ML20149D768
| ML20149D768 | |
| Person / Time | |
|---|---|
| Site: | Three Mile Island  |
| Issue date: | 01/15/1988 |
| From: | Chapin D, Thompson R MPR ASSOCIATES, INC., NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM) |
| To: | |
| Shared Package | |
| ML20149D756 | List: |
| References | |
| CON-FIN-D-2072, CON-NRC-04-88-086, CON-NRC-4-88-86 NUDOCS 8802100010 | |
| Download: ML20149D768 (118) | |
Text
{{#Wiki_filter:, j Page 1 e >- AWARD / CONTRACT Expir o ba 0 /88
- 1. THIS CONTRACT IS A RATED ORDER UNDER DPAS (15 CFR 350) l 1. RATING: N/A
- 2. CONTRACT NO. 3. EFFECTIVE DATE
- 4. REQUISITION / PROJECT NO.
NRC-04-8E-086 01/15/88 RES-88-086
- 5. ISSUE 0BY Code: 6. ADMINISTERED BY Code:
U.S. Nuclear Regulatory Commission (If other than Item 5) U.S. Nuclear Regulatory Commission Division of Contracts Division of Contracts (AR-2223) Mail Stop AR-2223 Contract Administration Branch ' Washington, DC 20555 Washington, DC 20555
- 7. NAME AND ADDRESS OF CONTRACTOR 8. DELIVERY MPR Associates, Inc. ( ) FOB ORIGIN 1050 Connecticut Ave., N.W. ( X ) .OTHER Washington, D.C. 20036 (See Section F)
- 9. DISCOUNT FOR PROMPT PAYMENT N/A Duns Code: Facility Code:
- 10. SUBMIT INVOICES (4 copies unless otherwise specified) TO THE ADDRESS SHOWN IN I'EM: 12 6
- 11. SHIP T0/ MARK FOR 12. PAYMENT WILL BE MADE BY Code: U.S. Nuclear Regulatory Commission If applicable, Division of Accounting and Finance see Section D GOV /COM Acounts Section of the Schedule Washington, DC 20555 Code:
- 13. AUTHURITY FOR USING OTHER THAN FULL AND OPEN COMPETITION
( ) 10 U.S.C. 2304(c)( ) (X) 41 U.S.C. 253(c) (1 )
- 14. ACCOUNTING AND APPROPRIATION DATA 31X200 608 601930 02072 $200,000.00 15A. ITEM ISB. SUPPLIES /
NO. 15C. QUANTITY ISD. UNIT 15E. UNIT 15F. AMOUNT SERVICES PRICE Perform work entitled "Test Specimens From the Damaged TMI-2 Reactor Bottom Heac' per Statement of Work herein, as implemented by MPR Associates' Technical Propt., sal dtd 12-23-87 and amendment dtd 3-7-88. 15G. TOTAL AMOUNT OF CONTRACT $200,000.00 APPROVED BY GSA/0IRM 6/85 STANDARD FORM 25 (Rev. 4 85) FAR(48 CFR) 53.214(a) Y #00 Q 000125 NRC~o4.gg_O06 p0p
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+ o PAGE 2 AWARD / CONTRACT
- 16. TABLE OF CONTENTS PART/SECTION DESCRIPTION PART I - THE SCHEDVLE 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 OFFERORS CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE
- 17. (X) CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is required to sign this document and return 3 copies to issuing office.) Cont
- actor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the consideration stated herein. The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award / contract, (b) the solicitation, if any, and (c) such provisions, representations, certifications, and specifications as are attached or incorporated by reference
.herein. (Attachments are listed herein.)
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- 18. () AWARD (Contractor is not required to sign this document.) Your offer on Solicitation Number , including the additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as to the items listed above and on any continuation sheets. This award consummates the contract which consists of the following documents: (a) the Government's solicitation and your offer, and (b) this award / contract. No further contractual document is necessary.
19A. NAME AND TITLE OF SIGNER 20A NAME OF CONTRACTING OFFICER (Type or print) f / Ronald D. Thompson o q Ic s /h ba4W 198. NAME'0F CON 1RACT WR A.twoh3Cc 20B N TED STATES OF AMERICA b uaM - b . WAM M[lAA (hglia'tu%ofpersona'uthorizedtosign) (S da ure of Contrac ing Officer) 19C. DATE SIGNED 200. DATE SIGNE gD j -,py I'\T' ' M EXCEPTION TO STANDARD FORM 26 APPPOVED BY GSA/0IRM 6/85
, PAGE 3 s .
TABLE OF CONTENTS PAGE AWARD / CONTRACT
. . . . . . . . . . . . . . . . . . . . . . . . . . 1 TABLE OF CONTENTS. . . . . . . . . . . . . . . . . . . . . . . . . . 3 SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS . . . . . . . . . . 5 !
8.1 BRIEF DESCRIPTION OF WORK (MAR 1987). . . . . . . . . . . . 5 l B.2 CONSIDERATION AND OBLIGATION--COST PLUS F;.iED FEE , . . . . 5 (MAR 1987) ALTERNATE I (MAR 1987) SECTION C - DESCRIPTION / SPECIFICATION . . . . . . . . . . . . . . . 6
/ WORK STATEMENT C.1 STATEMENT OF WORK (MAR 1987). . . . . . . . . . . . . . . . 6 C.2 T RAV E L ( MA R 1987 ) . . . . . . . . . . . . . . . . . . . . . 8 SECTION D - PACKAGING AND HARKING. . . . . . . . . . . . . . . . . . 9 D.1 PACKAGING AND MARKING (MAR 1987). . . . . . . . . . . . . . 9 SECTION E - INSPECTION AND ACCEPTANCE. . . . . . . . . . . . . . . . 10 E.1 CLAUSES INCORPORATED BY REFERENCE . . . . . . . . . . . . . 10 (FAR 52.252-2) (APR 1984)
SECTION F.1 F - DELIVERIES OR PERFORMANCE. . . . . . . . . . . . . . . . 11 CLAUSES INCORPORATED BY REFERENCE . . . . . . . . . . . . . 11 (FAR 52.252-2) (APR 1984) F. 2 F. 3 PREPARATION OF TECHNICAL REPORTS (MAR 1987) . . . . . . . . 11 TECHNICAL PROGRES! REPORT (MAR 1987) . . . . . . . . . . . 11 F. 4 F. 5 FINANCIAL STATUS REPORT (MAR 1987). . . . . . . . . . . . . 12 F. 6 PLACE OF. DELIVERY--REPORTS (MAR 1987) . . . . . . . . . . . 12 DURATION OF CONTRACT PERIOD (MAR 1987). . . . . . . . . . . 13 SECTION G.1 G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . . 14 G.2 INDIRECT RATES (MAR 1987) . . . . . . . . . . . . . . . . . 14 G.3 PROJECT OFFICER AUTHORITY (MAR 1987). . . . . . . . . . . . 14 G.4 TRAVEL REIMBURSEMENT (MAR 1987) . . . . . . . . . . . . . . 16 G.5 METHOD OF PAYMENT (MAR 1987). . . . . . . . . . . . . . . . 17 G.6 PAYMENT DUE DATE (MAR 1987) . . . . . . . . . . . . . . . . 18 INTEREST ON OVERDUE PAYMENTS (MAR 1987) . . . . . . . . . . 18 SECTION H - SPECIAL CONTRACT REQUIREMENTS. . . . . . . . . . . . . . 20 H.1 H.2 KEY PERSONNEL (MAR 1987) . . . . . . . . . . . . . . . . . . 20 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987). . . . . . . 21 H.3 H.4 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987). . . . . .21 H.5 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987) 21 .. DRAWINGS, DESIGNS, AND SPECIFICATIONS (MAR 1987) . . . . . 21 H.6 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST . . . . . . 22 H7 (OMB CLEARANCE NUMBER 3150-0112) (MAR 1987) GOVERNMENT FURNISHED EQUIPMENT /PROFERTY - NONE PROVIDED 24 .. (MAR 1987) H.8 AFFIRMATION OF CONTRACT COST ESTIMATE . . . . . . . . . . . 24 PART II - CONTRACT CLAUSES. . . . . . . . . . . . . . . . . . . . . 25 SFCTION I - COlTRACT CLAUSES . . . . . . . . , , . . . . . . . . 25 I.1 CLAUSES INCORPORATED BY REFERENCE . . . . . . . . . . . . . 25 _ _ _____-_-__-b
l ' 1 > PAGE 4 , TABLE OF CONTENTS PAGE l -a. (FAR 52.252-2) (APR 1984) I.2 ANTI-KICKBACK PROCEDURES (FAR 52.203-7) , . . . . . . . . . 26 I.3 PAYMENT FOR OVERTIME PREMIUMS . . . . . . . . . . . . . . . 28 (FAR 52.222-2) (APR 1984) PART III - LIST OF DOCUMENTS, EXHIBITS . . . . . . . . . . . . . . . 30 AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS. . . .-. . . . . . . . .'. . . . . . 30 J.1 ATTACHMENTS (MAR 1987).'. . . . . . . . . . . . . . . . . . 30 > 5 I 1 i I l i l
)
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PAGE 5 o - NRC-04-88-086 Section B SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS B.1 BRIEF DESCRIPTION OF WORK (MAR 1987) Test Specimens From the Damaged THI-2 Reactor Bottom Head (End of Clause) 8.2 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE (MAR 1987) ALTERNATE I (MAR 1987)
- a. It is estimated that the total cost to the Government for
' full performance of this contract will be $1,894,764.00, of which the sum of $1,722,513.00 represents the estimated reimbursable costs, and of which $172,251.00 represents the fixed fee. ,
- b. There shall be no adjustment in the amount of the Contractor's fixed fee by reason of differences between any estimate of cost for performance of the work under this contract and the actual cost performance of that work. ,
- c. The amount presently obligated by the Government with '
respect to this contract is $200,000.00.
- d. It is estir.ated that the amount currently allotted will cover performance of work / phases / tasks through March 31, 1988, i
(End of Clause) i I i l l i
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. PAGE 6 NRC-04-88-086 section C SECTION C - DESCRIPTION / SPECIFICATION
/ WORK STATEMENT C.1 STATEMENT OF WORK (MAR 1987) l l
I I.0 Introduction l Metallurgical specimens must be taken from the bottem head of the , TMI-2 reactor vessel in order to establish how close the vessel head was to failing and allowing molten core material into the ; containment. This might have led, in turn, to containment over { pressure and failure, which could lead to release of fission products beyond the reactor containment boundary. For the first five or six years after the THI-2 reactor accident, the prevailing technical viewpoint had been that the THI-2 reactor bottom head had not been threatened, but this view has been changed by the discovery of more than twenty tons of once molten core relocated onto the bottom head. This discovery has important implications for implementation of severe accident' policy, and especially for the development of accident management technology. It is essential to determine the condition of the reactor vessel bottom head as a l result of the event, and to find out what the margin to reactor vessel failure during the ace:ident was. The THI-2 accidsnt research program has been funded by DOE, but this funding ends in FY 1988. DOE will not extend the program scope or funding. Evaluation of the reactor vessel bottom head was not fncluded in original scope because the damage extent noted above was not known. NRC will undertake this evaluation because it would not ! otherwise be accomplished. l The schedule for the work is "very tight" and is inseparably linked to the General Public Utilities' schedule for completion of the ' TMI-2 defueling and cleanup. The research work of taking reactor vessel lower head samples (see below) must be accomplished in a time window from mid-October 1988 to the end of November 1988. During this period it should be possible to take true samples as an incremental activity to GPU's operations, without extending the GPU verking schedule. After November 1998 GPU will prepare to seal off the TMI-2 containment building. 2.0 Objectives The primary objective of this research program is to procure a series of large (tens of cubic centimeters) metallurgical test i specimens from the inner half of the lower head of the TMI-2 pressure vessel in order to characterize the extent of lower head
' PAGE 7 NRC-04-88-086 Section C damage, the nature of damage, and the damage mechanisms. Regions which must be sampled include the head liner, the instrument penetrations and the penetration weldments. Samples taken must be suitable for micrographic examination to determine, for example, local peak temperatures, chemical and physical attack and creep.
A description of the samples desired by NRC is set forth in Attachment A to this Statement of Work. 3.0 Project Tasks The contractor shall furnish all personnel, materials, equipment, and services necessary to perform the technical tasks listed below as the prime contractor or through subcontractors. Each major task listed below is further defined in the contractor's Technical Proposal dated December 23, 1987, and revision dated January.7, 1988 which are incorporated herein by reference. PROJECT TASKS: Develop mockup demonstration and on-vessel hardware designs and specifications and procure hardware and software. Develop operating procedures and train staff for mockup demonstration and on-vessel metallurgical sampling of damaged TMI-2 reactor bottom head. perform mockup metallurgical sample removal, gain NRC concurrence for proposed on-reactor metallurgical sampling operation and preferred lower head metallurgical samples, and co-ordinate physical removal of designated samples from the THI-2 reactor lower head. Encapsulate metallurgical samples from damaged TMI-2 reactor lower head and direct their loading into a shipping cask and arrange for shipment of samples from the site to destinations specified by the NRC Project Officer.
. Direct the dismantlement and disposal of mockup and on-reactor hardware and supporting equipment.
4.0 Reporting Requirements Prepare monthly progress reports as specified in Section F of the contract herein. Prepare summary draft reports and Final Report as specified in Attachment B hereto which is excerpted from the contractor's Technical Proposal dated December 23, 1987 as amended January 7, 1988. All reports specified above shall be prepared and delivered in accordance with Attachment B. 5.0 Publication L
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. . NRC-04-88-086 Section C o.
The NRC encourages the dissemination of research results but the NRC Project Officer will review all technical papers and journal articles (which may discuss research activities of the NRC sponsored nuclear severe accident research program) prior to presentation and submission for publications. 6.0 Travel Travel to NRC Headquarters, to other NRC contractors, and to industry is contemplated and authorized to the extent required for the performance of the tasks. ~ (End of Clause) C.2 TRAVEL (MAR 1987)
- a. All domestic travel requires the prior approval of the Project Officer,
- b. All foreign travel must be approved in advance by the NRC on NRC Form 445 and shall be in compliance with 52.247-63 Preference For U.S. Flag Air Carriers.
