRC contact must submit a completed NRC Form 426A (Exhibit 1)with the camera readycopy of the report to the Regulatory Publications Branch, DFIPS. NRC Form 426A must be signed by the staff member designated by the appropriate Office Director.

Approved: April 23,1991 14

Unclassified Contractor end Grcntee

. Publications in the NUREG S2 ries llandbook 3.8 Part 11 Printing and Reprinting (I)

The Regulatory Publications Branch, DFIPS, will review the camera ready report submitted for printing for its adherence to the standards and requirements set forth in this directive and hanubook, as well as any relevant guidelines from NUREG 0650, Revision 1.

Unsatisfactory manuscripts will be returned to the NRC contractor for appropriate action.

Submit a memorandum requesting a reprint to the Director, DFIPS, for approval. Include with the request a written justification and the approval of the Office Director of designee for reprinting. Send address labels for recipients of the reprinted copics,if appropriate.-

Distribution p)

. Distribution arrangements will be made by the- Regulatory Publications Branch, DFIPS, for all copies of unclassified formal contractor reports in accordance with instructions on NRC Form 426A (Exhibit 1). The Regulatory Publications Branch, DFIPS, will also arrange automctic distribution of these reports to the NRC NUDOCS, the NRC PDR, NTIS, GPO, and the Depository Library Ser3 ice.

Distribution of sensitive unclassified and classified reports will be made by the NRC sponsoring office on a case by-case basis.

Approved: April 23,1991 15

Unclassified Contractor and Grantee .'

Publications in the NUREG Series llandbook 3.8 Part 111 ___

Part III International Agreement Reports Background and Rationale (A)

NRC has cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S.

industry. These programs include monetary contributions, information exchange, and comments on program plans and results as authorized in 42 U.S.C. 5801. To this end, international and U.S.

industry agreements have been signed that provide fer transmitting unclassified technical information from foreign participants to NRC.

These procedures apply only to NRC managed work.

The interests of all NRC international nuclear safety research program participants are served best by formal dissemination ofinformation on these programs or codes developed for or in cooperation with NRC.

Identification Information (B)

Cover and Title Page (1)

These will contain a title, subtitle (if appropriate), authors, performing organization, and NRC office sponsoring the project.The cover and title page will be prepared by the Regulatory Publications Branch, DFIPS.

NRC Report Number (2)

Each report must be identified by an NRC-controlled alphanumeric number as the prime number unique to that report. The centralized document control system for unique identification is maintained by DFIPS. Numbers may be obtained by calling Regulatorv Publications Branch at FTS 49 24954 or (301)49 24954.

The NRC identification number will have the form:

• NUREG/lA-0000 1

16 Approved: April 23.1991 l

Unclassified Centrcctor end Grcntee

. Publications in the NUREG Series Handbook 3.8 Part III Identification Information (B)(continued)

NRC Report Number (2)(continued) where IA indicates " international agreement." The foreign participant's report number, if any, may be inserted below the ,

NUREG number on the cover,if desired.

When a report consists of more than one volume or binding or is issued in more than one edition, an appropriate volume, - number, supplement, part, addendum, or revision designation must appear below the report number and the foreign participant's report number, ->

if any.

Previous Reports in Series (3)

If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Pla ce this list on the back of the title page. ,

Report Organization and Components (C)

The organization and components of cooperative agreement reports .

vary somewhat, depending on their purpose and scope. Each of these reports must include an abstract of 200 words or less that appears on a separate page before the table of contents. The abstract must also appear on the Bibliographic Data Sheet, Form 335 (Exhibit 2A). 1 Instructions for completing the form appear on the back (Exhibit 2B).

Guidance on the specia! writing requirements for preparing abstracts appears in Section 5.5 of NUREG-0650, Revision 1.

Availability Information (D)

References and Bibliographies (1)

Reports or other documents referenced in' text, reference sections, bibliographies, and appendixes - of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at GPO. at NTIS, or at other reference or sales outlets) or in the NRC PDR.

This means that references should _ not be made to personal communications, interviews, and unpublished information with restricted distribution (e.g., proprietary, national security, official use --

only). If the unretrievable information is important and unrestricted,it Approved: April 23,1991 17-

- - . - _ . a.-

Unclassified Contracter end Grantee Publications in the NUREG Series '

Handbook 3.8 Part til l Availability Information (o)(continued)

References and Bibliographies (1)(continued) can be quoted in the text,in footnotes, orin appendixes. If the title of a document containing proprietary information is unclassified, it can also be quoted in the text,in a footnote, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknowledgement section. Availability may be stated collectively for all entries. Guidelines for developing and presenting reference material are provided in NUREG 0650. Revision 1.

Report Availability (2)

These reports will be made available for sale by GPO and NTIS.

Disclaimer (s)

The following notice will be added by the Regulatory Puulications Branch, DFIPS, on the inside front cover prior to printing.

, ' ox  ;;m g.7,c,ggn . ;n _ +

7 , Fr ,

1 'Ihis report was!pnpared"underian international ~ cooperative agreement for the erchange_of technical infonnation. Neither the;

-United StaiesIGovernment norsay agency thereof, nr any of theirl employees, makes any warranty, expressed orimplied, or assumes :

Lany legal liabiliti or responsibility forariy third party's use, or the results of.such use, of any inforniation,; apparatus," product, nrf i process disclosed in this report, or represents that its use by such third party would not infringe privately owned rightsA Forms (F)

Bibliographic Data Sheet (NRC Fonn 335)(1)-

A typed NRC Form 335 (Exhibit 2A) must be submitted with the camera ready copy to the Regulatory Publications Branch, DFIPS, as

' ~

j the final right-hand page.

i 18 Approved: April 23[ 1991

Unclassified Contrector and Grantee Publications in the NUREG Series 11andbook 3.8 Part III .

+

Forms (F)(continued)

Release to Publish UnclasslSed NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A)(2)

An NRC Form 426A (Exhibit 1) must be completed and signed by the Office Director or designee and submitted with the camera ready copy of the report to the Regulatory Publications Branc.h. DFIPS.

Classified or Sensitive Unclassified Information (c)

The NRC contact should refei to Management Directive 12.2, NRC Information Security Program (formerly MC 2101), or call the Division of Security for answers to questions about the status of classified or sensitive unclassified information in NUREG/IA reports.

i

, Approved: April 23,1991 19

, Unclassified Contractor and Grantee -

Publications in the NUREG Series IIandbook 3.8 Part IV i J

i i l l

i Part IV Books ,

l These guidelines apply to books written by contractors and grantees  !

that are printed by NRC. See Section V below for guidance on publications, including books, by grantees.

I Definition (A)

A book tefers to a publication intended as a permanent reference or as a textbook or major critical review of a technical or regulatory topic.

P Format (B)

Books are usually 6 x 9 inches in trim size, but size will be based on such requirements as ease of use and legibility for graphics, foldouts, and the like. The binding (casebound or paperback) will be chosen according to the need for durability. Additional guidance on manuscript preparations can be found in the U.S. Government-Printing Gflice Style Manual and in The Chicago Manualof Style (13th edition). Refer also to NRC's " Publishing Documents in the NUREG Series" (NUREG 0650, Revision 1)._.

The contractor shall submit to the NRC project manager the typeset (photocomposed) manuscript suitable for printing. The NRC contact shall submit the manuscript to the Chief, Regulatory Publications Branch, DFIPS, where it will-be reviewed for adherence to the standards set forth and referenced in this directive and handbook.The manuscript will also undergo a printing acceptability review by the Printing and Audiovisual Services Branch, DFIPS. Unsatisfactory manuscripts will be reported to the NRC contact for appropriate contractual action by the NRC contracting officer or, in the case of Government agency or interagency agreement work, the publications manager of the performing organization.

Approved:- April 23,1991 20

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

Unclnssified Contr ctor cnd Gr:ntee

. Publications in the NUREG Series llandbook 3.8 Part IV Format (B)(continued)

DFIPS will approve design of the cover and title page to contain the appropriate information concerning:

(1) author names (s)

(2) organizationalidentification (3) public availability and sales.

All books must include a comprehensive subject index of the book's contents. unless it is made up almost exclusively of graphical or tabular matter. See NUREG 0650, Revision 1, or The ChicagoManualofStyle (13th ed.) for guidelines on creating an index.

NRC Document Number (C)

Each book must be identified by an NRC controlled alphanumeric code unique to that book. The alphanumeric code will have the form:

NUREG/CR for contractor prepared books and NUREG/GR for grantee prepared books.

When a book consists of more than one volume or binding, or is issued in more than one edition, an appropriate volume, number, supplement, part, addendum, or revision designation must appear directly below the document number.

Numbers are assigned by the Regulatory Publications Branch, DFIPS.

The number may be obtained in advance of the time that the manuscript is submitted to DFIPS for printing by calling the -

Regulatory Publications Branch at FTS 49-24954 or (301)49 24954.

The DFIPS staff will arrange to meet with the NRC contact for the project and when appropriate, the author (s), to discuss the publication production requirements and schedule for the book.

Availability of Reference Materials (D)

The guidelines for availability of reference material applicable in Section II.G. of this handbook also apply to contractor prepared and grantee-prepared books published by NRC.

Approved: April 23.1991 l

l Unclassified Centractor cnd Gr:ntee .

Publications in the NUREG Series ,- .

IIandbook 3.8 Part IV Reviews (E)

Peer (1)

NRC published books must undergo peer review from experts within and outside NRC. Peer review refers to a critical evaluation of the technical contents of a publication. These reviews may be conducted anonymously by reviewer: from the author's own or a related field who are totally independent of the work leading to the manuscript.

Reviewers should be chosen by the NRC Office sponsoring the book from the potential audience for the publication and should provide an independent judgment about whether the publication successfully accomplishes the author's aims. Peer reviewers should be chosen for their expertise in the subject matter of the book. They may come from academia, the National Laboratories, other Federal agencies, or from other research institutes or consulting firms. They may be identified from the membership rolls of professional societies, ANSI subcommittees, and the like. Do not choose more than one reviewer from the same organization.

When assessing potential peer reviewers, screen for demonstrated competence and achievement in a specific discipline or research specialty. Assess competence based on the quality of research accomplished, publications in refereed journals, and other sigrdficant technical activities, achievements, and honors. Consider the judgement perspective,andobjectivityofreviewers.Consideralsothe personal integrity of those selected to ensure the confidentiality of l information reviewed. Finally, avoid real or perceived conflicts of interest. Do not choose reviewers who are licensees or consultants to licensees nor reviewers from intervenor groups. Likewise, do not choose reviewers who may proSt financially from influencing the information reviewed.