(End of Clause) 4 l l I i l
PAGE 8a s ATTACHMENT A DESCRIPTION OF WANTED SAMPLES Samples from Lower Head ' Multiple positions Some to be Conditionally pre-designated
. Penetrations
. Non penetration regions
- a. Worst stress
- b. Worst erosion c .- Highest temperature ,
Zones - hottest near ce'nter hottest near periphery covered by non-fuel . severe erosion (covered or uncovered) 1 l l I i i /
)
E- .. .- _- - . _ . - . , _ . . , _ , _ _ - _ , , _ . , , , , , . , , _ . _ , . . . . _ . . _ _ _ _ _ _ _ _ _ , , _ , _ , .
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.. l ATTACHMENT B TABLE 1 TIME SCHEDULE FOR TASK AND PROJECT PERFORMANCE PROJECT REFERENCE DESCRIPTION OF TASK ESTIMATED J PHASE SUBTASK SCHEDULE O Phase I 1.1 Develop detailed operating Week 1-3 sequences 1.2 Develop tool design concepts Week 1-5 l Phase I I Develop- 1.3 Prepare tool specifications, Week 5-8 l ment mock-ups l
1.4 Determine cost and schedules Week 5-8 for mock-up demonstrations i 1.5 Re-assess in-vessel conditions Week 8-9 , 1.6 Deliver draft Phase 1 report Week 10 for NRC review Estimated Phase 1 Completion Date Week 10 2.1 Supervise mock-up demonstra- Week 10-30 tion work 2.2 Develop hardware and software Week 15-20 and demonstrate vessel surface preparation task, i Phase 2 2.3 Develop hardware and software Week 10-25 i Mock-up and demonstrate vessel condi- ' Tests tioning tasks (in-core rollir.g/
- sealing, l i 2.4 Develop hardware and software Week 10-30 l and demonstrate vessel sample l cutting operations (MDM).
- 2.5 Re-assess in-vessel conditions. Week 20 !
2.6 Prepare final tool specifica- Week 21-25 ! cations for in vessel work, s
- 2.7 Deliver draft Phase 2 report Week 25-30 for NRC review.
L Estimated Phase 2 Completion Date Week 30 l
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PAGE 8e PROJECT REFERENCE DESCRIPTION OF TASK PHASE ESTIMATEDy SUBTASK SCHEDULE 3.1 Supervise and provide technical Week 41-45 support for in-vessel operations. 3.2 Procure hardware and software Week 30-45 and perform in-vessel surface preparation tasks. Phase 3 3.3 orocure hardware and software Week 30-45 In-vessel and perform in-vessel condi-Work tioning tasks (in-core sealing / rolling. 3.4 Procure hardware and software Week 30-45 and perform in-vessel sample cutting operations. 3.5 Arrange with GPU to perform Week 35-45 miscellaneous support tasks. 3.6 Deliver draft Phase 3 report Week 46 for NRC review. Estimated Phase 3 Completion'Date Week 46 i 4.1 Encapsulate and load samples Week 45-46 in shipping cask, i Phase 4 4.2 Arrange for shipping cask and Week 46-47 Packing / transportation to designated Shipping sites. Samples 4.3 Direct disassembly of hardware. Week 47-49 4.4 Deliver final cumulative report Week 49-53 of all phases of project. ' Estimated Phase 4 Completion Date Week 53 1 Notes:
- 1. Completion schedules based on weeks from initiation of project.
1 2. Additional in-vessel hardware and software scheduled to be ready and installed by Week No. 41, i i
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o PAGE 9 NRC-04-88-086 Section D SECTION D - PACKAGING AND MARKING i D.1 PACKAGING AND MARKING (MAR 1987) , l The Contractor shall package material for shipment to the NRC ' in such a manner that will insure acceptance by common carrier and safe delivery at destination. Containers and closures shall comply 1 with the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or regulations of cther 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 l I i 4 I j t 1
._ e ~- ,_ - - - ,- - - ,- , .
,-- -- - - - g- ,
. PAGE 10 . .- NRC-04-88-086 Section E , ~'
SECTION E - INSPECTION AND ACCEPTANCE ! E.1 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (APR 1984) This contract incorporates the following clauses by reference. These clauses have the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. 1 I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES l CLAUSE NUMBER DATE TITLE 52.246-5 APR 1984 INSPECTION OF SERVICES-- COST-REIMBURSEMENT l i
PAGE 11 NRC-04-88-086 Section F l SECTION F - DELIVERIES OR PERFORMANCE l l F.1 C uVSES INCORPORATED SY. REFERENCE (FAR52.252-2)(APR1984) i i This contract incorporates the following clauses by reference. i These clauses have 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 REGUMTION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE 52.212-13 APR 1984 STOP-WORK OR0ER ALTERNATE I (APR 1984) F.2 PREPARATION OF TECHNICAL REPORTS (MAR 1987) All technical reports required by Section C and all Technical Progress Reports required by Section F are to be prepared in accordance with the attached NRC Manual Chapter 3202. NRC Manual . Chapter 3202 is not applicable to the Spending Plan and the l Financial Status Report (See Section J for List of Attachments). (End of Clause) F.3 TECHNICAL PROGRESS REPORT (MAR 1987) 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 j period of performance, and the period covered by the report. Each 1 report shall include the following:
- 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 l
recommendations for resolution; (if the recommended resolution involves a contract modification, e.g., change in work requirements, level of effort (cost) or schedule delay, the Contractor shall submit a separate letter to the Contracting Officer indentifying the , requiredchangeandestimatedcostimpact). l l i w =
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, ,. NRC-04-88-086 Section F
- c. A summary of progress to date; and
- d. Plans for the next reporting period.
(End of Clause) F.4 FINANCIAL STATUS REPORT (HAR 1987) The Contractor shall provide a monthly Financial Status 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,
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project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall include the following for each discrete task:
- a. Provide total estimated cost (value) of the project as reflected in the contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows:
- 1) Total Estimated Contract Amount.
- 2) Total Funds Obligated To Date.
- 3) Total Costs Incurred This Reporting Period.
- 4) Total Costs Incurred To Date.
- 5) Balance of Obligations Remaining.
- 6) Balance of Funds Required To Complete Contract.
- b. Detail of all direct and indirect costs incurred during -
the reporting period for each task. (EndofClause) F.5 PLACE OF DELIVERY--REPORTS (MAR 1987) The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor, to:
- a. Project Officer (3 copies)
U.S. Nuclear Regulatory Commission Contract Number: NRC-04-88-085 Office of Nuclear Regulatory Research Division of Reactor Accident Analysis Mail Stop: NL-007 - Washington, D.C. 20555
- b. Contracting Officer (1 copy)
U.S. Nuclear Regulatory Commission Contract Number: NRC-04-88-086 Division of Contracts ~ . Contract Adminirtration Branch
. PAGE 13 NRC-04-88-086 Section F 4
Mail Stop: AR-2223 Washington, D.C. 20555 ! , (End of Clause) F.6 DURATION OF CONTRACT PERIOD (MAR 1987) This contract shall commence on January 15, 1988 and will expire on June 15, 1989. (End of Clause) I I 5 l 6 3 ) l I l 1 1 i f l f l
- PAGE 14 NRC-04-88-086 Section G SECTION G - CONTRACT ADMINISTRATION DATA i
G.1 INDIRECT RATES (MAR 1987)
- 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: CATEGORY RATE (%) COST BASE APPLICABLE PERIOD l t Overhead 78.78 Direct Labor
, CY 1988 & 89 Fringe Benefits N/A G&A N/A
)
- b. The Contracting Officer may adjust the above rates as appropriate during the term of the contract upon acceptance of any {
revisions proposed by the Contractor. It is the Contractor's i j 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) i G.2 PROJECTOFFICERAUTHORITY(MAR 1987) j
- a. The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for this contract is.
Name: Robert Van Houten Address: U.S. Nuclear Regulatory Commission Office of Nuclear Regulatory Westarch/DRA Washington, D.C. 20555 Telephone Number: 301-492-3936
- 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.
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PAGE 15 NRC-04-88-086 Section G I
- 2) Providing advice and guidance to the Contractor in the preparation of drawings, specifications or technical portions of the work description, l
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- 3) Review and, where required by the contract, approval i of technical reports, drawings, specifications and technical
. information to be delivered by the Contractor to the Government
- under the contract.
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- c. Technical direction must be within the general statement of work stated in the contract. The Project Officer does not have the .
i authority to and may not issue any technical direction which: I j 1) Constitutes an assignment of additional work outside . l the general scope of the contract. Constitutes a change as defined in the "Changes" 2) 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, conctitions or specifications of the contract.
- 5) Terminates the contract or settles any claim or -
; dispute arising under the contract, or is' sue any unilateral j directive whatever.
l d. All technical directions shall be issued in writing by the Project Officer or shall be confirmed by such person in writing j 1
! within ten (10) working days after verbal issuance. A copy of said written direction shall be submitted to the Contracting Officer.
I j e. The Contractor shall proceed promptly with the performance j of technical directions duly issued by the Project Officer in the manner prescribed by this clause and within such person's authority 1 under the provisions of this clause. I
- f. If, in the opinion of the Contractor, any instruction or i
direction issued by the Project Officer is within one of the categories as defined in e above, the Contractor shall not proceed j but shall notify the Contracting Officer in writing within five (5) j working days after the receipt of any such instruction or direction { and shall request the Contracting Officer to modify the contract
; accordingly. Upon receiving such notification from the Contractor, the Antracting Officer shall issue an appropriate contract modification or advise the Contractor in writing that, in the l Contracting Officer's opinion, the technical direction is within the scope of this article and
- does not constitute a change under the Changes Clause. ,
- , g. Any unauthorized commitment or direction issued by the 1
1 1 J ____4. . - - - - . _ _ . _ _ _ _ _ _ _ . _ _ _ _ _ . _ . _ _ . _ _ _ _ . - _ _
, PAGE 16 , ,. NRC-04-88-086 Section G Project Officer may result in an unnecessary delay in the Contractor's performance, and may even result in the Contractor expending funds for unallowable costs under the contract.
- h. A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken with respect thereto shall be subject to 52.233 Otsputes.
- 1. In addition to providing technical direction as defined above, the Project Officer is responsible for:
! 1) Monitoring the Contractor's technical progress, L including surveillance and assessment of performance, and i recommending to the Contracting Officer changes in requirements.
- 2) Assisting the Contractor in the resolution of j technical problems encountered during performance.
l 3) Reviewing all costs requested for reimbursement by i Contractor and submitting to the Contracting Officer recommendations { for approval, disapproval, or suspension of payment for supplies and
- services required under this contract.
J (EndofClause) l l G.3 TRAVEL REIMBURSEMENT (MAR 1987)
- a. Total expenditure for domestic travel shall not exceed 4
- $50,000 without the prior approval M the Contracting Officer.
1
- b. The Contractor will be reimbursed for reasonable domestic j travel costs incurred directly and specifically in the performance 1 . of this contract. The cost limitations for travel costs are i determined by the Federal Travel Regulations that are in effect on i the date of the trip. These Regulations specify the daily nximum j per diem rates for specific localities within the tonterminous i United States (CONUS), the standard CONUS rate, the allowance for j meals and incidental expenses (M&IE), the cost of travel by 1 privately owned automobile, and the items which require receipts.
The Contractor can obtain the Regulattens from the Superintendent of Documents, Government Printing Office, Washington, DC 20402.
- c. When the Government changes the Federal Travel Regulations, it is the responsibility of the Contractor to notify
! the Contracting Officer in accordance with the Limitation of Cost d clause of this contract if the Contractor will be unable to make all of the approved trips and remain within the cost and fee limitations
- of this contrat.t.
f d. The ratws for foreign travel are established by the U.S. Department of State and are listed in a publication entitled i "Maximus Travel Per Dies Allowances For Foreign Areas". Copies of j this publication may be obtained from U.S. Government Printing Office, Washington, D.C. 20402. 1 1
PAGE 17
,' NRC-04-88-086 Section G (EndofClause)
G.4 METHOD OF PAYMENT (MAR 1987)
- a. Payment under this contract will be made by wire transfer through the Treasury Financial Communications Systen for each individual payment in excess of $25,000 and by Treasury check for each individual payment of $25,000 or less,
- b. In the event that the Contractor's financ al instity' cion
, has access to the Federal Reserve Communications System, the Contractor shall forward the following information in writing to the l Contracting Officer within seven days after the effective date of the contract.
- 1) Name and address of organization.
- 2) Contact person and telephone number.
- 3) Name and address of financial inscitution. !
l
- 4) Contractor's financial institution's 9-digit ABA l identifying number for routing transfer of funds. I l
- 5) Telegraphic abbreviation of Contractor's financial institution. {
- 6) Account number at Contractor's financial institution.
- 7) Signature and title of person supplying this information,
- c. In the event the Contractor's financial institution does not have access to the Federal Reserve Communication Syst9m, the Contractor shall forward the following information with 7egard to a correspondent or alternate financial institution. The information
! shall be in writing and submitted to the Contracting Officer within q seven days after the effective date of the contract. 4
- 1) Name and address of organization. !
- 2) Contact person and telephone number. i l
- 3) Name and address of financial institution, j
- 4) Telegraphic abbreviation of Contractor's financial institution.
- 5) Account number at Contractor's financial institution. ,
- 6) Name and address of the correspondent finar.cial i institution that has access to the Federal Reserve Communications l System.
l 7) Correspondent financial institution 9-digit ABA l
. 1
- PAGE 18 -!
NRC-04-88-086 Section G 1 I identifying number for routing transfer of funds. { R) Telegraphic' abbreviation of correspondent financial institutir,n.
]
- 9) Signature and title of person supplying this information. I
- d. Any changes to the information furnished under this clause !
shall be furnished to the Contracting Officer in writing. It is the i Contractor's responsibility to furnish these changes promptly to I avoid payments to erroneous bank accounts. . . (EndofClause) ) G.5 PAYMENT DUE DATE (MAR 1987) 1 i
- a. Progress payments, if authorized under this contract, will be due thirty (30) calendar days after receipt of a proper invoice l in accordance with the attached "Billing Instructionr* (See Section J for List of Attachments). Such payments are solely for finar,cing j
purposes and shall not accrue interest under the Prompt Payment Act. J
- b. Payments subject to the Prompt Payment Act under this :
contract will be due 30 calendar days after the later of: j<
- 1. The date of actual receipt of 2 proper invoice is accordance with the attached "Billing Instructions", or
- 2. The date the final deliver:ble products / services r.re accepted by the Government, or l
- 3. The date the contract expires,
- c. For the purpose of detere,ining the due date for payment and for no other purpose, acceptance will be deemed to occur 30 calendar days after receipt of the final deliverable product or completion of performance of all services in accordance with the terms of the contract,
- d. If the final produr.t/ service is rejected for failure to {
conform to the technical rrquirements of the contract, the provisions in paragraph c of this clause will apply to the new l t delivery of the final preduct/ service. (End of Clause) G.6 INTEREST ON OVERDUE PAYMENTS (MAR 1987)
- a. The Prompt Payment Act, Public Law 97-177 (96 STAT. 85, 31
' USC 1801) is applicable to payment of the expiration invoice under this contract and requires the payment of interest to Contractors on overdue payments of the expiration invoice or iraproperly taken discounts. l _,-v--,,-en--vn, ~s v
PAGE 19
.I NRC-04-88-086 Section G f
I
- b. Determinations of interest du0 will be made in accordance with the provisions of the Prompt Paycent Act and Office of Management and Budget Circular A-125, Vol. 47 Federal Register 37321, August 25, 1982. Among oth'er considerations, OMB Circular A-125 provides that: ,
- 1) Interest penaltPes are not required when payment is delayed because of a disagr20 ment over the amount of payment or other issues concerning compliance with the terms of the contract.
- 2) Whenever a proper invoice is paid after the due date plus 15 days, intere'3t will be included with the payment at the ,
interest rate applicable on the payment date. Interest will be . computed from the day after the due date through the payment date.
- c. For purposes of this clause, sn expiration invoice is defined as e claim submitted for costs incurred for performance through tbs expiration date of a Cost Type contract.
(End ef Clause) l l i i t a 4 ) l 1 l l l 1
I PAGE 20 f NRC-04-88-086 Section H
, l l
SECTIO'N H - SPECIAL CONTRACT REQUIREMENTS i H.1 KEY PERSONNEL (MAR 1987) a ,. The following individuals are considered to be essential to the successful perft.rmance of the work hereunder. i Noman Cole Sterling Weems Brian Lipford . t Tom Friderichs 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 nroposal 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. .
i
- c. All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the !
i circumstances necessitating the proposed substitutions. They contain a complete resume for the proposed substitute, and other infomation requested by the Contracting Officer to approve or disapprove the proposed substitution. The Contracting Officer will , evaluate such requests and promptly actify the Contractor of his/her approval or disapproval thereof in writing,
- d. If the Contracting Officer detemines that:
- 1) Suitable and timely replacement of key personnel who have been reassigned, teminated or itave otherwise become unavailable for the contract work is not reasonably forthcoming; or i
- 2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract i
or the service order, the contract may be teminated by the i Contracting Officer for default or for the convenience of the
! Government, as appropriate. If the Contracting Officer finds the i
i Contractor at fault for the condition, the contract prt M or fixed fee may be equitably adjusted downward to compensate the Government d
- 1 PAGE 21 NRC-04-88-086 Section H ,
for any resuitant delay, loss or damage, i (End of Clause) H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987) , The Contractor shall take all reasonable precautions in the ' performance of the work under this contract to protect the health , and safety of employees and of members of the public and to minimize l danger from all hazards to life and property and shall comply with r all applicable health, safety, and fire protection regulations and requirements (including reporting requirements) of the Comission and the Department of Labor. In the event that the Contractor fails i to comply with said regulations or requirements, the Contracting 1 Officer, may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the discretion of the Contracting Officer. The Contractor shall make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage. (End of Clause) H.3 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987) The Contractor shall comply with the attached re,luirement of NRC Manual Chapter 3202 and 3206 (See Section J for List of Attachments) regarding publications or any information, oral or written, concerning the work performed under this contract. Failure to comply with this clause shall be grounds for termination of this contract. (EndofClause) H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987) 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 the Contractor in the performance of this contract, shall be used f.,nly in connection with the work under this contract. (End of Clause) H.S DRAWINGS, DESIGNS, AND SPECIFICATIONS (MAR 1987) All drawings, sketches, designs, design data, specifications, notebooks, technical and scientific data, and all photographs, negatives, reports, findings, recomendations, data and memoranda of every description relating thereto, as well as all copies of the foregoing relating to the work or any part thereto, shall be subject to inspection by the Comission at all reasonable times (for which inspection the proper facilities shall be afforded the Comission by the Contractor and its subcontractors), shall be the property of the Covernment and may be used by the Government for any purpose
. PAGE 22 NRC-04-88-Os6 Section H whatsoever without any claim on the part of the Contractor and its subcontractors and vendors for additional compensation and shall, subject to the right of the Contractor to re?.ain a copy of said ' ,
material for its own use, be delivered to the Government, or otherwise disposed of by the Contract'or either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or termination of this contract. The Contractor's right of retention and use shall be subject to the security, patent, and ; use of information provisions, if any, of this contract.
.(End of Clause)
H.S CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (OMB CLEARANCE NUMBER 3150-0112) (MAR 1987)
- a. Purpose. The primary purpose of this clause is to aid in '
ensuring that the Contractor:
- 1) Is not placed on a conflicting role because of current '
I or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and l I
- 2) Does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.
- b. Scope. The restrictions described herein shall apply to !
performance or participation by the Contractor as defined in 41 CFR l 20-1.5402(f) in the activities covered by this clause. 3 c. Work for Others. Notwithstanding any other provision of this contract, during the term of this contract, the Contractor j t agrees to forgo entering into consulting or other contractual l arrangements with any firm or organization, the result of which may I ! give rise to conflict of interest with respect to the work being i performed under this contract. The Contractor shall ensure that all employees who are employed full time under this contract and i employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the Contractor believes l with respect to itself or any*such employee that any proposed consultent or other contractual arrangement with any firm or organizatinn may involve a potential confitet of interest, the 1 Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement. ! d. Disclosure af ter award. 1 I 1) The Contractor warrants that to the best of its knowledge and belief and except as otherwise set fsrth in this contract, it does not have any organizational conflicts of interest, i as defined in 41 CFR 20-1.5402(a), l l
- 2) The Contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the a
f f
PAGE 23 H NRC J4-88-086 Section H l Contracting Officer. This statement shall include a description of i the action which the Contractor has taken or proposes to take to avoid or mitigate such confitets. The NRC may, however, terminate the contract for convenience if it deems such termination to be in : the best interest of the Government. l l
- e. Access to and use of information. '
- 1) If the Contractor in the performance of this contract I obtains access to information, sur:h as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L. 93-579), or data which has not been released to the public, the Contractor agress not to:
(i) Use such information for any private purpose until the information has been released to the public; (11) Compete for work for the Commission based on such information for a period of six (6) months after either the completion of this contract or the release of such information to 1 the public, whichever is first; ' (iii) Submit an unsolicited proposal to the i Government based on such information until one year after the ! release of such information to the public, or ! (iv) Release the information without prior written approval by the Contracting Officer unless such information has previously been released to the public by the NRC. ' 1
- 2) In addition, the Contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L. 93-579), or other confidential or privileged technical, business, or financial information under ,
this contract, the Contractor shall treat such information in ' accordance with restrictions placed on use of the information.
- 3) The Cont: actor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met,
- f. Subcontracts. Except as provided in 41 CFR 20-1.5402(h),
the Contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms "contract," "Contractor," and "Contracting Officer," shall be appropriately modified to i preserve the Government's rights. I
- g. Remedies. For breach of any of the above prescriptions or !
for intentional nondisclosure or misrepresentation of any relevant i interest required to be disclosed concerning this contract or fer such erroneous representations as necessarily imply bad faith, the Government may terminate the contract for default, disqualify the j Contractor from subsequent contractual efforts, and pursue other j remedies as may be permitted by law or this contract. I l
\
PAf1E 24
. NRC-04-88-086 Section H 5
- h. Waiver. A request for waiver under this clause shall be directed in writing through the Contracting Officer to the Executive 4 Director for Operations (tDO) in accordance with the procedures i i
outlined in 20-1.5411. i
- (EndofClause) l P
1 H.7 GOVERNMENT FURNISHED EQUIPPENT/ PROPERTY - NONE PROVIDED ) (MAR 1987) I l The Government will not provide any equipment / property, ) l notwithstanding any provisions of the specification (s) to the . contrary. l I (End of Clause) l H.8 AFFIRMATION OF CONTRACT COST ESTIMATE
- i l In the initial performance of the contract effort, the contractor
! will be secting with various subcontractors and entering into i agreements with these organizations to perform work under this contract. Better defined cost estimates will be available to the prime contractor, MPR Associates, Inc., based on the agreements it J s has reached with the subcontractors it has selected. Using this )
i more current information, the contractor shall submit to the ! j Contracting Officer, with a copy to the Project Officer, a letter l which will either reaffint or reviu the cost plus fixed fee amount ' j of this contract. This letter is due to the NRC within 60 days after the vffective date of the contract. Based on this letter, the , 3 NRC may enter into a supplemental agreement with the contractor to ! reduce the amount of the contract, change the scope of the contract, 1 1 or increase the amount of the contract, based on NRC acceptance of I selected areas of cost increase. If the NRC agrees that there is no I i significant change in the cost estimate to perform this work, the i contract amount shall remain unchanged. This clause does not j preclude additional modifications to the contract after this letter i notification, such as those arising from the Changes clause (FAR 52.243-2) or the Limitation of Funds (FAR 52.232-22) or Liettation 4 of Cost (FAR 52.232-20) clauses under this contract. I i l I l t i i l J ! J
PAGE 25
' NRC-04-88-ogg Section I
) . PART II - CONTRACT CLAUSES SECTION I - CONTRACT CLAUSES I.1 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (APR 1984) This contract' incorporates the following clauses by reference. These clauses have the same force and effect as if they were given in full text. Upon request, the Contracting Officer will nake their full text available. I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS 52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 1984 COVENANT AGAINST CONTINGENT FEES 52.203-6 JUL 1985 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT 52.215-1 APR 1984 EXANINATION OF RECORDS BY COMPTROLLER GENERAL 52.215-2 APR 1984 AUDIT -- NEGOTIATION 52.215-22 APF 1986 PRICE REDUCTION FOR DM7. TIVE COST OP.
"'dCING DATA 52.215-24 APR 1966 SUBCONTRACTOR COST OR PRICING DATA 52.215-26 JUL 1986 INTEGRITY OF UNIT PRICES ;
ALTERNATE I (JUN 1985) l 52.215-31 APR 1984 WAIVER OF FACILITIES CAPITAL COST OF MONEY l 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.216-7 APR 1984 ALLOWABLE COST AND PAYMENT 52.216-8 APR 1984 FIXED FEE l 52.219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CCNCERNS
PAGE 26
-' NRC-04-88-086 Sec?. ion I 1
52.219-13 AUG 1986 UTILIZATION OF WOMEN-OWNED SMALL BUSINESSES l 52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS 52.222-3 APR 1984 CONVICT LABOR l 52.222-26 APR 1984 EQUAL OPPORTUNITY 52.222-28 APR 1984 EQUAL OPPORTUNITY PREAWARD CLEARANCE OF SUBCONTRACTS i 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL I DISABLED AND VIETNAM ERA VETERANS i 52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 52.223-2 APR 1984 CLEAN AIR AND WATER 52.227-1 APR 1984 AUTHORIZATION AND CONSENT 52.227-2 APR 1984 NOTICE AND ASSISTANCE : REGARDING PATENT AND . COPYRIGHT INFRINGEMENT 52.227-3 APR 1984 PATENT INDEMNITY 52.228-7 APR 1984 INSURANCE -- LIABILITY TO THIRD PERSONS 52.230-3 AUG 1986 COST ACCOUNTING STANDARDS 52.230-4 APR 1984 ADMINISTRATION OF COST ACCOUNTING STANDARDS 52.232-17 APR 1984 INTEREST 52.232-22 APR 1984 LIMITATION OF FUNDS l 52.232-23 JAN 1986 ASSIGNMENT OF CLAIMS l 52.233-1 APR 1984 DISPUTES l 52.233-3 JUN 1985 PROTEST AFTER AWARD j ALTERNATE I (JUN 1985) 52.242-1 APR 1984 NOTICE OF INTENT TO ] DISALLOW COSTS j 52.243-2 APR 1984 CHANGES -- COST-REIMBURSEMENT t 52.244-2 ALTERNATE I (APR 1984) JUL 1985 SUBCONTRACTS UNDER COST-REIMBURSEMENT
)
i AND LETTER CONTRACTS . ,
- 52. v APR 1984 COMPETITI N IN SUBCONTRACTING
- 52. N -e MAY 1986 TERMINATION (C0ST-REIMBURSEMENT) 52.249-14 APR 1984 EXCUSABLE DELAYS 52.250-1 APR 1984 INDEMNIFICATION UNDER PUBLIC LAW 85-804 ALTERNATE I (APR 1984) 52.251-1 APR 1984 GOVERNMENT SUPPLY SOURCES I.2 ANTI-KICKBACK PROCEDURES (FAR 52.203-7)
(a) Definitions. "Kickback," as used in this clause, means any money, fee, commission, credit, gift, gratuity, thing of value, or compensation of any kind which is provided, directly or indirectly, to any prime Contractor, prime Contractor employee, subcontractor, or subcontractor empicyee for the purpose of improperly obtaining or resarding favorable treatment in connection with a prime contract or in connection with a subcontract relating to a prime contract.