The senices of reviewers from outside the agency may be acquired through consultant services contracts. The decision as to whether to reimburse peer reviewers should be made on a case by-case basis, I however. Recognize that reimbursing peer reviewers may give the l appearance of a conflict ofinterest, suggesting to some that because

) NRC is paying for this service, the agency will seek only reviewers thought to be favorably disposed to the material reviewed. One way to offset this impression is to seek recommendations for peer reviewers from independent organizations,like the American Physics Society, 22 Approved: April 23,1991

~

Unciassified Contrcctor and Grcutee Publications in the NUREG Series Handbook 3.8 Part IV Reviews (E)(continued)

Peer (1)(continued) the American Nuclear Society, the American Society of Mechanical Engineers, or appropriate universities. Reimbursement could then be made to the organization.

Copyright (2)

Copyrighted material must not be reproduced in NRC books without the written permission of the copyright holder. See NUREG 0650, Revision 1, Section 3.4, for information about obtaining copyright permission.

Security (3)

Based on knowledge of the information sources used, the author is responsible for ensuring that the manuscript does not contain classified or other access-controlled information. If there is uncenainty with respect to the security classification of a reference document or manuscript, an authorized classifier or the NRC Division of Security should be contacted for essistance. See also Management Directive 12.2, NRC Information Security Program (formerly MC 2101).

Patent (4)

The patent review guidelines for draft and final formal reports

, specified in Section II.C of this handbook also apply to contractor- and grantee-prepared books.

Publishing Authorization Form (F) '

A completed NRC Form .426A (Exhibit 1), signed by the Office Director or designees or by a DOE National Laboratory authorized p officialif the publication is done for the Office of Nuclear Regulatory l

Research,if applicable, must be submitted to DFIPS with the book manuscript.

l i

l Disclaimers (G)

The following standard U.S. Government notice will be added prior to pnnung:

_ Approved: April 23.1991 23 1

__ - _. . ~ . _

Uncl ssified Contractor cnd Grantee Publications in the NUREG Series ,- .

IIandbook 3.8 Part IV Disclainters (c)(continued)

This document was prepared as an account of work sponsored by an agency of the United States Government. Neither the Undted States Government nor any agency thereof, or any of thh employees, makes an> warran ty, cxpressed or implied, or assumes any. legal' liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product, or process disclosed in this document, or represents that its use by such third party would not infringe privately ownedyights.l.

The following additional statement may be printed below the standard disclaimer,if authorized by the NRC Office Director or designee.

This document was prepared unde'r U.S. Nuclear Regulatory Commission (NRC) Contract No. . The opinions, findings, conclusions, and recommendations expressed herein are those of..the author (s) and do not necessarily reflect the vien of the NRC.L 4 Other qualifying statements may be added,if needed.

Printing (a)

Book manuscripts must be submitted by DFIPS to GPO for printing.

The printing cycle requires from 6 to 8 weeks.

Distribution and Sales (i)

Distribution will be arranged by the DFIPS staff in accordance with distribution guidance provided by the NRC project manager on NRC Form 426A (Exhibit 1).

Free distribution should be limited to those who contributed materially to the book or to those for whom the book's subject matter bears directly on their work at or for NRC.

DFIPS will arrange to make the book available for sale through GPO.

DFIPS will also arrange to have it made available at the NRC PDR and the GPO Depository Library Program.

24 Approved: April 23,1991

. Unclnssified Contrccior end Grantee Publications in the NUREG Series llandbook 3.8 Part V Part V Grant Publications Background and Rationale (A)

The Nuclear Regulatory Commission funds grants for educational and nonprofit institutions, State and local Governments, and professional societies for the expansion, exchange, and transfer of knowledge and ideas pursuant to the Atomic Energy Act of 1954, as amended, Sections 31.a. and 141.b.

Publication of Results (s)

The grant will specify the publication requirements of the award.

Grant results may be published by NRC, by the grantee, or in the open literature.

Publication by NRC (1)

This publication option must be governed by the guidelines specified in Part I of this handbook for reports or in Part III of this handbook for books, as appropriate. See Identification of Grant Publications in the paragraphs under V.C.

Publication by a Grantee (2)

When the grant specifies that the grantee is to publish the results, the grantee must grant to the Government a royalty-free, nonexclusive, irrevocable license to reproduce, translate, publish, use, and dispose of all copyrightable material first produced or composed in the grantee's performance under the grant.

Open Literature Publication by Grantee (3)

When the grantee submits journal articles for publication, each must be accompanied by the following statement:

Approved: April 23,1991 25

- _ _ _ _ _ _ _ _ - - - = - - .. "

Uncl ssified Contractor cnd Grantee Publications in the NUREG Series IIandbook 3.8 Part V Publication of ReSultS (a)(continued)

Open Literature Publication by Grantee (3)(continued)

The submitted manuscript has been authored by a grantee of the U.S. Government under Grant No. . Accordingly, the U.S. Government has a nonexclusive, royally-freelicense to publish or reproduce the published form of this contribution, or allow others te do so, for 'U.S. Government purposes.

All open literature publications prepared under this grant must contain the following statement:

'lhis paper was prepared with the support of the U.S. Nuclear -

Regulatory Commission (NRC) under Grant No. .The opinions, findings, conclusions, . .and recommendations expressed herein-are those of the author (s) and do not necessarily reflect the views of the NRC.

Should the grantee be requested by the journal or other publisher to transfer the copyright, the grantee author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows:

~

Dear (Publisber's Name):

We recently received a document for signature assigning copyright and republiention rights'in the submitted article (title) to (name of publication). This letteris offered in lieu of the document as a means of completing the transfer of ownership. Accordingly, we hereby exprecsly transfer and assign our rights of ownership in the above.

cited work to (name of publisher).

You are advised, however, that the above assignment and any publication or republication of the above-cited work is subject to the following Government rights: . , ,

The submitted manuscript has been authored by a grantee of the U.S.

. Government under grant No.- . Accordingly, the U.S.

Government has a nonexclusive, royalty-free license to publish or reproduce the published form of this contribution, or allow otheis to do so, for U.S. Government purposes.

Sincerely, 26 Approved: April 23.1991

l Unclnssified Centrcctor end Grantee -

Publications in the NUREG Series Handbook 3.8 - Part V 1

i Publication of Results (n)(continued)

Reprints of Open Literature Publications (4)

When any article resulting from woric under the grant is published in a scienti6c, technical, or professional journal, two reprints-of the publication must be sent to the cognizant NRC Program O. :er .

clearly labeled with the grant number. and other appropaate '

identifying information.

Identification of Grant Publications (C)

Each report or book published by NRC that results from a grant must ,

be identified by an alphanumeric number, as follows:

• NUREG/GR-0000 When the publication consists of more than one volume, nr,mber, supplement, part, or binding, or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation must appear below the NUREG/GR number.

, Numbers may be obtained from the Regulatory Publications Branch at FI'S 40-24954 or (301)49-24954.

Pre-Publication Reviews (o)

The U.S. Congress characterizes the relationship between a Federal agency and a grant re::ipient as one in which "the recipient can expect to run the project without agency collaboration, participation, or intervention as long as it is run in accordance with the terms of the instrument...."

Approved: April 23,1991 27-

Unclassined Contractor and Grantee '

P:'blications in the NUREG Series

.ndbook 3.8 Glossary Glossary

• Book. Apublicationintended as a permanent reference *r textbook or as a major critical review of a technical or regulat u, 'c. It may be casebound (hardback) or paperbound.

Camera-ready copy. Pages ready for printing by the offset printing process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).

Casebound. Term denoting a bool. with a hard cover.

Compose. To arrange letters, in type or film, for printing. Usually synonymous with typesetting.

Composition. The process of setting type by hot-metal casting, phototypesetting, or electronic character generating devices (e.g.,

computers) for the purpose of producing camera copy, negatives, a plate, or image to be used in the production of printing or microform.

Contractor report. Record of work done (a report) prepared in accordance with the provisions of a contract or under or pursuant to an interagency agreement.

Copyright. A form of protection provided by the laws of the United States (Title 17. U.S. Code), to the authors of " original works of authorship" including literary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works. Copyrighted material may not be reproduced without the permission of the author or publisher.

Disseminate.To announce the publication of reports and make them available for free distribution, sale, or copying.

'Words m nahcs m defirutons are also defined in the glossary Approved: April 23,1991 28  !

Unclnssified Contrcetor end Grantee: l

. Publications in the NUREG Series - I Ilandbook 3.8 ' Glossary Glossary (continued)

Distribute. To dispense reports to specific organizations and individuals to ensure their participation in the regulatory process and support of research and technological investigations. Such distribution may be accomplished by the use of ; standard distribution data banks established and maintained by the Division <

of Information Support Services, Office of Information Resources Management, at the request of the originating office or region.

Documentation. Classification and associated markings required for classified or sensitive unclassified documents, the NRC report number unique to the report, title (and subtitle, if any), author or-correspondent (if any), organization identification and contract number (or FIN number), date, and availability.

Edition. All copies of a book printed from the same type. Edition also refers to foanat, such aspaperback, casebound, or to the text, as revised, expanded, and so on. If extensive revisions have been made to the text and the book is reprinted, the revised version is the new edition.

Grant A legalinstrument which defines the relationship between the Government and a recipient for the transfer of money, property, services or anything of value to the recipient for _the accomplishment of a public purpose of support or stimulation authorized by law. A grant presumes a limited amount of involvement by the agency in the performance by the recipient.

Grant Report. A record of work done prepared in accordance with the -

provisions of grant.

Index. An alphabetical list of all major topics discussed in a book.- It cites the page numbers where each topic can be found. The index comes as the last section of a book.

' International agreement. Cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S. industry. Such involvement, authorized- '

under - 42 ~ U.S.C. 5801, includes monetary contributions,-

~

information exchanges, and comments on program plans and results.

International agreement report. A record of work done prepared in accordance with the provisions of an intemational agreement.

l lu Approved: April 23,1991 29 i

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

Unclassified Contrat r cnd Grantee ,

Publications in the NUREG Series .

Handbook 3.8 Glossary 4

)

Glossary (continued)

Manuscript.'A handwritten, typewritten, or composed version of a 4- document, as distinguished from a printed copy.

! NRC project manager. The NRC staff member responsible for the work performed by consultants or contractors and their ,

i subcontractors, or for work performed under or pursuant to an interagency agreement.

Paperback. A book with a flerible paper cover.

Peer review. A critical' evaluation of the technical contents of a .

publication. These reviews are conducted by reviewers from the author's own or a related field who are totally independent of the work leading to the manuscript. Reviewers should be chosen from i the potential audience for the publication and should provide an i independent judgment about whether the publication successfully l accomplishes the author's aims.

t

! Photocomposition. Typesetting performed when photosensitive paper j or film is exposed to light in the form of letters and characters.

j Photocomposition is to be distinguished from-hot metal and j typewriter composition.

Printing. As defined by the Joint Committee on Printing, includes and l applies to'the process of composition, platemaking, presswork, a collating, and microform; the equipment used in such processes; or the end product produced by such processes and equipment.

l Proprietary information. Trade secrets; privileged'or confidential research, development, commercial or financial information, exempt from mandatory disclosure under 10 CFR Part 2 (Sections i 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.17); and other information submitted in confidence to the NRC by a foreign

source and determined to be unclassified by the NRC.

t

! Public dom'ain. Materials on which copyright never existed, such as U.S. Government publications, or on which copyright has expired.

I Publicly available documents. Information (reports and references)

, that is available in the NRC Public Document Room (PDR) for

public inspection and copying or available in the public domain.

i

, 30 Approved: April 23,1991 1

. Unclassified Contractor and Grantee Publications in the NUREG Series .

Handbook 3.8 Glossary Glossary (continued)

Reproducible masters. Camera-ready copy that includes (1) originals of line drawings (or prints that can be copied); (2) glossy prints of black and white photographs; (3) original typeset or printed text, tables, cover, title page, contents, and abstract; or (4) other forms of the materials that a printer ctm reproduce.-

Trim size. The final size of the whole page, margms included.

Typesetting. The placement of type on a page (letters, numbers, and -

other characters)in conformance with specific style and layout instructions.

Unique identification. NRC identification (NUREG number) used on a report and its attachments, revisions, and supplements, that is not '

used on any other publication.

L l

l l

i Approved: April 23,1991 31

Unclassified Contractor and Grentee Publications in the NUREG Series Handbook 3.8 Exhibits _

Exhibit 1

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Unclcssified Contractor and Grcntee }

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i Exhibit 2A

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BIBUOGRAPHIC DATA SHEET

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. . u.o n.,e vi r 6 a EGG-2607 Pressure-Dependent Fragilities for Piping Components: a o.ve an.o ,ev us so Pilot Study on Davis-Besse Nuclear Power Station -o-'- e.a October x [ 1990

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14 SuPPtamshTAmy esoigg i8. A&5I AACT gage amen er esa The capacities of four, lp4>ctssu f1 sys t stand pressures and tempera-ture's above the design vels -

tab ed f th vis-Besse Nuclear Power Stat-ion. The results Will e used in uat g he p bability of. plant damage from Inter-facing System Loss of C lant iden k (I part of the probabilistic risk as-sessment of the Davis-Bes nuc1 rs tio undertaken by EG&G Idaho. Inc. In-ciuded in this luation a the n hea exchangers, filters, pumps, valves, and flanged conne ions r each tern. Th abilities of failure, as a function of in-ternal press , are e uated wel s e variabilities associated with them. Leak rates or leak rea re e mated or th controlling modes of failure. The pressure capacities for e and ssel evaluated using limit-state analyses for the various failure des o idere . Th capacities are dependent on several factors, in-clu e mater 1p rties. . eling assumptions and the postulated failure cri-t a. Th failur modes f eted-flange connections, valves, and pumps do not lend pensev to evalua ion conventional structural mechanics techniques and evaluation must ey rima ly o the esults from ongoing gasket research test programs and avail-able e or info tio an test data.

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Approved: April 23,1991 33

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i Uncl ssified Centractor end Grantee .

Publications in the NUREG Series 1

Handbook 3.8 Exhibits _

t Exhibit 2B i

8'

! DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREO REPORT

' INSTRUCTIONS i NRC FORM 335. sieUOGRAPHIC OATA 5HEET. IS BASED ON GUIDEUNES FOR FORMAT AND PRODUCTION OF SCIENTIFIC .

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t 34 Approved: April 23,1991 -

. l

,. Unclassified Contractor and Grantee l Publications in the NUREG Series Handbook 3.8 Exhibits I i  !

Exhibit 3 l 1

! MICROFICHE SHEET SAMPLE

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s Approved: April 23,1991 35 l

ATTACHMENT 4 STANDARD FORM 1411 WITH INSTRUCTIONS

1. SF 1411 provides a vehicle for the offerer to submit to the Government a pricing proposal of estimated and/or incurreo costs by contract ifne item ,

with supporting informa tion, adequately cross-referenced, suitable for detailec analysis.. A cost-element breakdown, using the . applicable format prescribec in 7A, B, or C below, shall be attached for each proposea line item ano must reflect any specific recuirements _ establisnea oy the Contracting Officer. Supporting breakdowns must be furnisned for eacn cost element, consistent with offeror's cost accounting system.

When more than one contract line item is proposed, summary total amounts covering all line items _must be furnishea for eacn cost element. If agreement nas been reacned with Government representatives on use of forwarc pricing rates / factors, icentify tne agreement, incluce a copy, ano cescrice its nature. Decending on offeror's system, creakdowns snail be previcea fer tne following basic elements of cost, as applicaele:

Materials - Provide a- consolidated priced summary of incividual caterial quantities includec in the various tasks, orners, or centract line items being proposeo anc :ne easis for pricing (vencor quotes, invc1ce : rices.

etc.). -

Subcontractec Items - Include parts, components, assemolies, and services tnat are to De producea or performed ey others in accorcance with offercr's cesign, specifications, or direction anc that are apolicaole only to tng prime contract. For eacn suocontract over 5500,000, tne support snoule orovide a lis-ing by source, item quantity, price, type of succentract, cegree of competition, anc basis for establishing scurce anc reasonacieness of price. - as well as the results cf review anc evaluatten of succ:ntract proposals wnen recuired by FAR 15.806.

4 Standard Commercial Items - Consists of items that offerar r.creally fabricates, in whole cr in part, and that are g'enerally stocKea in ,

i nvento ry , provide an appropriate explanation of the basis for pricing. f price is basec on cost, prov1ce a cost breakccwn; if priced at other tnan cost, provide .dustification for exemption from submission of cost or cricing  ;

data, as requirea by FAR 15.804-3(e).  ;

t Interorganizational Transfer (at other than cost) - Explain pricing metnoo i used. (See FAR 31.205-26).

I Raw Material - Consists of material in a form or state that recuires furtner proces sing. Provide priced quantities of items required for tne proposal.

Purchased Parts - Includes material itens not covered above. Provide priceo cuantities of items requireo for the proposal.

Interorganizational Transfer (at cost) - Incluce sepa ate creakdown cf cost by element.

I

r - _ __ - ______ - _ _ _____ __

Direct Labor - Provice a time-phased (e.g., monthly, quarterly, etc.j breakdown of labor nours, rates, and ccst by appropriate category, and furnish Dases for estimates.

acclied offeror's Indirect Costs - Indicate how offeror has computed and incirect costs, including cost breakdowns, and showing trends and budgetary data, to provide a basis for evaluating the reasonableness of proposed rates, Inoicate the rates used and provide an apprcoriate explanation.

Other Costs - List all other costs not ornemise included in tne categories special tooling, travel, computer and consultant describec above (e.g., packaging and packing, spoilage ar.d rework, ano services, preservation, Federal excise tax on finished articles) and provide bases for pricing.

Royalties - If more than $250, provide the following infermation name andenaddress separateof page for eacn separate royalty or license fee:

licensor; cate of license agreement; patent numoers, patent application serial numoers, or other basis on which the royalty is payable; orief item or aescriptionon(inclucing any wnicn tne royalty part or is model payaole); numoers of eacn contractpercentage or collar rate o component royalty per unit; unit price of contract item; numoer Of units; ano total collar amount of royalties. In addition, if specifically recuesteo by tne Contracting Cfficer, provide a copy of the current license agreement anc icentification of applicaole claimt of specific patents. (See FAR 27.204 and 31.205-37).

Facilities Casital Cost of Money - When tne offerer elects t0 claim facilities ca:1tal cost of money as an allowaole c:st, ne offeror must suomit Form CASB-CMF ano show the calculation of tne :roposed amount (see FAR 31.205-10).

4. As part of tne specific information requireo, the efferer must su:mit witn

,fferor's prc:osal, and clearly identify as such, c:st or pr1cing cata (tnat is , data tnat are verifiable and factual and ctherwise as cefineo at FAR 15.801). In aedition, suomit with of f eror's proposal any information reasonaoly recaired to explain ctferor's estimating process, inciucing;

a. The jucgmental factors applied and the matnematica'. cr other Te ncos useo in tne estimate, incluoing those used in pro;ecting from known cata; and

c. The nature and amount of any contingencies incluced in the proposed price.

3. There is a clear cistinction between suomitting cest or : ricing :ata anc merely making available books, records, sed ether cocuments without icentification. The requirement for submission of cost or pricing cata is met when all accurate cost or pricing data ressenably availaole to tne offeror have teen submitted, either actually er oy s:ecific ioentificatten, to the Centracting Officer or an authorizec re:resertative. As : ster information c:mes into the ef feror's possession, it snoulo ce :remetlj -f suomittee to tne Centracting Officer. The recuirement for suom1ssacr i cost or prictrg cata c.ontinues to tne time of #inal agreement en crice, 1 O e

proposal,- = offeror - must include an incex,_-

-E 4 In submitting offeror's appropriately referenceo, of all the cost or pricing cata andt any

-In aceition, infonnation

_ future accompanying- or identified _ in_ _the- proposal.

accitions ano/or revisions, up to the date of agreement on price, must De annotatea on a supplemental _inoex.

5. -Sy submitting offeror's proposal, the . offeror, if selectea for negotiation, grants, the Contracting Officer or an authorizea representative the right to examine those books, records, documents, and otner supporting cata _tnat will permit adecuate evaluation of the proposed price. This rignt-may be_

l 1

exercised at any time before award.

6. As soon as practicable after final-agreement'on-price, but before the awarc i resulting from the proposal, the offeror-shall, under the conditions statec in FAR 15.804-4, submit a Certificate of Current Cost or _ Pricing Data.-.-

7. heacings for Submission of- Line-Item Sumnaries:

n. f.ew Contracts (inclucirg Letter contracts).

Proposec Contract -Proposed Contra:t; Estimate-Unit Cast Reference Cost Elements Esticate-Total Cost (2) (3) (4)

(1).

Unaer Column (1) - Enter appropriate cost elements.

Under Column (2) ' . Enter those necessary and reasonable costs - that in of fe rcr's juagment will- properly be _ incurred - in efficient contract performance. When any of tne costs in this column have alreacy. oeen incurrea (e.g. , uncer a letter contract or . unpriced order) cescribe them- on an attacneo supporting schedule. Wnen preproouction or startuo:

costs are significant, or when specifically requested - to . co t so by tne Contracting Officer, provice . a full identification and- explanation of tnem.

Under Column-(3):- Optional,-unless requireo by the Contracting _ Officer.

Uncer Column - (4) - Identify the attachment . in which Attach the information

. separate supporting _ the specific cost element . may be - founo. .

pages- as necessary, i

Ehi- - __ __ - --

B. Change _ Orders (modifications).

Cost of:

Estimated -Deleted Cost of All Work Cost Work 'Already Net Cost To. . Cost Of : Net Cost Of Reference.. _

Work Addeo Change Elements- Deleteo Performed - Be Deleted (4)  :(5) -(6) (7)

(1) (2): '(3)

Uncer Column (1) - Enter appropriate cost elements.