"Person," as used in this clause, means a corporation,
PAGE 27 NRC-04-88-086 section I partnership, business association of any kind, trust, joint-stock company, or individual. i "Prime contract," as used in this clause, means a contract or i contractual action entered into by the United States for the purposes of obtaining supplies, materials, equipment, or services of any kind.
"Prime Contractor employee," as used in this clause, means any officer, partner, employee, or agent of a prime Contractor.
"Subcontract," as used in this clause, means a contract or contractual action entered into by a prime Contractor or subcontractor for the purpose of obtaining supplies, materials, equipment, or services of any kind under a prime contract.
"Subcontractor," as used in this clause, (1) means any person, other than the prime Contractor, who offers to furnish or furnishes any supplies, materials, equipment, or services of any kind under a prime contract or subcontract entered into in connection with any such prime contract, and (2) includes any per.sc,n who offers to furnish or furnishes supplies to the prime Contractor or a higher tier su.bcontractor.
"Subcontractor employee," as used in this clause, means any officer, partner, employee, or agent of a subcontractor.
lb) The Anti-kickback Act of 1986 (41 U.S.C. 51-58) (the Act), prohibits any person from-- (1) Providing or attempting to provide or offering to provide any kickback; or (2) Soliciting, accepting, or attempting to accept any kickback; or (3) Including, directly or indirectly the amount of any kickback in the contract price charged by the prim.e Contractor to the United States or in the contract price charged by a subcontractor to a prime Contractor or a higher tier subcontractor. ' (c)(1) The Contractor shall have in place and follow reasonable procedures designed to prevent and detect possible violations i described in paragraph (b) of this clause in its own operations and ' direct business relationships. (2) When the Contractor has reasonable grounds to believe that a violation described in paragraph (b) of this clause may have occurred, the Contractor shall promptly report in writing the i possible violation. Such reports shall be made to the inspector i general of the contracting agency, the head of the contracting l agency if the agency does not have an inspector general, or the ' Department of Justice. l (3) The Contractor shall cooperate fully with any Federal 1 1 I
4 PAGE 28 l l NRC-04-88-086 Section I
,, l l '
l agency investigating a possible violation described in paragraph (b) l of this clause. 1 (4) Regardless of the contract tier at which a kickback was provided, accepted or charged under the contract in violation of paragraph (b) of this clause, the Contracting Officer may-- (i) Offset the amount of the kickback againist any monies owed l by the United States under this contract and/or (ii) direct that the ; Contractor withhold from sums owed the subcontractor, the amount of I kickback. The Contracting Officer may order that monies withheld under subdivision (c)(4)(ti) of this clause be paid over to the ) Government unless the Government has already offset those monies i under subdivision (c)(4)(1) of this clause. In the latter case, the contractor shall notify the Contracting Officer when monies are witheld. (5) The Contractor agrees to incorporate the substance of this clause, including this subparagraph (c)(5), in all subcontracts under this contract. l (End of Clause) I.3 PAYMENT FOR OVERTIME PREMIUMS (FAR 52.222-2) (APR 1984) (a).The use of overtime is authorized under this contract if the overtime premium cost does not exceed $0. In addition to this dollar ceiling, overtime is pere';ted only for work-- (1) Necessary to cope with ee,crgencies such as those resulting from accidents, natural disasters, breakdowns of production i equipment, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those perfor' 1 ties in connection with administration, protection, transportat maintenance, standby plant protection, operation of utilities, or accounting; , j (3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and operations in flight or afloat that are continuous in M ture and cannot reasonably be interrupted or completed otherwise; or (4) That will result in lower overall costs to the Government. (b) Any request for estimated overtime premiums that exceeds the amount specified above shall include all estimated overtime for contract completion and shall-- (1) Identify the work unit; e.g., department or section in which the requested overtime will be used, together with present workload, staffing, and other data of the affected unit sufficient to permit
, PAGE 2g * ' NRC-04-88-086 Section I the Contracting Officer to evaluate the necessity for the overtime; (2) Demonstrate the effect that denial of the request will have on the contract delivery or performance schedule; (3) Identify the extent to which approval of overtime would affect the performance or payments in connection with other Government contracts, together with identification of each affected contract; and (4) Provide reasons why the required work cannot be performed by using multishift operations or by employing additional personnel.
(End of Clause) i l 1
PAGE 30 NRC-04-88-086 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 NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) 2 Billing Instructions 3 NRC Manual Chapter 3202
- 4 i y, ,
g , l ATTACHMENTet' l I' j PART 20-1 -- GENERAL j Subpart 20-1.54--Contractor Organizational Conflicts of Interest Sec. ' 'j 20-1.5401 Scope and policy. 20-1.5402 Definitions.
/ '20-1.5403 Criteria for recognizing contractor organizational i son'flicts of interest.
Representation.
.]' '.s- ;
20-1.5404 20-1.5405 Contract clauses. 20-1.5405-1 General contract clause. Ii 20-1.5405-2 Special contract provisions.
., l 20-1.5406 Evaluation, findings, and contract award.
i- ' 20-1.5407 Conflicts identified after award.
? 20-1.5408 (Reserved) i~ 20-1.5409 (Reserved) 20-1.5410 Subcontractors. '[. 20-1.5411 Waiyer.
- l. 20-1.5412 Remedies.
- AUTHORITY: Sec. 8, Pub. L. 95-601, adriing Sec. 170A to Pub. L.
83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 520-1.5401 Scope and Policy --
- j. (NRC)(a) It is the policy of the U.S. Nuclear Regulatory Comissionto avoi
/j . ; of interest. The NRC achieves this objective by requiring all prospective T' contractors to submit infonnation describing relationships, if any, with p 1 organizations or persons (including those regulated by NRC) which may
.l give rise to actual or potential conflicts of interest in the event of 1 contract award.
I
.. (b) Contractor conflict of interest detenninations cannot be made
! automatically or routinely; the application of sound judgment on virtually 9' a case-by-case basis is necessary if the policy is to be applied so as
- . 3 to satisfy the overall public interest. It is not possible to prescribe
.e - in advance a specific method or set of criteria which would serve to j : .' identify and resolve all of'the contractor conflict of interest situations 3! which might arise; however, examples are provided in these regulations )
3 to guide application of the policy. NRC contracting and program officials l q! must~be alert to other situations which may warrant application of this 1j: policy guidance. The ultimate test is: Hight the contractor, if awarded the contract, be placed in a position where its judgment may be biased, T, y<.j-~ or where it may have an unfair competitive advantage? l - (c) The conflict of ~ interest rule contained in this subpart applies
.. tor contractors and offerors only. Individuals or firms who have other i
!! 'relat'ionships with NRC (e.g., parties to a licensing proceeding) are not ;
.::1 covered by this regulation. This rule does not apply to the acquisition j l7.j-- of consulting services through the personnel appointment process, NRC J
] .,
n _.:.._... *
.). .
f.
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. . - , . . . - --, _ , . . , -_ _ n,_ . , . _ . , . - , , . , , -.
. x .:.:a w :, , n d Q .s h n:2&,x .u a:mw.wi. .,me ,
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_ ._ ., x 3 a 7590-01 E agreements with other government agencies, international organizations, or state, local or foreign governments; separate procedures for avoiding : conflicts of interest will be employed in such agreements, as appropriate. 120-1.5402 Definitions . 0. (a) "0.ganizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be perfonned under an NRC contract which: (1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a biased work product, or (2) may result in its being given an unfair co@etitive advantage. (b) "Research" means any scientific or technical work involving . theoretical analysis, exploration, or experimentation. (c) Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy. (d) "Technical consulting and management support services" means internal assistance to a component of the NRC in the forsralation or administration of its programs, projects, or policies which normally - require the contractor to be given access to infonnation which has not been made available to the public cr proprietary information. Such services typically include assistance in the preparation of program plans; and preparation of preliminary designs, specifications,' or statements of Work. ,. (e') "Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401 (c) . - (f) "Contractor" means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants l or subcontractors, which is a party to a contract with the NRC. I l (g) "Affiliates" means business conceras 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 centrols or has the power to control both (41 CFR I1-1.606-1(e)). (h) "Subcontractor" means any subcontractor of any tier which - performs work under a contract with the NRC except subcontracts for
- l supplies and subcontracts in amounts of $10,000 or less.
l (i) "Prospective contractor" or "offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract.
, , -2 e 4 e
- e s
~
,s' ,
'l 7590-01 j (j) "Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise frcm award of a proposd contract. The tem "potential conflict of interest" is used to signify those situations which merit fnvestigation prior to contract award in order to ascertain whather award would give
.i rise to an actual conflict or which must be reported to the contracting C. officer for investigation if they arise during contract perfomance.
N-s20-1.5403 Criteria for recognizing contractor organizational
'f conflicts of interest -
q
- i (a) General. Two questions will be asked in detamining whether a actual or potential organizational conflicts of interest exist: (1)Are
,: ' there conflicting roles'which might bias a contractor's judgment in f relation to its work for the NRC7 (2) May the contractor be given an j-9- -
unfair competitive advantage based on the perfomance of the contract? The ultimate detemination by NRC as to whether organizational conflicts j - of interest exist will be made in light of comon sense and good business judgment based upon the relevant facts disclosed and the work to be
; perfonned. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC
- personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evMuation activities, or similar activities that lay direct groundwork for the
.; NRC's decisions on regulatory activities, future procurements, and j research prngrams.
(b) Situations or relationships which may give rise to organizational
.. . conflicts of interest. (1) The offeror or contractor shall disclose '*i infonnation concerning relationships which may give rise to organizational J conflicts of interest under the following circumstances:
3 M' 9 (1) Where the offeror or contractor provides advice and recomendations to the NRC in a technical area in which it is also providing consulting 5 assistance in the same arec to any organization regulated by the NRC.
..(
'j 'l (ii) Where the offeror or contractor provides advice to the NRC on
.J, the sane or similar matter in which it is also providing assistance to
"; - - any organization regulated by the NRC.
M 9- (iii) Where the offerer or contractor evaluates its own products or services, or the products or services of another entity where the offerer l Q .;
?'q or contractor has been substantially involved in their development or .y a marketing.
w1 dd (iv) Where the awand'of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its N, judgment may be biased in relation to its work for the NRC or may otherwise
,c ;J '],.j result in an unfair competitive advantage for the offeror, or contractor. '
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f ro (2) The contracting officer may request specific information'from E an offerer or contractor or may require special contract provisions such -D as provided in 520-1.5405-2 in the following circumstances: [l ' (1) Where the offeror or contractor prepares specifications which , are to be used in competitive procurements of products or services 1. covered by such specifications. , (ii) Where the offeror or contractor prepares plans for specific . approaches or methodologies that are to be incorporated into competitive .
?l procurements using such approaches or methodologies. ,{
(iii) Where the offeror or contractor is granted access to infomation [. not available to t.M public concerning NRC plans, policies, or programs '- which could fom the basis for a later procurement action. [' (iv) Where the offeror or contractor is granted access to proprietary i infomation of its competitors. (v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment ,
- may be biased in relation to its work for the NRC or may otherwise
- result in an unfair competitive advantage.for the offeror or contractor.
(c) Policy application guidance. The following examples are . illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example. The XYZ Corp., in response to a request for proposal (RFP), proposes to - undertake certajn analyses of a ree: tor component as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically ,, well qualified. In response to the inquiry in the RFP, the XYZ Corp. - advises that 1.t is currently perfoming similar analyses for the reactor ' manufacturer. Guidance. An NRC contract for that.particular work noma 11y would not be awarded to the XYZ Corp. because it would be placed in a position in which its judgment could be biased in relationship to its work for 1 NRC. Since there are other well-qualified companies available, there ' i would be no reason for considering a waiver of the policy.
. .i (2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one '
type of advanced reactor. As is the case with other te:hnically qualified
- companies responding to the RFP, the ABC Corp. is perfo,ning 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 perfom the work outlined in the RFP. , , , 4
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7590-01 Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Core. from subsequently contracting for
.I work during the perfonnance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp. would be precluded from the perfonnance of similar work for the company developing the
- advanced reactor mentioned in the example.
. (3) Example. As a result of operating problems in a certain type of coenercial nuclear facility, it is imperative that NRC secure specific data on various operational aspects of that type of plant so as to
. assure adequate safety protection of the public. Only one manufacturer has extensive experi'ence with that type of plant. Consequently, that 4 compsny is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable
~
time. That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the
,] reactor's design and thus the company's costs.
Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC. Since the nature of the work required is vitally important in tems of NRC's responsibilities and no rea:;onable alternativ2 exists, a waiver of
, the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy 4
with particular attention to the establishment of protective mechanisms 2 - to guard against bias.
,j, -
9 (4) Example. The ABC Co. submits a proposal for a new system for j evaluating a specific reactor component's perfonnance for the purpose of
- , developing standards that are important to the NRC program. The ABC Co.
- i' has advised NRC that it intends to sell the new system to industry once a . its practicability has been demonstrated. Other companies in this busine
- s are using older systems for evaluation of the specific reactor component.
'N ,/ Guidance. A contract could be awarded to the ABC Co. provided that j 'the contract stipulates that no infonnation produced under the contract 4: will be used in the contractor's private activities unless such information 1, has been reported to NRC. Information which is reported to NRC by contractors .J" will normally be disseminated by NRC to others so as to preclude an
' "3
, unfair competitive advantage that might otherwise accrue. When NRC
'4
' :: furnishes infonnation to the contractor for the performance of contract
.; work, it shall not be used in the contractor's private activities unless l
@d such information is generally cvcilable to others. Further, the contract
) ,1 will stipulate that the contractor will inform the NRC'co'ntracting M, officer of all situations in which the infonnation developed under the contrt.ct is proposed to be used, a
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I (5) Example. The ABC Corp., in response to a RFp proposes to !f. assemble a map showing certain seismological features of the Appalachian p-p3 fold belt. In accordance with the representation in the RFP and 9 120-1.5403(b)(1)(1), ABC Corp. infoms 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 ((;. ,
b/ the NRC study. ; . Guidance. The contracting officer would nomally conclude that ' h,
, award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. The work for others clause of $20-1.5405-1(c) would preclude ABC Corp. from accepting work during the tem of the MRC contract which could create a conflict of interest.
(d) Other considerations. (1) The fact that the NRC can identify ' and later avoid, eliminata, or neutralize any potential organizational conflicts arising from the perfomance of a contract is not relevant to a detamination of the existence of such conflicts prior to the award of a contract. , (2) It is not relevant that the contractor has the professional ', reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis.
'520-1.5404 Representation (a) The fol'1owing procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor.
(b) Representation procedure. The following organiz' ational ' conflicts of interest representation provision shall be included in all ' solicitations and unsolicited proposals for: (1) Evaluation services or activities; (2) technical consulti.ng and management support services; (3) research; and (4) other contractual situations where special organizational , conflicts of interest provisions are noted in the solicitation and would " be included in tne resulting contract. This representation requirement shall also apply to all modifications for additional effort under the ' contract except those issued under the "changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.
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! I ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief th'at: .: The award to of a contract or the modification of an 4
existing contract does ( ) or does not ( ) involve situations or relationships
- of the type set forth in 41 CFR I 20-1.5403(b)(1).
q
.i (c) Instructions to offerors. The following shall be included in 1- all NRC solicitations: (1) If the representation as completed indicates
'y. that situations or relationships of the type set forth in 41 CFR
; 5 20-1.5403(b)(1) are involved, or the contracting officer otherwise detamines that potential organizational conflicts axist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting
)
officer. If the contracting officer detemines that organizational
, (1) Impose appropriate 4 conflicts conditions exist, whichtheavoid following suchactions may)be conflicts. taken: the offeror, or (ii disqualify ~i (iii) detemine that it is othentise in the best interest of the United i States to seek award of the contract under the waiver provisions of . I20-1.5411. -
(2) The refusal to provide the representation required by I 20-1.5404(b) or upon request of the contracting officer the facts required by 520-1.5404(c), shall result in disqualification of the' offeror for a j award. The nondisclosure or misrepresentation of any relevant interest i; may also result in the disqualification of the offeror for award; or if
-d such nondisclosure or misrepresentation.is discovered after award, the 9 resulting contract may be teminated. The offerer may also be disqualified ~
from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract. (d) The offerer may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from b, the statements of work contained in a RFP unless the RFP specifically 3 prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals. If the
,j) f, ;
1 NRC considurs the proposed excluded work to be an essential or integral in - part of the required work and its exclusion would work to the detriment i of the competitive posture of the other offerers, the proposal must be
;;4 , . ejected as unacceptabl.e.
f4 (e) The offeror's failure to execute the representation required 1;j d by subsection (b) above with respect to invitation for bids will be
- ) ! considered to be a minor informality, and the offeror will be pemitted i
to correct the omission. J fi
- j. ; I 20-1.5405 Contract clauses Zi i
- i.; ; I 20 1.5405-1 General contract clause i .O .
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All contracts of the types set forth in i 20-1.5404(b) shall include the following clauses: f' . (a) Purpose. N The primary (purpose ef this clause is to aid in1) Is not placed ensuring that the contractor: f~ because of current or planned interest (financial, contractual, organizational, p e 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 perfomance of this contract. . (b) Scope.. The restrictions described herein shall apply to : perfomance or participation by the contractor as defined in 41 CFR 520-1.5402(f) in the actitities covered by this clause. i (c) Work for others. Notwithstanding any other provision of tMs contract, during the term of this contract, the contractor agrees to ,- forego entering into consulting or other contractual arrangements with < any firm or organization, the result of which 'may give rise to a conflict of interest with respect to the work being performed under this contract. The contractor shall ensure that all employees who are employed full '
. time under this contract and employees designated as key personnel if any, under this contract abide by the provision of this clause. If the '
contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict .of interest, the contractor ' shall obtain the written approval of the contracting officer prior to - execution of neh contractual arrangement. (d) Disclosure after award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of i interest, as defined in 41 CFR 120-1.5402(a). (2) The contractor agrees that if after . award it discovers organizational conflicts of interest with respect to this contract, it shall make an imediate and full disclosure in writing to the contracting officer. This statement shall include a description of the' action which the contractor has taken or proposes to take to avoid or mitigate such ; conflicts. The NRC may, however, teminate the contract for convenience if it deems such termination to be in the best interests of the government. . t (e) Access to and use of information. (1) If the contractor in ~
'the performance of this contract obtains access to infomation, such as :
NRC plans, polic'ies, reports, studies, financial plans, internal data i protected by the Privacy Act of 1974 (Pub. L. 93-579), or data which has l not been released to the public, the contractor agrees not to: (i) Use I such released information for any(private to the public; ii) compete purpose for workuntil theComission for the information has been based ) a 1
~
t ' 7590-01 on such infomation for a period of six (6) months after either the ! completion of this contract or the release of such information to the ' public, whichever is first, (iii) submit an unsolicited proposal to the government based on such information until one year after the release of such information to the public, or (iv) release the information without
. prior written approval by the contracting officer unless such 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 1 Privacy Act of 1974 (Pub. L. 93-579), or other confidential or privileged ;' technical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions j . placed on use of the information.
(3) The contractor shall have, subject to patent and securfty j provis1ons of this contract, .the right to use uchnical data it produces
. under this contract for private purposes provided that all requirements of this contract have been met.
i. (f) Subcontracts. Excepi; as provided in 41 CFR 120-1.5402(h), the contractor shall include this clause, including .this paragraph, in subcontracts of any tier. The terms "contract," "contractor," and "contracting officer," shall be appropriately modified to-preserve the
. government's rights.
, ii (g) Remedies. For breach of any of the above proscriptions or for 1 intentional nondisclosure or misrepresentation of any relevant interest d required to be disclosed concerning this contract or for such erroneous i representations as necessarily imply bad faith, the government may 1 terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract. (h) Waiver. A request for waiver under this clause shall be l directed in writing through the contracting officer to the h ecutive i
, Director for Operations (EDO) in accordance with the procedures outlined i l ini20-1.5411.
n d, ' 120-1.5405-2 Special contract provisions. ! 4 ! Z1 (a) If it is determined from the nature of the proposed contract 1 - that organizational conflicts of interest exist, the contracting officer " d. ' may determine that such conflict can be avoided or after obtaining a
;i waiver in accordance with 320-1.5411, neutralized through the use of en
- , appropriate special contract provision. If appropriate, the offeror may y negotiate the tenns and conditions of these clauses, including the 5 '
extent and time period of any such restriction. These provisions include
- but are not limited to:
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t.. e: (1) Hardware exclusion clauses which prohibit the acceptance of O' proouction contracts following a related nonproduction contract previously ; performed by the contractor; (2) Software exclusion clauses; F (3) Clauses which require the contractor (and certain of his key ki, personnel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data and guard against its unauthorized use. (b) The following additional contract clause may be included as ; section (1) in the clause set forth in 20-1.5405-1 when it is determined , that award of a follow-on contract would constitute an organizational conflict of interest. (i) Follow-on effort. (1) The contractor shall be ineligible to participate in NP,C contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's perfomance of work under this contract. Furthemore, unless so directed in writing by the contracting officer, the contractor shall not perform any technical
- consulting or management support services work or evaluation activities under this coiltract on any of its products or services or the products or services cf another fim if the contractor has been substantially involved in the development or marketing of such products or services.
1 (2) If tU ' contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial contractual effort which is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not apply. (3), Nothing in this paragraph shall preclude,the contractor from offering or selling its standard commercial items to the government. . I 20-1.5406 Evaluation, findings, and contract award , The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation recuirements of 120-1.5404(b) and other relevant infomation. After evaluating this information against tne criteria of 1 20-1.5403, a finding will be made by the contracting officer whetner organizational conflicts of interest exist with respect to a particular offeror. If it has been detemined that conflicts of interest exist, then tne contracting offi'cer shall either: (a) Disqualify the offerer from award,
. 10
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lj .. 7590-01 I . (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of 520-1.5411. t . 120-1.5407 Conflicts identified after award. l If potential organizational conflicts of interest are identified 1 1
]., after award with respect to a particular contractor, the. contracting . l officer detemines that such cor.flicts do, in fact, exist and that it '
dc would not be in the best interests of the government to terminate the 3 contract as provided in th's claasts required by 120-1.5405, the contracting )
'J officer will take every rezunaole action to avoid, eliminate, or, after i , obtaining a waiver in accordance with 520-1.5411, neutralize the effects y of the identified conflict.
m 1 120-1.5408 (Reserved) 1
! 320-1.5409 -(Reserved) I j.
g 520-1.5410 Subcontracts
~
The contracting officer shall require offerors and contractors to submit a representation stater::ent in accordance with I20-1.5404(b) from ! 1 subcontractors and consultantst The contracting officer shall require i a the contractor to include contract clauses in accordance with 320-1.5405 y in consultant agreements or subcontracts involving performance of work ' n under a prime contract covered by this subsection. . il y 120-1.5411 Waiver 1 3: In the first instance, determination with respect to the need to
-1 : seek a waiver fer specific contract awards shall be made by the contracting 9.' officer with the advice and concurrence of the program office director i and the Office of Executive Legal Director. Upon the recomendation of l 3 the contracting officer, and after consultation with the Office of the .!, General Counsel, the EDO may waive the policy in specific cases if he ]
determines that it is in the best interest of the United States to do
't; , so.
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], Such action shall be strictly limited to those situations in which:
g (1) The ort to be performed under contract is vital to the NRC program; T4 (2) th;
- ark cannot be satisfactorily parformed except by a contractor Ta whose interests give rise to a question of conflict of ints. rest; and (3) d ); contractual and/or technical review and supervision methods can be M' employed by NRC to neutralize the conflict. Foi any such waivers, the
' !. ' e justification and approval occuments shall be placed in the Public 'd ' ! Document Room.
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7590-01 [*[ ; i: M,' 520-1. 5412 Remedies I .. In addition to such other remedies as may be pemitted by law or contract for a breach of the restrictions in this subpart or for any . intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC i.
,l may debar the contractor from subsequent NkC contracts. ..
Dated at,yashincton. D.C this 27th day of Mar:h 1979. , For the Nuclear Regulatory Comission 3 t k ' J. Chilk a Samuel Secretary of the Comission l l
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1 I< ' ' Y 11% ACni L-3 (REVISED . 4/87) a , 9 I I j, BILt.ING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS j -
-l n .1.
General. The contractor shall submit vouchers for cost-reimbursement 1 in the manner and format described herein and as illustrated in the
; sample voucher.
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Num.ber of Copies. . An original and two copies should be mailed to the NRC office identified below. i
-; Frequency. The contractor shall ' submit claims for reimbursement once !
each month unless otherwise authorized by the Contracting Officer. i Form. Claims shall be submitted on the Fonn DC-3 "Youcher for Purchases and Services Other Than Personal." These forms are available from the
'. Contracting Officer. (The instructions for preparation and itemization 4 of the voucher are shown on the fonn.)
i , 1 j Billing of Costs Afte'r Expiraticn of Contract. If costs are incurred i during the contract period and claimed after the contract has expired, 3 the period during which these costs were incurred must be cited. i 4 A.
'. Currency. Billings may be expressed in the currency nonna11y used by
.{
the contractor in maintaining his accounting records; payments will be made in that currency. However, the U. S. dollar equivalent for all 1 invoices paid under the contract may not exceed the total U. S. thilars
',1 authorized in the contract.
3 y Supersession. These instructions supersede all previous billing q instructions. -
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l INSTRUCTIONS FOR PREPARING COST
~l INFORMATION FOR NRC CONTRACTS 1
3 Preparation and Itemization of the Voucher. The contractor shall furnish the information set forth in the explanatnry notes below. These notes are keyed to the entries on the sample voucher. e, i Payor's Name and Address. (i) Address the original voucher (with 2 4 copies) to: U.S. Nuclear Regulatory Connission. Division of Accounting and Finance, Arnu coV/ Col Acccunts Section, Washington, DC 20555 j: j Any questions regarding vouchers yet to be paid by the NRC should be addressed to Division of Accounting (301-492-R010). Arty questions i regarding vouchers for which payment has been received (either in full or partially with suspensions or disallowances) should be ad-1~ dressed to the Contracting Officer. Payee's Name and Address. Show the name of the contractor as it appea.rs l In the contract and its correct address; except when an approved assign-ment has been made by the contractor, or a different payee or addressee has been designated, then insert the name and address of the payee. Indicate the individual responsible for answering any questions NRC may have reoarding the invcice (name and phone number) j s 4 (a) Contract Nunter - Insert the NRC contract number. j ' (b) Title of Project - List the full title of the project being performed under this contract, i (c) Voucher Number - Insert the appropriate serial number of the voucher 1 beginning with 001 for this contract. Contractors may also include. 1 individual internal accounting numbers in addition to the three digit I number. (d) Date of Voucher - Insert the date the voucher is p'tpared. 'd*
- (e) Contract Amunt - hsert the total estimated cost of the contract.
w exclusive of fTxed-fee. 11
- e (f) Fixed Fee - Insert total fixed-fee (where applicable).
j (d
- -] (g) Billing Period - Insert the beginning and ending dates (day, month.
and year) of the period in which costs were incurred and for which reimbursement is claimed.
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.j (h) Direct Costs - Insert the major cost elements.
! (1) Direct Labor - This consists of salaries and wages paid (or
- l. accrued) for direct performance of the contract itemized as follows:
!j Labor Labor Hours
; Ca tegory Negotiated Cumulative Hours Billed Rate Total Hours Billed
?;
1 (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 should
-[ not be identified here, l (3) Direct Equipment tions list each item costin
- For educational institu-ancy of more than one year.g 5500 or more, and having a life expect-i; For contractors other than educational
]
institutions list each item costin
" expectancy of more than one year.List g $200 onlyor more, those andof items having a life equipment for which reimbursement is re A reference shall be made to
- the following (as applicable) : quested.(1) the item number for the specific 1 piece of equipment listed in the property schedule of the contract; (2) the Contracting Officer's approval letter if the equipment is not covered by the property schedule; or (3) be preceded by an ast-erisk (*) if the equipment is below th approval level. Further itemization of vouchers shall only be required for items having specific limitations set forth in the contract.