Uncer Column (2) - Include-(i)- current estimates of wnat tne cost would have-oeen to= complete' deleted; work not-yet performed,.and (ii).--tnelcost of celeted worx alreacy performed.-

alreadyc Unoer Column .(3) - Include the-ifincurrec cost -ofcrceleted

_ possible, estimatec work in -Ine:

cerforrec, actually. computea Contractor's accounting records. Attaen a detailed inventory of. wort, materials, ' parts,_ -components, and_ hardware alreacy .purchaseo, manuf actured, or performed < ano deleted by the enange -indicating -tne .

cest ano proposed disposition of: eacn line item. ~ Also,- if offeror indicate tne desires to retain these items _ or any portion. of -tnem, l.

j.

amount Offered for tnem. .

Uncer ;olumn (4) - Enter tne net cost to be? celeted which is .tne-L estimated' cost of all deletec work less the cost of celetea worx alreacy pericrrea. Column (2) less Column (3) = ColumnL(4),

unoer C lumn (5) - Enter the offeror's/ estimate for; cost of work addeo When nonrecurring.' costs are . significant,-_ or wnen oj- the enange.

specifically reouestea to do so by:tne Contracting _0f_ficer, ~orevide full 1centification and explanation of_rnem.

Oncer Column - (6)

_ Enter._tne net cost" of. change which :is- the costs of work- acceo, less the net cost..to be x deleted. - When. this - result J is regative, place Ine' amount in parentheses. Column;(a).less Colutn (5).=. a Column (5). ,

L '

p Undar Column (7) .- Icentify the attacnment in which1-the information

~

supporting tne specific - cost element; mayL be found.--- - Attach seoarate -

L pages as-necessary.

.y }

e b .

C. Price Revision /Rednermination Numoer of humoer of Recetermina-Units Units To Be Contract tier. Proposal Cutoff Date Completed Completea Amount Amount Difference (1) (2) (3) (4) (5) (6)

Incurrea incurrea incurrea Cost- Cost- Cost- Total Estimatea Cost Precroduc. Completed Work In Incurred Cost To Estimated Elements tion Units Process Cost Complete Total Cost Reference (7) (S) (9) (10) (11) (12) (13) (14)

Jnaer Column (1) - Enter the cutoff date recuirea by the contract, if applicaole. .

Unaer Column (2) - Enter tne numoer of units completec curing the perioc for wnten experienced costs cf procuction are being succ1ttec.

Uncer Column (3) - Enter the numoer of units remaining to be completec uroer tne contract.

Uncer Column (4) - Enter the cumulative contract ameent.

Uncer Column (5) - Enter tne offeror's recatermination proposal amount.

Oncer Column (6) - Enter the cifference between the contract amount and the receterm1 nation proposal amount. When tnis resuit is negative, piace tne amount in parenthesis. Column (4) less Column (5) = Column (6),

ur. der Column (7) - Enter copropriate cost elements. When resicuai inventory exists, tne final costs established under fixeo-price-incentive and fixec-price-redeterminable arrangements should be net of the fair market value of such inventory, in support of suocontract costs, submit a listing of all subcontracts subject to repricing action, annotated as to tneir status.

Under Column (8) -

Enter all costs incurred under the contract before starting procuction 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, . training program, and any identifiable nonrecurring costs such as initial rework, spoilage, pilot runs, etc. In the event the amounts are not segregated in or othemise available from offeror's recorcs, er,ter in this column offeror's best estimates. Explain the basis for eacn estimate anc how tne costs are enargee on offeror's accounting recoros

(e.g., included in production costs as direct engineering labor, chargea toAls manuf acturing overhead, etc. ).

units at their various states of contract completion.

Under Columns (9) and (10) - Enter inin Column Enter Column (9) the pro Column (8) of the units completed as of the cutoff date.

(10) the costs of work in process as determined from offeror's recoros orWhen th inventories at the cutoff date.

not available made, enter theinestimated Contractor's amountsrecords in but reliable Column (10) and estimates enter in for them Column (9) c the incurred Explain the basis for the differences Detween the total costs) as ofincluding estimates, the cutoff identification date and these of estimates.

any provision for experienced or shrinkage, rework, design changes, etc.

anticipated allowances, such as costs (or labor nours) from inception of Furnsih experienced unit or lot contract to the cutof f cate, improvement curves, and any other available production cost history partaining to tne item (s) to which offeror's proposal relates.

Uncer Column (11) - Enter total incurred costs (Total of Columns (3), (9),

and (10)).

Enter those necessary and reasonable costs that in under Column (12)

Contractor's juegment will properly be incurred in comoleting ( ) totne remaining wn1cn work to be performed under the contract with respect to tne item s Contractor's proposal relates.

Uncar Column (13) - Enter total estimated cost (Total of Columns (1b an (12)).

- Identify tne attacneent in wnicn tne inf erra tion Attach separate pages as Uncer Column (Ic) suppor:1ng tne specific cost element may De found.

recessacy.

k

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OF CONT ACT 4

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n 1

CONTRACTOR SPENDING PLAN (C$r) .

(to be completed as a pers of the Offeror's Cent Proposal for each cost retabersement contreet er tedividual tesk order er for any centract er task ->

order modtftcotten uhtch escoeds $100.000 med has erperformance perted ,

encoedtoe 6 months)  :

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Centract ite.

Task Order lie.

Total Esttested Cests (tecludies fined fee.1f any) of the r Prop **ed Centract/Tesk Order /peself tcettee (to a contract  ;

seedificetten see. er task order) et the stee of proposal se atssten.

Offerer /Centracter seeme: Does not feclude opstees. S 1

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1 4th stenth 5th pleath 6th pienth Cost Elements let 80seth red sleeth }rd fleeth l ,

f S S f S .S ,

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• ~*

ATTACNMEN7 5 j -

4 .

3 CONTRACTOR SPENDING PLAN - INSTRUCTIONS j I The Contractor Spending Plan (CSP) is' an important tool for projecting and tracking contract costs and progress of each task under the contract.

i Applicability The Nuclear Regulatory Commission (NRC) requires that,the CSP _ be completed for cost reimbursement contracts when the award amount is expected to exceed

$100,000 and the period of performance is expected to exceed 6 months. For task order type contracts, a CSP is required when_ an individual cost 2

j reimbursement task order is expected to exceed the above thresholds. When a

! contract or task order modification increases the contract or task order i

amount of a cost reimbursement contract or task order to over $100,000 and the period of performance from the effective date of the modification to the contract or task order expiration exceeds 6 months, a CSP is required for all contract work to be performed after the effective date of the j modification.

1 Submission

1. A CSP is required:

j a. as part of the cost proposal for a cost reimbursement contract or

~

individual task order, or modification to a contract or task order l

which meets the above thresholds; d

+ b. as part of the Best and Final Offer (if requested) as a result of i negotiations;

2. Updated CSP information is required on a monthly basis or as approved by the C0 as part of the " Financial Status Report" (Ref: Section F.3,

" Financial Status Report"). -

l Format

" The attached CSP sample format may be duplicated and used by the Contractor, or modified to permit more accurate reporting or to meet other needs of the l

contractor. For instance, the sample format provides ' spaces to' report i

i projected costs for 12 months, but the contractor may wish to alter the -

j sample format -for shorter or longer contract / task order periods. The contractor may also wish to alter the sample format for ease' of typing or l

' automated production. -So long as complete information is provided;on actual l' and projected costs or accomplishments, changes to the format to improve relevance to the circumstances are encouraged.

It is up to the discretion of the offeror to determine.the appropriate level of cost detail to be presented based on the complexity of the effort. This-plan reflects only the minimum requirements for submission of cost detafis -

which will be considered for completeness, reasonableness, and as ~a measure of effective management of the effort. The Contracting Officer reserves-the-

'-- right to request additional cost information, if deemed necessary.

4 em 1

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. ATTACHMENT 6 SMALL BUSINESS AND SHALL DISADVANTAGED BUSINESS SUBCONTRACTING PLAN 4

Date d

CONTRACTOR

ADDRESS:

SOLICITATION OR CONTRACT NUMBER:

ITEM / SERVICE:

The following, together with any attachments, is hereby submitted as a Subcontracting Plan to satisfy the applicable requirements of Public Law i 95-507 as implemented by 0FPP Policy Letter 80-2,

1. (a) The following percentage goals (expressed in terms of a percentage of total planned subcontracting dollars) are applicable to the contract cited above or to the contract awarded under the solicitation cited.

(1) Small Business concerns:  % of total planned subcontracting dollars under this contract will go to subcontractors who are small business concerns.

4 (ii) Small Disadvantaged Business Concerns:  % of total planned subcontracting dollars under this contract will go to i subcontractors who are small business concerns owned and controlled by socially and economically disadvantaged individuals. This percentage is included in the percentage shown under 1.(a)(i), above, as a subset.

! (b) The following dollar values' correspond to the percentage goals 1

shown in (a) above.

i (i) Total dollars planned to be subcontracted to small business concerns: 5 .

(ii) Total dollars planned to be subcontracted to small disadvantaged business concerns: 5 . This dollar amount is included in the amount shown under 1.(b)(i),

above, as a subset.

(

1' i . .

I (c) The total estimated dollar:value of all: planned t bcontracting (to -

i all types of business concerns) under _this con'..act .is_

j- $ .

l _( d) _The following principal products and/or services will be subcontracted under this contract,_ and' the distribution!among -

small and small disadvantaged business concerns is_as follows:-

i (Products / services planned to be subcontracted,to;small business +

l~ concerns are identified by- * - To small disadvantaged business I- concerns by **) -

i i

i a

j (ATTACHMENT MAY.BE USED IF ADDITIONAL SPACE-IS REQUIRED) i

! (e) The following method was used in developing subcontract goals l (i.e., Statement explaining how the product and: service areas-to j be subcontracted were established, how the areas to be

! subcontracted to small and:small disadvantaged business concerns 3

were determined, and,: how small and small- disadvantaged. business .

! concerns' capabilities. were determined, to include identification:

of source lists utilized in making those determinations),

i:

1 i

t i

i F

(f) Indirect and overhead costs (che;k on_below)

i

! __have been __have not been ji -included in the goals specified in-1(a)'and 1(b)-

j -(g) -If "have been" is checked, explain the methodiused in determining i the proportionate share of indirect andl overhead cost to be i allocated as subcontracts to small business- concerns and small ,

i disadvantaged-business concerns.

i

$ e i

i.

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

l t e The following individual wi*il administer the subcontracting program:

2. ]

Name- _

Address & Telephone:

Title:

This individual's specific duties, as they relate to the firm's subcontracting program, are as follows:

General overall responsibility for this company's Small Business Program, the development, preparation and execution of individual subcontracting plans, and for monitoring performance relative to contractual subcontracting requirements contained in this plan, including, but not limited to:

(a) Developing and maintaining bidders' lists of small and small disadvantaged business concerns from all possible sources.

(b) Ensuring that procurement packages are structured to permit small and small disadvantaged business concerns to participate to the maximum extent possible.

(c) Assuring inclusion of small and SDB concerns in all solicitations for products or services which they are capable of providing.

(d) Reviewing solicitations to remove statements clauses, etc., which may tend to restrict or prohibit SB and SDB participation.

( ') Ensuring periodic rotation of potential subcontractors on bidders' lists.

(f) Ensuring that the bid proposal review board documents its- reasons for not selecting low bids submitted by small and small disadvantaged business concerns.

(g) Ensuring the establishment and maintenance of records of solicitations and subcontract award activity.

(h) Attending or arranging for attendance of company counsellors at Business Opportunity Workshops, Hinority Business Enterprise-Seminars, Trade Fairs, etc.

(1) Conducting or arranging for conduct of motivational training for purchasing personnel pursuant to the intent-of P.L.95-507.

(j) Monitoring attainment of proposed goals.

3

c (k) Preparing and submitting periodic subcontracting reports required.-

d

(i) Coordinating contractor's activities auring the conduct of compliance reviews by Federal-agencies.

! (m) Coordinating the conduct of contractor's activities involving its

small and small disadvantaged business subcontracting program.

l (n) Additions to (or deletions from) the duties specified above aref as-g follows:

i e

i l

)

i 3. The following efforts will be taken to-assure that small and small j disadvantaged business concerns will have an equitable opportunity to -

} compete for subcontracts:

j (a) Outreach efforts will be made as follows:

(1) Contacts with minority and small business trade associations j- (ii) Contacts with business development organizations i

~

(iii) Attendance at small and minority business procurement i conferences and trade fairs l (iv) Sources will be requested from SBA's PASS system.

(b) The following internal efforts will be made'to. guide and encourage buyers:

(1) Workshops, seminars and' training programs will be conducted (ii) Activities will be monitored to evaluate compliance with this subcontracting plan.

(c) Small and small disadvantaged-business concerns source lists, guides and other. data identifying small and small disadvantaged business concerns will'be maintained and utilized by buyers in -

soliciting contracts.

4 J

_ . - - . = _

l . .

j .

l (d) Additions to (or deletions from) the above listed efforts _ are as.

follows:

a 1 -

4. The bidder (contractor) agrees:that the clause entitled " Utilization of-

! Small Business Concerns and'Small Business Concerns Owned and j entro11ed by Socially and Economically Disadvantaged Individuals" will

be included in all subcontracts which offer further subcontracting

opportunities, and all subcontractors except small business concerns-J who receive subcontracts in excess of $500,000 will-be required to adopt and comply with a subcontracting plan similar .to this one.- Such

plans will_be reviewed by_ comparing them with.the provisions of Public Law 95-507, and assuring that all minimum requirements of'an accepteble i subcontracting plan have been satisfied. -The acceptability. of

percentage goals shall be determined on a case-by-case basis depending on the supplies / services involved, the availability- of potential small and small disadvantaged subcontractors, and prior experience. Once

approved and-implemented, plans will be monitored through the-

submission of periodic reports, and/or, as time and availability _ of i funds-permit, periodic visits to subcontractors' facilities to review

applicable records and subcontracting program progress.

I 5. The bidder (contractor) agrees to submit such' periodic reports and i cooperate in any studies or surveys as may be required by.the-

! contracting agency or the- Small Business Administration in order to j determine the extent of compliance by the bidder with the

subcontracting plan and with the clause entitled " Utilization of Sina11 i Business Concerns and Small Business-Concerns Owned and Controlled by

Socially and Economically Disadvantaged Individuals" contained irr the

,- contract.

i .

! 6. The bidder (contractor)- agrees that he will maintain at least the .

j following types of records.to document. compliance with this j subcontracting plan:

. (a) Small and small disadvantaged business. concerns source lists, i guides and other data identifying SB/SDBC vendors.

(b) Organizations contacted for small and small disadvantaged business

< sources.

1 4

5 4

lI 4

i .' .

(c) On a contract-by-contract basis, records on all subcontract-solicitations over $100,000, indicating on each solicitation (1)_

whether small business concerns were solicited..and, if not,- why I not; (2) whether small disadvantaged business- concerns were -

solicited, and, if not, why not; and_(3) reasons.for;the failure _

i of solicited small'or small disadvantaged business concerns to i receive the subcontract award.

! (d) Records to support other outreach efforts: - ' Contacts with Minority.

and Small Business Trade Associations, etc. Attendance at small i 'and minority business procuremer,t conferences and trade fairs.

1

[

(e) Records to support internal activities to guide and encourage buyers: . Workshops, seminars, training programs, etc. Monitoring i activities to evaluate compliance.

I l (f) On a contract-by-contract basis, records to support subcontract.

' award data,-to include name and address of subcontractor.

i-j (g) Records to be maintained in addition to the above are as follows:

i l-I i

i-k __-

j Signed:

i

! Typed Name:

i

Title:

i Date:

i 4-Plan Accepted By:

! Contracting Officer i Date: >

i .

L NOTE-TO CONTRACTING OFFICER: Upon incorporation of a plan into the contract,-

[ indicate herein the _ estimated dollar value of Contract $ _ .

4 i

6

i

- l 4

l 4 ,

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

ATTACHMENT 7

(

GUIDELINES FOR THE PREPARATION OF THE DIAGNOSTIC EVALUATION TEAM REPORT DET Guideline 3 3.1 Purpose To previde guidance for the preparation of the Diagnostic Evaluation Team (DET) report.

3.2 General The purpose of the diagnostic evaluation report is to accurately and completely document the results of the DET evaluation. This guideline describes the organization and content of the DET report and its transmittal correspondence, as well as the process to be followed in preparing the report.

The report should consider only those issues that warrant senior NRC and licensee management attention. The FitzPatrick DET report is the prototype for the scope, threshold for finding significance, level of supporting detail and overall report length. An important aspect of the report is to clearly identify which issues the licensee did not already know about or had not taken appropriate corrective actions. Likewise, the report shall highlight those areas where the licensee is doing a very good job from the safety perspective. Significant strengths that are observed in licensee safety programs and practices will be noted in the report as well as issues already knowr, by the licensee. Those issues that do not reach this elevated threshold should be orally comunicated to the licensee during the evaluation process and the interim exit meeting.

During the process, care should be exercised to prevent pre-decisional drafts or copies of the report (or excerpts) from being released to non-DET members or non-NRC personnel.

3.3 Report Oraanization The sections that typically appear in a DET report consist of:

o A cover oace o A ceneral information sheet, which identifies the licensee and facility evaluated, the periods of time the evaluation was conducted, the evalua-tion team members and any other accompanying personnel. The sheet also contains signature lines for submittal by the DET manager and approval by the Director, AE00.

o An executive sumary, which briefly sumarizes the background and purpose of the evaluation, and the overall results and conclusions. The sumary also generally includes the observed strengths and weaknesses, 'and the significant underlying causes for identified weaknesses, o A table of contents, which lists the main sections and subsections of the report.

~

1 l

Page 2 o An introduction section (Section 1.0), which provides background information for the evaluation. The scope, objectives, evaluation methodology, plant description, and a description of the corporate and site organizations should be included. Figures normally are provided to illustrate these organizations, o An evaluation results section (Section 2.0), which presents the major evaluation findings and conclusions in an abbreviated and concise manner and the bases for these findings and conclusions, including illustrative examples. Results for each functional area (strengths and weaknesses) are also provided for licensee and NRC management level review. Typically, this section contains fewer than 20 pages.

o A root-cause analysis section (Section 3.0) provides for the analysis of major licensee weaknesses and deficiencies to identify the root causes, o An exit meetina section (Section 4.0), which documents the date, location and attendees at the exit meeting and provides a brief sumary of supplementary meeting coments provided by NRC staff or team management in attendance. This section also provides a summary of any licensee responses on the team observations, findings, conclusions, and root cause analysis.

o The aooendices, which include information that supplements the body of the report. As a minimum, the appendices should include a cmy of the NRC presentation handouts provided to the licensee at the exh meeting, the EDO memorrium directing the conduct of the diagnostic evaluation, and any other aterial deemed appropriate for a complete understanding of the diagnostic evaluation.

3.4 Report Transmittal Documents A number of transmittal documents must be prepared which are enclosed with or forward the DET report to the EDO. These documents consist of:

o A transmittal memorandum used to fontard the report from the Director, AE00 to the EDO. The transmittal memorandum typically contains three enclosures.

o Enclosure 1 to the transmittal memorandum is the diaanostic evaluation team reoort for the specific site evaluated. The contents of this report are described in the preceding section, o Enclosure 2 to the transmittal memorandum contains the draft memorandum from the EDO for NRC staff action requirements resulting from the diagnostic evaluation. This enclosure is prepared in the form of a draft memorandum from the EDO to the appropriate NRC senior managers for follow-up action in their areas of responsibility. The DET develops proposed staff actions from the findings of the evaluation results section of the report. The memorandum specifies staff follow-up action (s), the specific action (s) to be taken and the responsible NRC office to which the action is assigned. The Regional Office and NRR concurrence is obtained prior l

S .

o ,

Page 3 to submittal of the memorandum to the EDO.

o Enclosure 3 to the transmittal memorandum provides . a draft transmittal letter' to the licensee regarding the diagnostic evaluation report. This letter will normally be addressed to the highest level licensee executive contacted - by the DET, usually the Utility President. The draft transmittal letter shall also be forwarded to the Regional Administrator and Director, NRR, for-comment and concurrence.

3.5 Report Preparation Process Prior to completion of the onsite evaluation, the DET leader issues to the team the significant milestones schedule for preparing the DET report.

Developing the results of the DET evaluation -into a comprehensive, clear, integrated, and accurate report requires a substantial effort by all DET members.

After completion of the onsite evaluation, the team leaders have the responsibility to coordinate the efforts of team members contributing to their assigned functional areas from the preparation of the initial functional area report outlines through approval of the final report.

Following completion of the onsite evaluation, each team leader will submit to the DET manager a functional area outline. The outline will provide the orga-nization for presenting the findings, conclusions, and causes for weaknesses in the functional area. The outline should provide the order in which findings are intended to be presented in Section 2.0 of the report. The DET manager and the team leader should agree on the functional area outline. The DET manager will then prepare a complete report outline, which includes the input from the team leaders, and should contain references to the appropriate individuals who are assigned lead responsibility for writing the sections. This report outline should be distributed to all DET members, and should be kept up to date to reflect any changes during the report writing process.

Within 14 days following completion of the onsite evaluation each team leader submits to the DET manager their final draft sections.for the evaluation results (Section 2.0). Within this same time period, the DET manager should ensure preparation of drafts of other key sections of the report, such as the executive sumary, introduction .(Section 1.0), and root cause analysis (Section 3.0). These draft sections should be distributed to all DET members for review and comment.