(4) Materials, Supplies, and Other Expendable Items - These are 1
, ,l consumable materials and supplies and equipment other than that described in (3) above.
(5) Premium Pay - This is remuneration in excess of the basic hourly rate. (Requires written approval of Contracting Officer.) l g
-' (6) Consultants' Fee - The supporting information must include the .j name, hourly or daily rate of the consultant and reference the NRC approval (if not specifically approved in the original contract).
(7) Travel - Domestic travel is travel within the United States, its territories, possessions, and Canada; it should be billed
]j separately from foreign travel. Travel costs billed will provide for individual Per Diem, and all supporting infonnation for each )
trip taken, y
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All costs associated with each trip must be shown in the following
' format: (Unless the organization's travel policy has been negotiated and approved by NRC) l' Date Travelar _Destina tion Purpose Cost
. From T l From lo,,
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- 1. Airfare
- 2. Rental Car
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- 3. Local Travel 4 Per Diem Days 9 =
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j Date Breakfast lunch Dinner 1
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- 6. Tips, Misc.
(Itemize if more than 510,00) 1 i (8) Subcontracts - Include all costs paid to approved subcontractors during billing period. This includes the details of the subcontract terms (i.e., cost-plus-fixed-fee, direct labor, indirect costs, travel, profit, etc.) (9) Other - List all other direct costs by cost elements and dollar amount 1 separa tely. _ i' 1 (i) Indirect Costs--Overhead - Cite the formula (rate and base) in effect during
.] the time the cost was incurred and for which reimbursement is claimed.
I (j) Fixed-Fee - If the contract provides fer a fixed-fee, it must be claimed i
,j as provided for by the contract. Cite the formula or method of computation.
Contractor may bill for fixed fee only up to 45% of total fee. q 6 (k) Amount Billed for Current Period - Insert the amount billed for the major j cost elements, adjustment, and adjusted amounts for the period. n;
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' (1) Cumulative Amount from Inception to Date of this Billing - Insert the cumulative amounts billed for the major cost elements and adjusted amounts claimed during this contract.
f, (m) Total' Amounts Claimed - Insert the total amounts claimed for the current j and cumulative periods. 1 J (n) Adjustments - This includes amounts conceded by the contractor, outstand- I
] ing suspensions, and disapprovals subject to appeal. l 1
-{ (o) Grand Totals 4
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WOCHERS [0R l'URCHA$1.5 AND St.RVICES OTHER lHAN PERSONAL
.! 1 1 .
1 t SAMPLE VOUCHER i i ) Payor's Name and Address (a) Contract Number NRC-10-81-024 I The U.S. Nuclear Regulatory Conynission
; Division of Accounting and Finance (b) Title of Project "Study of Nuclear Waste !
Concepts" Attentioni GOV /CCH Acets Sectico ! 8 Washincton, DC 20555 l
.f ' Payee's Name and Address (c) Voucher Number _ 003 , )
1 M WM0W10h The National Bank (d) Date Youcher Pripared 10/18/82 l . T. 100 Main Street or Anywhere, U.S. A. ,
' Anywhere U.S.A. Assignee for ABC CORP. (e) Total Estimate 1 Cost of Contract .
Anywhere, U.S. A. 5350.000.00 '! ~ (When Payments Assigned) (f) Total Fixed-Fee
- Indiividual to Contrae.t Regarding This Voucher: 517.500.00 [
3
.Name: Harry Murphy l i 'Tel. No.: 215-321-8654 i l
l(g) This voucher represents reimburscable costs from 3/1/82 thru 3/30/82 l l Arnount Billed
~(k) Current Period (1) Inception to Date l(h) Direct Cests .
$6.800 (1) Direct Labor * $2.400
! (2) Fringe Benefits 016.5 '-
l 600 1.200 - i ! (3). (if_co. Direct outed as percentace) Eouionent
- 5.000 8.000 1 ~
j (4) itaterials. Supplies and
,3 Uther Expendable items
- 2.000 4.000 (5) Premium Pay 100 150
,1 1 ! (6) Consultants
- 100 100 8
i (7) Travel - Domestic
- 200 200
, 1 Foreien * ~'
200 200
; I (B) Subcontract * ~
j (9) Otner Costs
- 3.000 9.000 d
a ec sts m .600 m.W , (i) !!1 DIRECT COSTS
.' A) Overhead 100 L of Total Direct Costs $29.650 __
' 513.600 i (Indicate Base)
- s ,
i Subtotal $27.200 559.100 Ji
.j B) General A Administrative Expense 3.264 "'
6.4!o ~ 'q 12 0 of Cost Elements Nos.1-9. A Total Costs $ 30.464 565.7!.)
't n 1.523 3.400
( (j) FlIEO. FEE EARNED (Fomula)
$31.987 569.150 .!i (m) Total knounts Claimed '3 (n) Adjustments Outstanding Suspensions
- 1.700 1.700
- d
$3n.Pa7 Sf 7.4 !.0 (o) Grand Totals ,,
3 * (RllAllRES SUrr0R11Nr INr0rJtA110N.) G (SCC A1TACilCO.)
- t DC.3 ./ K' Q W ,
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. SAMPLE SUPPORTING INF0ftMAT10N I l
I l 1) Direct Labor - $2400 Labor Labor Hours Hours Cumulative Category Negotiated Billed Rate Total Hours Billed 1 j Senior Engineer I 2400 100 $14.00 $1400 975
, Engineer 1500 50 $10.00 $500 465
! Computer Analyst 700 100 $5.00 $500 320 1
- 3) Direct Equipment .
1 Spectrometer - General Electric (as approved in Property Schedule) $5,000
- 4) Materials, Supplies & Other Expendable Items - l
- l 10 Radon Tubes 9 $110.00 = $1100.00 l 6 Pairs Electrostatic Gloves ,9 $150.00 = $900.00 j 32000.00 l
'; i I 5) Premium Pay
l i' (
I Walter Murphy - 10 hours 9 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.) , I i 4 j ,6) Consultants' Fee ! 1
'j Dr. Carney - 1 hour 9 $100- = $100
', a.
- .] 7) Travel
- d. Date Traveler Destination Purpose Costs 3 From To From ~
To
~
!.1 N 3/1/82 3/6/82 William King Chicago, Wash., Meeting with 1) Airfare $80.00
'3 Il DC Project 2) Rental Car 515.00 el Officer 4) Per Diem - 2 Days
-j 9 $50.00 = $100.00 a 6) Tips, Misc. $5.00
$1 TOTAL: $200
- j
,t . . . . .. .
.y n. y , , . . . . .. . - . - . , . . . , .
- 8) Subcontracts XYZ CORP. (CPFF)
Direct Labor: - 80 hours 0 $20.00 per hour = $1600.00
' 0/H 0 50% = $800.00 Travel - 2 Trips - Wash., DC 0 $200 = $400.00 t ' to Boston, MA Profit 0 7% = $200.00
,- TOTAL: 53000.00 (j) Fixed-Fee (Formula)
- (5%)
t
$350,000 X 5% = $17,500 Total Fixed Fee for this Contract-
.+
$27,200 X 5% = $1360 Fee Billed for this Period (n) Adjustments
$1700 - Indicates amount withheld from voucher f001, now approved by Contracting Officer letter 3/10/82.
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i 7 Form NRC.4E9^ 1 ( (1 76) U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL 4 TRANSMITTAL NOTICE
?.
j Chle.:_. h?.;-3232 FC-Z:A~!CN OF WCHNICAL EPORIS PEPAPID BY NRO CO:CPE'X.?I, IN01CIN3 EPORTS PEPAED UNIER OR
..j, "95UA?C T INEFENCV ASPEv2CS j SUPERSEDED: TRANSMITTED:
Number Date Number Date TN 3200-21
,]j Chapter h?O-32C2 M/29/02 Chapter NRC-3202 6/29/54 Page Page '. ]
Appendix 7 7-32'.2 L/20/62 Appendia EC-3202 6/29/E4 REMARKS: 7..is rev;si:r. cf Chapter 3202 expands the chapter frem co';erace cf
. e.:lassified rep:rts :: include the rarkirs and handling of sensitive j
c.:lassified ir.fdmatier. (Official Use Only and Lir.ited Official Use i ' Irferati:n, Safeguards Irfo:tatien, Preprieta:/ Infomatien) and
, c'.assified irlemati:n (Tcp Secret, Secret, ard Confidential). , A , . .; se::icr. has aisc beer. added te set forth procedures for the handling 1 1 cf un:lassified reports en'h?. cooperative progrars with foreipr.
i; c:*/e:-. er s Pr.d Orgar.i:a:1:7.s fr.d with U.S. industry. 4 .
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1 . f i U.S. NUCLEAR REGULATORY COMMISSION A NRC MANUAL i , j volume: 3000 Information and Foreign Activities a Part : 3200 Technical Information and Document Control ADM l s CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED i l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i
' I d 3202-01 COVERAGE l
- . I 3J This chapter and its appendix handbook establish responsibilities , basic l requirements. standards and procedures for . the documentation, production I and dissemination of technical reports prepared by NRC consultants and grantees and by .NRC contractors and their subcontractors, including reports j prepared under or pursuant to interagency agreements or memorandums of unders tanding. These reports are hereafter referred to as contractor re- l 3 ports. This chapter does not cover NRC staff-generated documents, NRC j docket material, or the documents generated by NRC boards, panels .
.g ( advisory committees and Offices that report to the Commission.
r1 \' j 3203 02 OBJECTIVES ; I 02! to assure production and dissemination of technical reports as I Q required by the Energy Reorganization Act of 1974 and the Freedom of Infor- ! j maticn Act . l i d . 022 to assure that dissemination of technical reports is consistent with j
' li requirements for public availability of information.
t fj 023 to assure that national security, patent rights, copyrights, proprie-
.i tary rights and rights in other sensitive unclassified information are not 4 .j compromised by the release, distribution, or dissemination of technical reports ;
y f rom NRC. 024 te assure that formal NRC contractor reports will carry the regis-
' d,d.$ tered NRC designation NUREC/CR or NUREG/CP as the prime identification. -! 025 to provide for coordination of press or other media releases.
o (.i 3202-03 RESPONSIBILITIES AND AUTHORITIES 9
.9 031 The Director, Office of Administration:
d a. develops and maintains, in consultation with Directors of Offil:es M d 8 and Divisions and Regional Administrators NRC standards, proce-
.?
' dures and guides for the production and dissemination of technical contractor reports.
Q 4 Approved: August 29, 1984 y g ,
m au w w. .. w , n < , r n _. . - - - t l , PUDLICATION OF TECHNICAL REPORTS PREPARED BY - NRC CONTRACTORS, INCLUDING REPORTS PREPARED f NRC 3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i
- b. periodically surveys report activities throughout NRC to ascertain that the provisions of this chapter are adequate and are being implemented; makes any changes needed.
l 032 The Director. Division of Technical Information and Document l f Control: I
- a. develops and adm%isters a central report control system for identi- '
fying, printing and distributing cr.ntractor reports and responding to requests for unclassified reports.
- b. devdops and maintains guides and standards for the documentation, fematting, printing, dissemination, and public sale of unclassified contractor reports.
. c. assures that a system exists for review of unclassified contractor reports for adherence to patent, copyright and disclosure policies prior to dissemination. .
- d. establishes and a'dministers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports and controls duplication and printing of contractor reports to assure adherence to the Government Printing and Binding Regulationr.
issued by the Joint Committee on Printing (JCP), Congress of the United Statcs. .
- e. in response to requests of Directors of Offices and Regional Administrators, establishes distribution data banks. maintains official standard distribution lists for automatic distribution of unclassified contractor reports, and controls distribution to assure adherence to the Government Printing and Binding Regulatichs, the Privacy Act, and the Freedom of Information Act.
033 Directors of Offices and Rerional Administrators:
- a. establish the contract or Standard Order for Work" provisions, including those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff- and Contractor-Generated Documents and its appendix; Chapter NRC-C260, Print-ing , Copying, Graphics and Photography and its appendix; and Chapter NRC-1102, Procedures for Placement of Work with the Department of Energy. In the Statement of Work:
(1) specify what reports will be reviewed for policy, management. and legal issues by NRC staff in draf t prior to printing and distribution. If the report is to be reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draft, including the type of disclaimer to be used in addi-tion to the standard government disclaimer (see Exhibit 6). In the case of DOE work, this is NRC Form 173, Standard Order for DOE Work. See Chapter NRC-1102.
- - Approved: August 29, 1964 9
I l . l
~
i PUBLICATION OF TECHNICAL REPORTS PREPARED BY
< NRC CONTRACTORS, INCLUDING REPORTS PREPARED
. , UNDER OR PURSU ANT TO INTER AGENCY AGREEMEN TS NRC-3202-034
. (2) provide for the reviews necessary to insure that the stional security , patent cights , copyrights, proprietary righ.s and rights in other sensitive unclassified information are not-i compromised by the release or dissemination of the reports. .
. If DOE contractors are to be authorized to make the reviews. l t designate th* contractor officials who are authorized to sign t NRC Form 426A prior to NRC distribution of reports (see
- Appendix . Part IV ) . Assure that sensitive unclassified and 7 classified reports are marked and handled properly (see Appendix. Part V).
(3) speci'y that all formal reports carry NUREG/CR or NUREG/CP l numbers as the prime identification , as illustrated in the
', l
'. appendix. i
- l 1 (4) specify whether formal reports shall be printed by NRC or 'ne l contractor if the contractor has a JCP-authorized federal print- l ing plant tsee Appendix. Parts 11 and IV). l (5) specify that all formal reports required by NRC shall be distributed by NRC.