.When the drafts of the report are complete, copies are provided by the DET manager to all DET members and a team meeting (consisting of at least all- team leaders and the team manager) should be held to review the product. The pur-pose of the team meeting is to provide team members the opportunity to comment on the drafts. Coments should address accuracy and completeness as well as consistency. Following the team meeting, the team leaders will generally need to further revise their respective inputs. The DET manager should integrate and assemble the report inputs from all functional area team leaders into a complete draft DET report.

Once the DET manager and team leaders agree- on the acceptability of Sections 2.0 and 3.0, the team leaders should provide-the DET manager with inputs and/or

Page 4 l

coments for the executive sumary. introduction (Section 2.0), and root cause analysis (Section 3.0) sections. Suggested inputs should also be provided for the staff action items.

When assembled, the DET manager should provide the draft DET report to the Chief, DEIIB, the Director, DOA, the Deputy Director, AE00 and the Director, AE00 for review. Coments received should be addressed by the DET manager with the assistance of the team leaders for any changes to be made to the DET report.

Following management review and incorporation of any revisions, the final DET report will be marked as predecisional and submitted by the DET managcr to the Director, AE00. The DET manager should ensure preparation of the transmittal memorandum for the report from the Director, AE00, to the EDO as described in paragraph 3.4 above. The Director, AE00, will approve the DET report for submittal to the ED0 after coordinating review of the report transmittal letter to the licensee and recomendations for NRC staff actions with the Director, NRR, and Administrator of the appropriate Regional Office.

The DET report should be provided to the EDO within 42 calendar days (6 weeks) following completion of the onsite evaluation. The DET report will be held as predecisional until the EDO approves the report for transmittal to the licensee and forwarding to the Public Document Room.

3.6 Report Writino Guidance The following general and specific guidance is provided to assist all DET members in the preparation of the DET report.

3.6.1 General Principles o Executive Summary

- Written for top management (i.e., Comission, EDO, Office Director / Regional Administrator)

- Should give some background and purpose of the evaluation; sumarize and give overview of overall p'iant performance; discuss the root causes of past and present problems; bring to light major team findings and conclusions, and note licensee strengths and weaknesses.

- Length should be 1 1/2 - 2 1/2 pages.

- Should stand alone, be precise, professional, and consistent with licensee exit meeting.

o Section 1 - Introduction

- Discussion is written to orient the reader on the background and purpose of the evaluation and why it was initiated, and includes a discussion of the scope and specific objectives of the team and methodology used, as well as a brief description of the plant, corporate and site organizations.

~. ,

1 O e

, Pege 5

- Section I should not introduce or discuss any of the team's findings or conclusions of the evaluation.

- Section 1 contains five subsections in the following order:

- Background

- Scope and Objectives

- Methodology

- Plant Description

- Organization o Sectic, 2 - Evaluation Results

- Discussion is written for a management or supervisory level that desires to understand the significant findings t.nd conclusions of the evaluation and substantiating data in each functional area evaluated.

\

- The discussion of each functional area begins with the ov 9' findings and conclusions and then presents substantiating data

- Overall conclusions are usually a blend or composite of the streng' and weaknesses reflected in specific findings / conclusions.

This section should:

- identify each significant finding and conclusion contained in each functional area, capture the essence or " punch line" in a conciso, consistent and complete way,

- serve as an overview and sumary of each of the top level significant results in each section, length / volume should be minimized so far as practicable, o Section 3 - Root Causo Analysis

- This section documents the major results of the root cause analyses that are conducted in accordance with Section 2.6.6.

o Section 4 - Exit Meetina

- This section documents the date, location and attendees at the exit meeting and provides a brief sumary of supplementary meeting comments provided by NRC staff or team management in attendance.

This section also provides a summary of any licensee responses on the team observations, findings, conclusions, and root cause analysis.

3.6.2 Specific DET Report Guidelines A DET report coordinator (normally the DET manager) will coordinate and control all changes to the DET report after preparation of the first draft. The report coordinator maintains control over the DET report due to the receipt of inputs from multiple writers as well as multiple reviewers. Some changes will be in

Page 6 disagreement with the inputs of others. The DEllB secretary will normally make and control the typing of revisions to the report after the first draft.

The DET members providing inputs to the report should prepare their sections in the following order:

o Evaluation Results (Section 2) o inputs to Executive Summary o Inputs to Staff Action item List The report should be written in terms of the " team" findings and conclusions, not on the basis of individual team members.

The DET report should describe the results of the evaluatior, in terms of observations, findings, conclusions, and causes. It should not be an accounting of how time was spent in conducting the evaluation. If a functional area was reviewed and the review produced no items of positive or negative significance, the report should contain only a cursory discussion in this area.

Certain phrases should be avoided in writing the OET report. Th6se include:

o "The team believes.."

Example:

The team believes that it was inappropriate and distracting for the reactor operators to have to answer such telephone calls.

Should be written instead as:

Hany of these telephone calls appeared to be unnecessary and distra:ted the reactor operators from their normal duties, o "The team felt..."

Example:

The team felt that inadequate training in Technical Specification requirements regarding shutdown margin may also have contributed to the

~

operator error.

Should be written instead as:

Inadequate training in Technical Specification requirements regarding shutdown margin may also have contributed to the operator error, o "The team noted..."

Example:

The team noted that e.any systems had not had a valve alignment verification performed in over 2 years.

e 6

• _ _ _ ~ . - , . _ - _.-- -- . _ _ - _ - _ = _ - . - . _ _ . .

. Page 7 4

Should be written instead as:

Many systems had not had a valve alignment verification performed in over 2 years.

When describing personnel within the licensee's organization, position titles should be used instead of naming the individuals in those positions.

Use " journalistic" style (i.e., put the punch line up front). For each finding described on the DEO forms, the report should describe: the findings; the conclusions and any strengths or weaknesses; and probable causes for weaknesses in that order, Since the diagnostic evaluation is directed toward safety performance rather than compliance issues, all items that may result in enforcement actios,s will be handled by the appropriate Regional office. Potential compliance issues will not be presented as violations in the DET report.

Reserve the use of the phrase "the team found", "the team concluded" or "the team was concerned" in Section 2.0 only to findings, conclusions or team concerns. In general, the use of the term " concern" is restricted to only those rare instances where information which will only become known at some future time that will validate or invalidate the issue.

Evaluation results are expressed in terms of a specific plant, i.e., the results are absolute and not a relative evaluation of a plant against an " industry average".

The report should not include any recommendations or suaaestions or eauivalents.

Generally, the DET report will be written in the past tense.

{

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Page 8 3.7 Exit Meeting Material The draft evaluation results sections should be used The as DETthe basis for manager preparing is responsible the exit meeting presentation with the licensee.

for preparing the initial draft exit meeting presentation, which should be prepared within I week after the first draft of the report has been completed.

Copies of the initial draft exit meeting presentation material will be provided In addition. DET members are to the Director, AE00 for review and comment.

responsible for ensuring the accuracy of the material to be presented at the exit meeting and, therefore, should be provided copies of the draf t presentation for review and connent.

The initial draft exit meeting material will be used for Any coments/ changes to the briefing NRC senior management and the EDO.

presentation resulting from these briefings should also be communicated back to the affected team leader to ensure their accuracy.

3.8 NRC Inspection Proaram Interface (2515 Proaram)

At the conclusion of the DET evaluation, a review may be conducted of the DEOs by regional staff to determine which 2515 module may be given partial or complete credit based on the DET evaluation. DET team leaders will be available to asstst the Region in determining applicable modules which may have been covered by the DET's activities. Once agreement has been reached on applicable modules covered by the DET, the DET Manager will generate a certification letter, cosigned by a regional representative, to document the modules credited as a result of the DET.

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, - ,- - - . ~ , a

l ATTACHMENT 8 i

. .i EXECUTNE OFFICE OF THE PRESIDENT OFFICE OF MANAGEMENT AND SUDGET WAttecTOR D C 306o3 -

OFF1CE Olr rgogRAL ,

mocuwi.erut poucy '

PelleyIm 391 h A '8_1989 TO THE HEADS OF EXECtf!1YE DEPARTMENTS AND ErrAstJSHMENI5

$URJECT: Coenid oflaternet Palacies Appiacable to Conseitants

1. PerPose. Tbc purpose of this Policy Letter is (a) to establish policy felating to <ir-ni,e of interest standards for persons who provide consaking services to the governesent and to its coatsadors and (b) to provide procedures to prosmote cuenpbance with those standards. .

1 Aetherity. nis Policy Latter is issued pursuant to sesion 8141 of the 1989 Dapartment of l Defease Apptopriation Act, Pub. L 100-463,102 Stat. 22XM7 (1988) (bercianher referred Io as 7 *the Acs') and section 6 of abe Ot5ee of Federal Procuremment Policy (OPPP) Act, coddied at 41 U.S.C. seaion 404.

1 Backgreend. His Policy Letter is latended to impl==aar sectice 8141 of the Aa. Hat ,

section provides, in part, as follows. -

• (e) Not laser thee 90 doye eher the does of ennemmet of shs Ass, tem Admienneser of ths OtEse

, of Federol Petuwnswat poisy shan kuus e palmy, sed oss baser than 180 dopo thesenhet gouess.

menteuse requietions shas he issued under the Othee of Psessel Preensommet Peter Act which set forth-

• (l) scanni ofinserest samederes for pesumes who psomede enemmhtsg estvises desmeted le Wees (b), med

• (2) premdures, inesudsig ed sugiasualem, sereifummin, and safessamset & es

• • F 'cl appropnete, to psomeses esophasse steh ensk samedaseL

• (b) W reguistions reigu sed i by esassamme (a) shes apply to the p er ssing types of samenheng erfvires'

• (l) advisory and esamemase emswtsas presidad to the gpussanset to she ammet assemesy a adentdy and e=eimate es pessnelat for sandhas of laamsest that sould be peepudinal to the intereses of the Unseed Sasses;

• (2) serwuus ps!sted to support of the r., er subesumos of bids and psoposals for federol sentrons to the esseet that innsemios of aush seruuma in omaa ngelseems is massessy #

to identify and evaluate the pseemsel for enanses ofinessest that emuld be pes $udadel to the interests of the United $ssiss; and .

• (3) such eener services senseed to funesal annensa es may be speaned is lhe seguimenes presenbod unde r sutmecteos (e) to the asset essassary to inesidy and evaluees the poseenal for connes of iniemmi that cavad be pej.dusal to the interess of the Uehed Semess.* - ,

4. Denaltions. ,

(a) Advisory and assistance services' ameans advisory and 'anaiarance services as defined in OMB Circular No. A.120,' Guidelines for the Use of Advuory and A==ias=== Services,' dated January 4,1988, and any amendments thereto. Only thane compensated services provided  !

pursuant to nonpersonal service contracts are covered by this Pobey Latter.