(6) establish the number o." copies the contractor may retain or
'j request for internal and external distribution and charge l against NRC. Written justification must be provided, and i 3
approval obtained of the NRC JCP representative (the Director, l Division of Technical Information and Document Control) when ! the number exceeds the 50 copies authorized by JCP for , 34 unclassified reports. l i i (7) assure the protection of classified and sensitive unclassified i information , if any, in contractor reports (see Appendix , Part V).
- b. assure adherence to instructions and authorizations regarding the
; reproduction and distribution of reports.
t
]_;
- c. recommend standard distribution category (ies) for contractor reports to the Division of Technical Information and Document Control.
21
- i d. provide changes to the official standard distribution lists to the
,; Division of Technical Information and Document Cont.51.
~ . . . . .
(.
. 2 I
?
PUBLICATION OF TECHNICAL REPORTS PREPARED BY - NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC-3202-044 UNDER OR Pl*RSU ANT TO INTER AGENCY AGREEMENTS I. 044 copyright - a form of protection provided by the laws of the United States (Title 17. U.S. Code) to the authors of "ortgtnal works of authorship" including literary, dramatic, musical, artistic, and. certain other intellectual
- works. This protection is available to both published and unpublishud works.
2 Copyrighted material may not be reproduced without the permission of the author or publisher. j. O'45 disseminate - to announce the publication of reports and make them' available for f ree distribution, sale or copying.
? 046 distribute - to dispense reports to specific organizations and indi-viduals to assure their participation in the regulatory process ar.d support of
' research and technological investigations. Such distribution may be accom-y plished by the use of standard distribution data banks established and main-I tained by the Division of Technical Information and Document Control based
' on the requests of the originating Office or Region.
I 047 documentation - classification and associated markings required for classtfied or sensitive unclassified documents, the NRC report number ~ unique to the report, title (and subtitle, if any), author or correspondent (if any). organization identification and contract number (or FIN number), date and availability. 048 draf t or final material for inclusion 6 "Safety Evaluation Reports" or "Environmental Statements" (ES) - wr2tten material requested for input to 1
- SEhs or ESs to be issued as NUREGs. Such material may be edited or modi-fied at the discretion of the NRC staff, b 049 formal technical reports - the final product of research, an original
)j investiga ten. or a significant compilation of information. This product is a formal technical report for publ.ication in the NUREG/CR series. For extensive l i long-term projects, formal monthly, quarterly or semiannual and annual peri-odic technical reports may be required. A draft of the final or periodic report < may be requested for comment prior to preparation of the camera-ready copy. ,- ) 0410 NRC project manager - the NRC staff member responsible for the ? d work performed by consultants or contractors and their subcontractors, or a for work performed under or pursuant to an interagency agreement. i 0411 patent review - examination by legal staff to assure protection J ; y rignu in inventions. "y 0412 proprietary information - trade secrets; privileged or confidential
.) research, development, commercial or financial information, exempt from manda- .1 tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under G 10 CFR Part 9 (Section 9.5); and other information submitted in confidence Ja to the NRC by a foreign source and detennined to be unclassified by the NRC. )
1! 0413 publiclv available documents - information (reports and refecences) i} which is available in. the NRC Public Document Room (PDR) for public inspec-Ji ! M N tion and copying or available in the public domain. 5 i l
.n ;t) Approved: August 29, 1984
.c...m au w : h. an -eu ' ~ ~w.araa" "'- N'"_ _ _ _ _ _ _ _ _ _ - - -
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY -' NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 r_eproducible masters - camera-nadv copy which includes (1) origi-nals of line drawmgs (or prmts that can be copied), (2) glossy prints of bla:;k and white photographs (colored photographs cannot be reproduced), (3) original typed or printed text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (1), (2) and (3) that a printer can reproduce. 0415 technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP seraes, or draf t or final material for inclusion in SERs or ESs. 0416 technical letter reports (also called technical evaluation reports)
- interim or fmal letters that provide information on the technical aspects of contract work. Interim technical letter reports may be required at various stages of a project. These ' reports usually are followed by a final technical letter report or a fonnal technical report. Final technical letter reports are usually specified in situations where the technical work is review and eval-untion of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, informal (interim) progress reports , quick-look reports , data reports, status summary reports, project descriptions, pre-tested predictions, model verifications , experunent safety analyses, experiment operating procedures, facility certification. reports, and test result reports.
0417 unique identification - NRC identification used on a report and its ' attachments , revtstons , and supplements that is not used on any other report. l 3202-05 .B ASIC REQUIREMENTS 0 51 Applicability. The provisions of this chapter and its appendix apply l to NRC consultants, grantees, contractors and subcontractors, including those I working under interagency agreements, whose contracts require the prepara-tion of technical reports. Because of the unique requirements of NRC boards, prin els , advisory committees and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the Commission . These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entitles that are to be given wide public dissemination. 052 Forms. NRC Form 426A, "Publication Release for Unclassified NRC Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-graphic Data Sheet" (Exhibit 7), and NRC Form 190, "Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided m the appendix. 053 Appendix 3202. This appencix contains standards and procedures for the preparation of reporting requirement portions of Statements of Work, I and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies in accordance with . contract requirements or interagency agreements. Approved: August 29, 1984
4 d a. U' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUD!NG REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202 054 i 054 Preparation Requirements l a. Reports to be Printed by NRC. All contractor reports to be printed g by NRC shall .be prepared according to Appendix 3002. The repro-j ducible masters for the requisite distribution shall be transmitted to
" the Division of Technical Information and Document Control accom-1 panied by completed NRC. Form 426A and NRC Form 335.
y d b. Reports Printed by Authorized Federal Printing Plants. All contrac-
'l tor repc'rts to be printed by the contractor (as specified by the c'1' contract, agreement, or standard order for work) shall be prepared according to Appendix 3202, and a reproducible master and suffi-
.! cient copies for standard and incidental distribution shall be sup-
.i plied to the Division of Technical Information and Document Control.
f; accompanied by completed NRC Forrr 426A, signed by the autliorized contractor official. Each such ryert shall include. as the last p.y;e. jl a completed NRC Form 335. 055 References. The NRC chapters referenced and NUREG-0794 (ref. j) j and SUREG-0550 t ref.11 are available from the Division of Technical Informa-a tien and Document Control. The other publications are available from the A Government Printing Office. 5- .
- a. Chapter NRC-0260. "Printing. Copying. Graphics and Photography "
d # y b. Chapter and Appendix NRC-2101, "NRC Security Program." Chapter NRC-3203. "Distribution of Unclassified NRC Staff- and f.)] c.
,3 Contractor-Generated Documents."
N Chapter N R C- I l0': . "Procedures for Placement of Work with the
- d. .
3] Department of Energy." y e. Chapter NRC-3206. "NRC Contractor Speeches. Papers and Journal h Articles on Regulatory and Technical Subjects."
;1, y "Conferences and Conference Proceedings ."
h f. Chapter NRC-3207 M Title 44. U.S. Code. "Public Printing 'and Documents." Government d g.
,8 Printing Office. ;
1
-4 Government Printing and Binding Regulations of the Joint Committee ! $ h.
q on Printing. Congress of the United States. No. 24, April 1977 (JCP l .1, Regulations). Government Printing Office.
$ i. Title 5. U.S. Code, "Government Organization and Employees."
/it Government Printing Office. 1 I w z r: Approved: August 29, 1984
. e,.o m va.miu..aa.e w. m = ,-n w - ~ --a m m an w.c ..w =.w w-u .Tia F WE K PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCIEDING REPORTS PREPARED NRC-3202-055 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1 "Technical Writing Style Guide." A. W. Savolainen et al. , compilers. U.S. NRC Report NUREG-0650, November 1979, and Supplement 1. February 1982.
- k. "Protection of Unclassified Safeguards Information," D. J. Kasun.
USNRC Report NUREG-0794, October 1981.
- 1. Chapter NRC-0255, "Mail Management." and Appendix 0255. Part V.
Annex A. 9 I I l
~
1 Approved: August 29, 1984
. ~
t ,e
-j a
; PUBLICATION OF TECHNICAL REPORTS PREPARED BY 4 NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 e UNDER OR PURSU ANT TO lNTERAGENCY AGREEMENTS d CONTENTS i .
1 PAGE 9 '$1 PART 1 PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS 0F WORs FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR 00E WORK 0 1 A. LIST OF TECHNICAL REPORT REQUIREMENTS......................... i 2 9 i B. REQUIREMENTS FOR FORMAL REPORT5...............................
'. 2 C. REQUIREMENTS FOR ORAFT REPORT5................................
}
- 0. PUBUSHINGUNCLASSIFIED.NON-SEN51TIVEINFORMATION 3 5......................
.i[
IN OPEN LITERATURE AND PRESENTING PAPER 4 E. TYP0 GRAPHY.....................................................
';. ' F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND 4
CLASSIFIED INFORMATION............. l G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF C NFERENCES 4
. AND WORK 5 HOPS.................................................
y 5
'; H. WRITING ANC PUBLISHING UNCLASSIFIED t>0K5.....................
a
$ 5 d 1. DISTRIBUT ION OF REPORT S TO CONTRACT 0its. . . . . . . . . . . . . . . . . . . . . . . .
y J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES 5 eA Or us:tA55irit0 iNr0RMiTiON................................... N,d PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC... 7 ;
- r 7 b
DOCUMENTATION.................................................
;1 A. i 4, 7 u
,;e 1. Applicability............................................ 7 9 2. F ront cove r and T i tle Page. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 ' bl 3. Availability Information................................. 9 d 4. Disclaimer............................................... 9
- 5. Previous Reports in 5eries............................... 9 ff 6. Aestraet.........................................c.......
3 7. References and Bibliographies............................ 9 10 .jJ. 8. Bibliographic Data 5heet................................. 10 B. PATENT AND SECURITY REVIEW 5................................... g a 1. Patent Review............................................ 10 - l' Security Review.......................................... 10 d 2. l
- 1.
. .a I
.)1 '
1 N e M i Approved: Augus' 29,1984
!'? .
coaux,;;. mew ~ .rma..: :; vm x. x~ ~ w wwau : w~ em l l 1 l PUBLICATION OF TECHNICAL REPORTS PREPARED BY ; NRC CONTRACTORS. INCLUDING REPORTS PREPARED i NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I CONTENTS (Continued) PAGE C. PROCEDURES FOR PRINTING AND DISTRIBUTING..........'......,..... Il
- 1. Printing................................................. 11
- 2. Reprinting............................................... 11
- 3. Distribution of Reports.................................. 11 1 1
EXHIBITS
- 1. Sample Cover for Unclassified Formal Contractor-Prepared Reports'.
Excluding These Printed by DOE Laboratories with JCP Authorized Federal Printing P1 ants...........................................
- 2. Sample Title Page for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing P1 ants................................ 14
- 3. Sample Cover for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing Plants.......... 15
- 4. Sample Title Page for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing P1 ants............................................................ 16 ,
- 5. NRC Form 426A,. Publications Release............................... 17
- 6. Disclaimer and Availability Statements........................... 16
- 7. NRC Form 335, Bibliographic Data Sheet. . . . . . . . . . . . . . .. . . . . . . . . . . . . . - 19 PART III UNCLASSIFIED TECHNICAL LETTER REP 0RTS........................ 21 A. F0RMAT....................................................... 21
- 1. Applicability........................................... 21
- 2. Requirements............................................ 21 B. PATENT AND SECURITY REVIEWS................................. 21
- 1. Patent Review.......................................... 21
- 2. Security Review........................................ 22 PAxi IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR REGULATORY RESEARCH BY DCE LABORATORIES WITH JCP-AUTHORIZED FEDERAL' PRINTING PLANTS...................... 23 A. DOCUMENTATION............................................... 23
- 1. Applicability.......................................... 23
- 2. Front Cover and Title Page................. ........... 23 Approved: August 29, 1984 11 e
.g
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. . l i .
l 1 .-
)
j PUBLICATION OF TECHNICAL REPORTS PREPARED BY l 1 NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Apper. dix 3202 CONTENTS (Continued) ( ' PAGE Availability and Price Information.....................
- 3. 25 l 25 9 4. Disclaimer............................................. l
- 5. Previous Reports in Series............................. 25
]j 6. Abstract............................................... 25 :
.' p 7. References and Bibliographies..........................
26 Bibliographic Data Sheet............................... 26 i 3 8. ' u ' 26
. B. PATENT AND SECURITY REVIEWS.................................
A ; 26 i I. Patent Review.......................................... 26 A 2. Security Review........................................ 27 l i C. PROCEDURES FOR PRINTING AND DISTRIBUTING....................
.i .
27 j ). Printing .............................................. 27
- 2. Reprinting.............................................
] '
- 3. Distribution of Reports................................ 27 l 1 I i PART V REPORTS CONTAINING SENSlilVE UNCLASSIFIED AND CLASS!FIED INFORMAT10N...................................... 29
~j f.
2 A. APPLICABILITY............................................... 29
,4 OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 i B. 'l? C. PROPRIETARY INFORMATION.....................................
30 S 31 D. SAFEGUARDS INFORMAT10N...................................... 1 1 L E. CLASS!FIE0 INFORMAT10N....................................... 31
l
'A
;3 EXHIBITS 5,
- 8. Sample Cover for a Contractor Report Containing Official Use
>3.
33 1c. Only Information.....................................,............ fa ig 9. Sample Title Page for a Contractor Report Containing Official 34 Use Only Information.............................................. m(.4 i:3 10. Sample Back Cover for a Contractor Report Containing Official 35 Use Only Information..............................................
.x ~
ij 11. Sample Cover for a Contractor Report Containing Limited 36 4 Offictal Use Information..........................................
'd M 12. Sample Title Page for a Contractor Report Containing Limited 37 '$ Official Use Information..........................................