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Policy Letter 89-1 '

- ) 4 g -.

w eb s iu - Mt- w, e si-t-W*e- we----y ew-- we-v---9+p- seWev'r +e w-s--t-ete- w + p eyg-p+pur-p e w Pr 3 $ =$w g aM'qu'T-*->C'#aesyt-erw Y^ 9^ 3 vW^9 -9b - @ ^

• 8F' MW tds T e g 's V9r'*'Mr , ( w ww b rr y

i (1) Such services indude -

(i) servres pronkd by indnklual experts and consultants; (ii) enenitement and profesdocal support sernces; (iii) the conduct and preparadon d sendies, analyses, and ersJnations; and (iv) engmemng and ta^ab 1 services.

in addttian to the exdatlant in OMB Circular A 1Xi, the fouowwg (2) Erduriorts services are esefuded from the cmcrage d this PoEcy Lecer (i) routine engineering and teas =1 serwces (such as 6 " =rinet operatinn, or main-renaw d sptems, eqtupment, software, ccanpoocats, or facArn);

(ii) routine legal, actuarial, audong, and accounting services; and (iii) training sernces.

(b) 'Agencf means an erernthe department specified in socdon 101 of tide 5, United States Code; a military department specifad in sec6on 102 d such tide; an independera establishment as dermed in season 104(1) of such title; and a whoDy owned stmrnment corporation fuDy sayect to the prcmsions of chapter 91 of tide 31, United States 0,de.

(c) *Confba ofinterest* rnean< that condith M .svaance wherein a person is unable or is potentially unable to render impartial muionau a uh .o the gcmsnment because of c(her activities or relationships with othes penons, # <!aaN a penon Ess an unfair competicht advantage.

The critical element in this definition is the existence of a ref at6 hip or potential relation-ship that might cause an offeror,if awarded a contract, to make recommendations or interpreta-tions that, at the expense of the government, fawr the interests of the offeror drectly, or those of persons or entitir< presently or potentsaDy able to cxmfer a beneSt on the offerts.

Types of potential confhas include, but are not tir ited to, the foDowing:

(1) evaluating a ccetrador's, or potential contrador's predaas or senices, where the evaluator is or was suboantinny inwaved in the development or marictmg of those produas or scrweca, h

. (2) serdag as a w =nt to a contractor occking the award of a contrad (or seeking to be awarded the contraa directly) after preparing or assasting *=* tinny in the preparation of speafications, or other significant contrad pecm=== or ry. ==er, to be osed in the same acquisition; (3) sening as a e~ akaat to a contractor seeking the award of a contract (or scelmg to be awstded the contrad dacetly) after having sa:ess to nource selection or proprietaryinforma-tion not available to othes persons e~n,% for the contract;and (4) prcmdtog advice and strionace to an agency where such advice and ameistanee could beneSt the contrador's other ehrnu (d) An ' unfair cocopenths advantage' criuts in addition to the situations addressed in FAR Subpart 93, where a contraaor competing for award of any federal contract p=ema Policy Letter 89-1 142

(1) poprietary infor=n6 that was obtained boss a genrement edicial without paper authorizanon, or (2) nomroe ulcaion infor=m6 that is relevnet to the contred but is not s nahte to aD competitors, and such infor=wir= would assist that eretreeter is al% the contrecs.

(e) 'Markening Consukans' annans any ' '; '- contractor who farsinhos addon,infonne-tion shrectaan, or a=1a=m to any other enmerector in support d the preparation or submission of a bid or poposal for a pvernment contred by such contresser. As , ' contractor is not a markseng ===h-e if he or she would be readering advinary and assistamos services persuant to any of the =ed=1a=a in parayaph 4(a)(2), above.

5. sampse ne fone.img may be asapi.d fram ine appseation of permies and regulations immed ander this rosierlean.

(a) -!-"ascandaies. Servicesrenderedin-Awithintenigenceassivitiesasdeemed in aavia= 3.4(e) of Esecutm Order 1Z333 or a - 7__ M d=A=hia==8 session in any -

ordet, or is r===*mia= with special access payasas; and

- (b) As6he sweest con Wessions. Speci5c contrecs adiana where the heed of as asemeygreats a waiver ce the basis of the pubbe interest.

6. Peucy. Agencies must comply with the foBowing policies:

(a) Responsibility for ideatifying and preventing potential aa=Ah of intarost in peerament contracas is shared among the government contracting od5cer, the regenster of the service, and other government od5cials with acones to appbcable lefwination. De r==pa=.mahy for decidag wkske to award a partiemier contrecs, however, rests with the govenement contracting od5oer; (b) Prior to contracs sword, contremies of5cers abaB take' appropriate steps to identify and evaluate the poteadal for ==nwa of interest that could be pepduzal to the interests of the United States with regard to persons who provide advisory and assistanes services to the government, and to take steps :o avoid or mitigate any con 8icts behewed to amist; similar actions wGI be taken with regard to any andair conspective advestage that marketing consakamas provide to comtrunors; (c) Federal contracting ot5cers shad require, for contreas covered by this Policy 14 ster, that '

the apparent successful o8eror prende certised inforunation describing the nature and essent d any ==nh ofinterest that any suist with respea to the proposed sourd. Marhating somsekamas shan also be required to artify that they have provided no information to the sostractor employ =g them that would give the contremar as saisir p hive advantage; (d) Federal promroment od5cials sha5 encourage contractors to consider carefugythe potam-tial for a=n.,e, ofinterest in at of their activities ==M= sad with federal procurement, and abaB be senative to the appearemoe of conoscas of intenet a any centreaims anions; and (c) Federal procuressent regulations that implame=# this pcEcy and addreas con 8icas ofisterest shad take into ma==r the seed to (1) secourage perdrip=*ie= of highly qualified persons and finns in federal pocurement programs; (2) enhance and safeguard the Nation's industrial base; (3) promote fuD and opea -pdinan in the award of government contracts; and (4) impose the overaD efeamacas and *Kiaa=cy of the --e "a procuresmaet proyees.

7. Responsibintine of the Defense Acquisition Itagulatory Caendt and Ovtilan Agency Asquie',.

ties ComedL ne Councils shan premulgate the governascat. wide regulations specified in

-s.

Policy Letter 89-1 143

neman 8141 of the Aa within 130 days of the cE stin date d this Policy later. Such regulations .

shad cmfonn to the pobcies eddW herein. Only scJirie mein =a issued after the cEcaive date of the regular =< are affeaed by these pnInet

8. Responalbuities el prinne contraaors employtaj marketing coarsitants. An indrsinal or firm that empton, ter ma, or casages one or more markains e~a -en is <=aner'= with a federal wxposnaca maast subenst to the coerradin6 eM=. with respea to each marieung consukant, the cere#atea denaibed below, if the individual or firm is nrirwt that it is the apparent ==cre=afal offerw.

(a) Ceraficate repimf. No certifares are required for contrads of nryrvi or has. For contruss over en rrn, the contrador must file the cert #vate described below with resped to c.ach marketing h mat, or provide a written ararement to the contrading officer giving the remons why no anch cere#arina can be made. & r=an== shes must be sansfactory to the contracting <Micer as to why soci cere#are c= anne be made.

(b) Corumtr of errirficate. & certirate to be sub-sted most ,=tain the foDowing:

(1) the name of the agency and the number of the sohcitation in quesdon, (2) the name, addreas, telephone number, and federal tarpsycr Idearwatie= aumber of ,

the marketing consukant; (3) the name, address, and telephone number of a responsible eJrm ce emplo te of the marketing consuhant who has personal knowledge of the marketing consuhaar's innohement in the contract; (4) a desaip6cn of the nature of the services readered by or to be said by each marketing consnh ant; (5) based on information prmded to the cxmtractor by the marketing m=haar,if any marketing consukant is rendersag or,in the 12 months preceding the date of the certificate, has rendered services respeaing the same subject matter of the instant soliatation, or directly relating to such subjea matter, to the government or any other cfient ('acinding any foreign gowrament or person), the name, address, and telephone number of the client or eEenta, and the name of a responsible officer or employee of the marketing 5' man who is knowl Ageste about the services provided to such client (s), and a descnpoon of the nature of the services rendered to such client (s);

(6) a crniement that the person 36o signs the certificate for the prinne controder kas informed the marketing consukant of the crissear* of this Policy letter and associated regula-ticas;and (7) the signature, name, tide, employer's name, address, and telephone samber of the 6 nat persons who sagncd the cert #ates for both the prime contractor and the marteting er-(c) Marietuig coruuhant cerifficare. In =AAitina, the prime contractor wul forward to the contracting officer a certificate addressed to the grm cat and sagned by the anarketag

<~mhiar that (i) such marketing conruhant has been told of the eviarence of the regatariaan imple=e ating this Policy letter and (ii) such markaing consukant has made inquiry, and to the best of his or her knowledge and belief, he or she has provided no anfair 4 ;-W adcantage to the prime cxmtractor with resped to the services rendered or to be rendered in imaed=

with the ae4Weiein, ce that any unfair cxxnpetitrw advantage that, to the best of his or her knowiedge and belief, does cr may exist, has been oktaud to the prime contracitr. Prime contraaors may request such a certificate from a marketzng consul

• ant, or make inquiries of any marketing contnhant, at any time they acEctiate for the marketmg consukant's services, or 4

144 Poliev terror Ro.1

.' sherwards, natil as award is made, to satisfy themaches that the markadag consukant has pro = led no unfair competsrve ashmanage.

9. Raspenschilities et eentracters proddias addsery and assistamm servises. nonein-dividuals or fanns providag advuory and ====s==w services to the ,msr - most sabank to the contressing of5ow the eartscate or eastdentes described bek= if the inevidual er Arm is

=redad hat t it is the appenas amonesed ederar.

(a) Ceepest regu6mt. No eartdestas are required for contracas of $25,000 or less. For contracas over $25,000, the earti6cate daembed in (b), below, most be Else er a orkaan statenset provided to the contracains edEcor giving the reasons that no smch certi5 cation ma be rende, ne r-ama given mest be a : ' =7 to the comeressima edEcor as to why sad sortacate cannot be saade.

(b) Cansanar of At.esplear. De eartiscate mee contain the fenceing:

I (1) amane of the agemey and the ===her of the ediedameiam in genstion; (2) the name, address, nelapha=* a==har, and federal taapeyer W=edemeiam samber of the appercat successful aseror, 1

(3) e description of the natwe of the services rendered by or to be rendered on the instant contract;  ;

(4) if,in the 12 months preceding the date of the cervine =tia=, earvices were rendered to the government or any other dient (including a foreign govenument or person) respeains the -

same subjed matter of the u ' stas aahriraria=, or drectly relating to sneh subject saatter, the name, address, telepheme number of the client or client (s), a description of the services rendered to the previous client (s), and the name of a r =pa==3hte odEcer or employee of the oferar who is knowledgeable abom the services readered to ead daent. He agency and contraa sammber mader which the services were rendered must also be included, if appbcabic; -

(5) a statement that the person who signs the certi6cate has made inquiry and that, to the best of his or her knowledge and behef, (a) ao actual or potential an=nien ofinterest or asfair competitive advantage saists with respect to the advisory and ==i=*=~- services to be provided in co==enia= with the instaat contras, or (b) that any acenal or pntential cousics of internet or anfair competitrve advantage that does or may esist with respect to the contract in qw=ria= bas been communicated in wnting to the contracxing of5cer or his or her representatm; and (6) the s.g sture, manne, eenployer's name, address, and s*I T a=e h number of the person who signed the ce% ate.

10. Raspenalbilities of Emscutive Branch Agendas.

(a) Maassnance of dassfiles. Each specy men snaistain the cestdentas described by this Policy Letter in the centrea file. Ageacues snay enract and eategoriae smch information from -

these files and aa-aMase them in a central registry, as appropriate, subject only to the requirement to safeguard information (1) as requested by the ashmire r of the certi6cate as an=Mential, senatm, privileged, proprimary, or otherwise not r b==hte, or (2) based on t independent ascacy descr=i==eia= not to release the informarina pursuant to the Freedoms of laformarina Act,or other authonry.  ;

(b) AmiJabiAiry ofdsrs. Certificates must be made available to department or agemey contract-ing of5cers and their superiors, advuors, or their desagnees, as ocB as to inspeaars general and government audit am<4ak

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Policy 1,etter 89-1 145 i

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....,,-.a ... A L. , m. . ., - - , , - bs . ~ w m,-.~m.*e*------ ,A- -r~n

a, __ . __- ._ . _ _ _ . _ . . _ _ _ _ _ . . _ _ _ _-___ _ _ - . _ _ . _ _

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i (c) #<=ad==v qf kVamamm Agencia and departments must pratta, to the inasst seems -' '

j perused by law, nB sensism basances and other Wer=ada= and-iread passmaat to any policy

devned or %=M= p.-

'M pursmaat to the Ad. Contradors and aa==diada num take care to identify what information is not releasable. Opportuairy to so mark such information t shad be a8arded to the ==h iren of the informanan at any time.

I (d) husmerd earWha of bewust siaWs, gast eeneuct,_ J 'm Apacy adEsinis mast, before an e ard of a contract is made,datarmine whether a condha ofiminem esists wth nord to those providag adnsory and -id- services to the peerumset, or whether an undsir

=p=**ve advantap assas with resped to serviess prended by a marhamns esenkam in l j

4 e==aareia= with a partioslar contred saios. In performing this imamion, they muy use (a) j informatiaa from any certincesas or stasen: mas previously sehested or ashmined wth the hid l

i or caer la q=ania= and (b) any other sahatantive Wormatiam evailable w thaus, ne somerecning dricer shan award the contract to the apparent smoomsdal of rcr meines a condia ofinterms or j

unfair r==premvc advantage is believed to said that ammmet he sveidad or mitigstad. PlanBy,

! before the contreeting edicar decides not to award a contracs based om condha af interest n ==iderations, he or she shaB motify the prime samtreeter, or the samtressor rendering adnsory i

and -a#- services, med prinids a ramaa==hle opportunity to respond. Where the contracting j officer Ends that it is in the best interest of the United states to award the congrad e& M .

l such er=fhd or unfair -p**itive advantage, the contrea fue should be daa=== earl to rensa the basis for that finding, l

(c) Otha 6Varmasion. His Policy Latter does not prohibit contracting edicers fross request.

! , in special sases, and l lag other informatiaa relevant to the goals of this Poiky latter. la addie if approved by the head of the contracsing activity, the contracting od5aer may reonest that the l certi6 cates described above, be made wish respea to a period as long an, but no loapr them,36 e

i moedhs precedag the date of the certincase.

11. Ras; - ~ " ~" of the Federal Angelsides Regulatory Camacn. AH governenet.eid ,

regulanons to be issued perinam tc aan*= 8141 of the Act win be prended to the Federal l

Acquisis- Regulatory Council for review not less than thirty days prior to publication in the ,

j redent Jtspier for public ev==e=#

11 Raumedies. Persons required to certify in secordance with this Policy latest's asociated l

regulations but who fail to do so unay be determined to be ineksibk for award of a contract.

l

! Misrepre=*=r=8- of any fact may rissk is suspeanica or debermsent, as acB as pemakies associated with false certincatir=a or such other prtwisions provided for by law or regolation.

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13. Informaties coatnet. For informatir= regardag this Policy lattar please cantact Richard l A. Ong, Deputy Aanar-se Administrator, the Of5m af Federal Procuressent Policy,72517th Street, N.W, Washington, DC 30$c3. Triephome (XI2)395 6g10.

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14. Esective date. De efective date of this PoEey 14ttcr is 30 days frtue the due ofissmance i on the Erst page.

15. Samaa em h m P% 1m d te revkwed three years b tk date dh and egry three years thercaher to ensure accuracy and relevancy. His review must incende a ree-imat- of the threshold ==a==*= in the light of any changes made in the aman purchase i amount prended for in PAR Part 13.

h #

ALLAN V. BURMAN Ad=*=lentor FNsagmate Policy Letter 89-1 146

'~

1. CON t H ACT ID CODE PAGE UF PA4L6 I

, %MENDMENT OF SOLICITATION / MODIFICATION OF CONTRACT 7 l 7 U AMLNOMLNT/ MoueFICAl son No. 6. PROJECT NO. Of c,puenaes J. UFR ET .yv m- t4gE One (11 l.s. HLQUsb4 T ION /FukCHASE REQ. No AED-92-266 ~

6. 665ULO e v 7. ADMINeSTE RLD D V f t/ other then Jtern 6) l l

U. S. Nuclear Regulatory Commission Division of Contracts and Property Management l Washington, DC 20555 .

4. N AML ArdO ADOREin OF CON T R ACTOH f/vo., stree8. county, aiste saa 21P Coset y) 9A. AMLNOMENT OF 50 LICIT ATION No.

TO ALL 0FFER0RS X RS-AED-92-266

98. DA TLD t$k.E ITEat J JJ March 18. 1992 loa. MOOlF 8 CATION OF CON T R ACT/OROCR NO.

$oU. DAT LO fbb.E ATEbf I?l COOL { FACILITY CODE

11. ,THIS ITEM ONLY APPLf ES TO AMENDMENTS OF SOL' CITATIONS The above numtered sohcitation as amended as set forth in item 14. The hour and cate specahed for remiot of Otters is entenc$ed, is not 6s.

tended.

Of twrs must acknowiedge receipt of this amendment prior to the hour and cate specsfied in the solicstation or as amended, by one of the folkrwing methods; I (a) By completing items 8 and 15. and returning I copies of the amendment: Ibl By acknow6adging receipt of this amendment ori cach copy of the offer l submitted, or (c) By scoarate letter or tesegram which includes a reference to the soucitation and amendment numters F ALLURE OF YOUR ACKNOWLEDG-MENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT l

IN AEJECTION OF YOUR oFFE R. If by virtue of this amendment you cesire to change an offer stready submstted.such chanos may be rnade by telegram or letter, provioed eacn teisgram of letter makes reference to the scheitation and this amendment, and is reaived prior to the opening hour and date specif sed.

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12. ACCOUN TING AND APPROPRIAf TON DAT A (Jf reguarves N/A

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS / ORDERS.

IT MODIFIES THE CONTRACT / ORDER NO AS DESCRIBED IN ITEM 14.

VI ^ MS S"o^p*oE GER n"o,';0 0 0 $5@, PURsUAN T T O. ,specify .u rnor ry, Y sE CsANGEs sE T ro R T H tN 4 i EM !s AR E M ADE IN T HE CON-l C 1

8. THE A80VE NUMBE RED CONTR ACT/OR DER 15 MOOf FIED TO REFLECT THE ADMINISTR ATtvE CHANGE.S taasch as changes an pering c//scs, appropetatson date. etc.) SET FORTH IN 4 TEM is. PUR$UANT TO THE AUTHORITY OF F AR a3.lo3tD).

C. THis bOPPLEMENT AL AGREEMEN T in ENT ERED aNTO PUH5U AN T TO AUTHORef V OFi O,01HalH ($peca/y type of modafacetaon ene susnonry; E. IMPORTANT: Contractor is not. O is required to sign this document and return copies to the issuing Office.

l la. OE$CRtPTION OF AMLNOMEN T/MOOiF 4 CAT ION fOrganased by UCF seenon hemssags. enesudang poucitenonicontmet sukeet mattar asehere feasa6at.)

! The purpose of this amendment is to:

1 i 1. replace page 1 of Standard Form (SF) 33, Solicitation Offer and Award; s i

2. add an assumption to Section L.13(d), Assumptions / Estimates for Proposal l Preparation;

3. increase the number of trips to Bethesda, Maryland; and

4. delete the requirement for assistance in a management discipline.

g.,,...e. . .e,..n. .a i.,ms an con nions .t in. .ocu,n.n ...,.nc.. In n. . A o, ioA. .s n...t .. . en.n. . ..,nains unen.n.e. an. in f a ....e 1sv.. N AME AND TITLE OF SIGNER tType or pnnt) 16A. N AME AND TITLE OF CONT RAC TING OF FlCER (Type or pnnt)

Brad Ross, Administrator EloisJ.giggins ._

168. C ON T R AC T O R/OF F E RO R A SC. D A T E $iGN LO 16 8. UN ETA & F AM ICA 16C. DATE SIGNLO da M O A*8

~

t$agnature of person eumfrued t0 asses 4/16/92 aY I -

ISngnat%re of Contrynetlnc Offieert W

'3 3/ h NsN Tsso431ss.aoTo so.:os PreectID DyGSA FORM I

MEVIOUS EDITION UNUSABLE STAND.A.RD 30 IREV. lo F A R f a ft CF R) S 3.2s 3 i

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. RS-AID-92-266 Anenoment No.1 Page 2 of 2 Therefore, the solicitation is amended as follows:

1. Page 1 of Standard Form 33 is hereby deleted and the attached page 1 is substituted in lieu thereof.

2. Section L.13(d), Assumptions / Estimates for Proposal Preparation, page 64, add the following paragraph:

"Althougn two Diagnostic Evaluations may be conducted in parallel or with significant overlap of schedules, it can be assumed for purposes of proposal preparation that they will be conducted sequentially. Therefore, if the same two Contractor experts were offered for each Diagnostic Evaluation, then only two experts would be required to perform six of these Evaluations during the three-year period of the contract. If different experts were offered for each Diagnostic Evaluation, then a total of twelve experts would be required."

3. Section L.13(e), Cost Proposal, page 64, second paragraph is deleted in its entirety and the following is substituted in lieu thereof:

"36 trips to Bethesda, Maryland (12 trips per contract year) for one person, of a two-day duration."

4. Section L.13(f)(1), Technical Staff Qualifications, page 65, eighth line, delete:

"; and (2) engineering licensee management controls, oversight and involvement which are relevant to plant safety performance."

ALL OTHER TERMS AND CONDITIONS REMAIN THE SAME.

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