4 d i di - sd 4 iii Approved: August 29, 1984 d N a
- r.t
cmu.u u w w .,_u % % C u A zwwem - we - - mhhw i r PUBLICATION OF TECHNICAL REPORTS PREPARED BY i NRC CONTRACTORS. INCLUDING REPORTS PREPARED - NRC Appendix 3202 l'NDER OR PURSUANT TO INTER AGENCY AGREEMENTS CONTENTS (Continued) pAGE l
- 13. Sample Back Cover for a Contractor Report Containing Limited Official Use Information.......................................... 38 14 Sample Cover for a Contractor Report Containing Proprietary Information obtained from a U.S. Organization..................... 39
- 15. Sample Cover Page for a Contractor Report Containing '
Proprietary Information Obtained f rom a Foreign Sourca. . . .. . .. . .. . 40
- 16. Sample Title Page for a Contractor Report Containing Proprietary Inf ormation Obtained f rom a U.S. Organization. . . . . . .. . 41
- 17. Sample Title Page for a Contractor Report Containing Proprietary Information obtained from a Foreign Source............ 42
- 18. Sample Back Cover for a Contractor Report Containing P ro p r i e ta ry I n f o rma t i o n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
- 19. Cover Sheet for Reports Containing Proprietary Information. . .... .. 44
- 20. Sample Cover for a Contractor Report Containing .
Uncl as si fied Sa f eguares Inf ormation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 i
- 21. Sample Title Page for a Contractor Report Containing ~
Unclassified Safeguards Information............................... 46 l l Sample Back Cover for a Contractor Report Containing 22. Unclas si fied Saf egua res Inf o rmation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
- 23. Cover Sheet for a Contractor Report Containing Unclassified Safeguares inrormation............................................
4e PART VI. HANDLING OF UNCLAS$1FIED INFORHATION ON NRC COOPERATIVE ' PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH ~ IN0VSTRY..................................................... 49 A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT. . . . . . . . . 49 ! B. DISTRIBUTION BY NRC PROJECT MANAGERS. . . . . . . . . . . . . . . . . . . . . . . . . 50 , C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT............... 50 l D. R E PO RT I D E NT I F I E R S . . /. . . . . . . . . . . . . . . . . . . . . ; . . . . . . . . . . . . . . . . . . 50 ! E. MAILING TO PROGRAM PARTICIPANTS............................. 51 ! F. SECURITY...... ............................................ . 51 ! Approved: August 29, 1984 iv
. s
.= -..
3 . ,
?
,.} ...
! Pl*BLICATION OF TECHNICAL REPORTS PREPARED BY 1 NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 ,
, : l'NDER OR PURSt.' ANT TO INTERAGENCY AGREEMENTS J l' CONTENTS (Continued)
~ PAGE
. .q U EXHIBITS ,
~l : Sample Cover for a Draf t Preliminary Report (Code) for Comment... 52
'j..
8 24. i 25. Transr.ittal L.etter from Contractor to NRC Project Manager for
' 'y - Draft Preliminary Report (Code)................................... 53 I
- 26. Transmittal Sheet-for Requesting Mailing to Cooperative Program
;l 1 Participants...................................................... 54
\ l
!G '
W d ' k) tA lhj -
.4 3- -
O
' f$
g Approved: August 29. 1984 v
.s'T.!i
u.a ..u. - . .. .- . . . . .. . . j.I' - .. - I Pl'BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLl' DING REPORTS PREPARED UNDER OH PU'".SU ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202 O( - i lit PART1 i 'd PREPARATION OF REPORTING REQt'IREMENT PORTIONS OF !;i STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND i STANDARD ORDERS FOR DOE WORK s [ , A. LIST OF TECHNICAL REPORT REQUIREMENTS ' 33 List the technical reports required from each project, task or subtask. .o as applicable. Jtate when and to whom they should be submitted and
! what they should contain. These reports may be unclassified,, sensitive
,d unclassified or classified. Standards for each of these categories are , jl presented in Parts !! through V. The following definitions describe the
- 4 types of reports that may be specified:
l4 technical reports - infomation on the technical aspects of contract 4 i' work. Thete may be interim or final technical letter re ports, draft j or final formal technical reports for pubhcation in the NUREG/CR or SUREG/CP se rie s , or draf t or final material for inclusion in SERs or ESs (see definitions below). i
.- . technical letter re? orts (also called technical evaluation reports) -
1 . intertm or final .etters that provide information .on the technical i )4. ' aspects of the contract work. Interim technical letter reports may be required at various stages of a project. These interim letters
.? usually are followed by a final technical letter report or a formal . '~' technical report. . Final technical letter reports are usually specified !
C in situations where the technical work is review and evaluation of 1 !$ work of others or work to be used by the staff in the licensing i rd and regulation process. Interim letter reports may include, but are
- .y not limited to, informal (interim) p m gress reports, quick-look al reports, data reports, status summary reports, project descriptions, jj pre-test predictions , model verifications, experiment safety anal-
- 1i yses, experiment operating procedures, facility certification
!4 reports, and test result reports. These reports must be identified 4d with the financial number (FIN) assigned to the project. They are fj not to be identified with DOE registered report codes. The num-
!u ber of copies to be prepared and the distribution of those copies
- ;5 will be specified by the project manager.
!Q formal technical reports - the final product of research, an original
! h) investigation, or a significant compilation of information. This pro- 'n duct is a formal technical report for publication in the NUREG/CR or i NUREG/CP series. For extensive kng-term projects, formal monthly, i Q quarterly or semiannual and annual periodic technical reports may be !
i fn I .t required. A draft of the final or periodic report may be requested i "tl for comment prior to preparation of the camera-ready copy. 14
'11 21 ,
I !d1. l M 1 Approved: August 29, 1984 i . - - . .- __ _ _ ._
w w w,,; n m & w w w n w. . , . w L- Ma a ~~ ~ Aw LW PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS. INCLUDING REPORTS PREPARED Part ! UNDER OR PURSUANT TO INTERAGENCY AGREDIENTS draft or final material for publication or inclusion in SERs. ESs. letters, or heense amendments - written material requested for use in the NRC heensing process. Such material may be (1) abstracted in a NUREG report r attached to a NUREG report, (2) attached to a letter or an amendment to the license, or (3) abstracted and used as necessary by the NRC staff. NRC requires patent review and full management review of this material by the perfoming organiza-tion . This material is to be submitted to NRC as a technical letter report addressed to the project manager and identified by the FIN number. For purposes of this Part, contractor means a private contractor, con-sultan t , grantee , another State or Federal Agency working under an interagency agreement , or a DOE / facility or National Laboratory (con-tractor) and subcontractors. B. REQUIRDIENTS FOR FORMAL REPORTS If the contractor is to prepare a final formal technical report for publi-cation, state that it will be printed and distributed by NRC from camera-ready copy submitted by the contractor, unless the work is being done for the Office of Nuclear. Regulatory Research by a DOE facility or Laboratory with a JCP-authorized printing plant. The camera-ready copy is to be prepared in accordance with the provisions of this appen-dix, Parts 11 and V (for contractors other than DOE contractors). or Parts'!V and V of this appendix and Chapter 1102 (for DOE contrac- . tors ) . A style guide is also available free, upon request (NUREG-0650). If the report is to be printed by NRC and it is unclassified, the camera-ready copy is to be submitted by the contractor to the Director. Division of Technicallnformation and Document Control NRC. Washington. D.C. 20555, by first class mail. For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101. Unclassified reports printed for the Office of Nuclear Regulatory Research should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102. C. REQUIRDIENTS FOR DRAFT REPORTS If a draft is desired prior to completion of a final technical letter report, formal technical report, final material for inclusion in an SER or ES, or for comment by . participants in cooperative programs with foreign gov.- i ernments and organizations and with U.S. industry, state that require- l ment and the time frame for delivering the final camera-ready copy af ter l receiving NRC and/or participant comments on the draft. State that all draft material should be submitted to the cognizant project manager. When the contractor is to submit draf t material for comment prior to the preparation of the final report, state that if there are NRC program and/or participant comments tne contractor will be asked to make changes. j If agreement on the changes is reached, the NRC manager will authoriae j i the contractor, to prepare the final copy and submit at to the project ! manager, if it is a letter report or input to an SER or ES, or to the ' l Director, Division of Technical Information and Document Control. if it is l Approved: August 29, 1984 2
. ... .2. . .: .. . .
,i : J q .. . S l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 1 Part !
~
4 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS camera-ready copy for printing and distribution. This is to be done to
; assure proper publication, handling, and distribution and, among other j things, to preclude further changes that might nullify the agreement. If caveats were agreed to and the project manager wishes to check the final d
4 document for their presence, he/she should inform TIDC of that desire. H in that case, upon receipt of the camera-ready copy by TIDC, the project 9 manager will be informed and requested to prepare and sign the NRC 1 Form 426A. I l Also state that if agreement on changes to a formal technical report to q be issued in the NUREG/CR series is n_ot reached, the NRC project 5 manager may request the contractor to prepare the camera-ready copy l with, in addition to the standard disclaimer required on all contractor M formal reports (see Exhibit 6), any caveats deemed necessary to cover i NRC objections. Such caveats may range from the "The views expressed
; in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion ]1 or footnotes at appropriate locations within the text.
N State that if NRC objections cannot be covered in this manner, NRC can 'u refuse to pubbsh the report. In the case of DOE / National Laboratory 1 reports, the DOE Operations Office Manager responsible for that labora-
-}
tory should be informed by the NRC Office Director or Regional Adminis-
.1 trator of the decision and the reasons therefor, with a copy to the f Laboratory Director. In the case of another Federal agency, a State, or a private contractor, the person who executed the contract should simi-d ,
larly be informed by the NRC Contracting Officer. The contractor is q a then free to publish without NRC identification of the report. Project ij manager or higher level decisions may be appealed to the NRC Executive 'E Director for Operations.
- i. D. PUBLISHING UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND
] PRESENTING PAPERS If the contractor's principal investigator is to be allowed to publish in
- i the open literature instead of submitting a final report and/or present J3 papers at public or association meetings during the course of the work, 4 add the following statement to the Statement of Work
- E4
)hW The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or 1 4 present papers at public or association meetings at interim stages of , di the work. G If the project manager wants to review the paper or journal article prior '9
- d to presentation or submission for publication, state this in the Statement a of Work, as follows
e The principal investigator (s) may publish the results of this work in lQ ! the open literature instead of submitting a final report and/or pre-3 sent papers at public or association meetings at interim stages of tht j 'q work, if the article or paper has been reviewed by the NRC project 9 i >-ly n 3 Approved: August 29, 1984 W .-- - - - - - - - - - - . - - , _ _ _ _ _ _ _ _ _ _ __ ___ - _ , _ _ _ _ _ _ _ _
vm.u,.w .e.-un w a,a .::r k .:k v- " - w ~ ~m www a - m:i. M2 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS manager in draft form and agreement has been reached on the con-tent. The applicable procedures set forth in Chapters NRC-3206 or NRC 1102 must be fouowed. If agreement is not reached. NRC may also ask that the paper include in addition to the standard statement "Work supported by the U.S. Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC can refuse to authorize publication in the open liters-ture and/or presentation of papers. In the latter case, NRC will infom the contractor of the decision, as stated above for formal reports (see Section C, paragraphs 3 and 4). The contractor is then free to publish without NRC identification of the infomation. This will not affect payment of the contract work costs. Project manager or higher level decisions maiy be appealed to the NRC Executive Director for Operations. If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required tech-nical reports, approval of the proposed article or presentation should be obtained from the NRC project manager. The NRC project manager shall either approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, a project manager may disapprove or delay presentation or publication of papers on infor-mation that is subject to Commissioner approval that has not been ruled upon or which has been disapproved. , (See Chapter 3206 for provisions relating to payment of page charges and travel costs for presentation of papers.) E. TYPOGRAPHY Tne text of reports must be single spaced on 85 x 11-in. paper, unless otherwise specifically authorized. Occasionally, reports with many sym-bois and mathematical expressions may require one and one-half spacing to provide for superscripts and subscripts. This spacing should be, allowed where needed, but should be considered an exception not the standard. F. REPORTS CONTAINING SENSITIVE UNCLASS!FIED AND CLASSIFIED INFORMATION . Details of the marking of reports designated Official Use Only. Limited Official U se , Proprietary Information . Safeguards Information, and classified (Confidential, Secret, and Top Secret) are provided in Part V of this appendix and in NRC Appendix 2101 C. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS NRC publishes or assists in the publication of compilations of papers presented at meetings , conferences, and symposiums in which NRC Approvedi August 29, 1984 4 O e 9
. e. ,
...=;..;u.
~., .. .,
. 4 l9 ,, .
j l) PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 1 j UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Part I ! ,,; l ~: [s participates as a sponsor or cospensor. Chapter NRC-3207. "Conferences l and Conference Proceedings," provides general infonnation and guidance ! for this , More detailed guidance is avaijable from TIDC upon request. l , s) H. WRITING AND PUBLISHING UNCLASSIFIED BOOKS . f; NRC may. under certain circumstances , publish books prepared by i q grantees or contractors. For general information and guidance on book '
;,{ publishing see Chapter NRC-3210. "Book Writing and Publishing." ;
s .u 33 1 DISTRIBUTION OF REPORTS TO CONTRACTORS l 1 Up to 50 copies of unclassified formal technical reports may be retained , by or will be bulk shipped to the contractor by NRC for internal use.
) i
*' If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A. Single copies for specific individuals in organizations other 1
.9 than the contractor's organization who are not included in the distribution 4 ' requested by the NRC project manager may be requested on a project ! j] basis or on a report-by-report basis. The request, with written justiff- .
- cation. should be addressed to the NRC project manager, with a copy to j;
i N RC/TIDC . If the additional distribution is approved by the NRC. t i project manager, the contractor shall send these copies (if printing is i i done by the contractor) and address labels, even if printing is done by .,
?
NRC. to NRC/TIDC, where.the distribution will be made along with the . b1 standard distribution. Distribution of sensitive unclassified and classi-q, tied reports will be made by the project manager on a case-by case basis, j J. COORDIN ATION OF PRESS OR OTHER MEDI A RELEASES OF UNCLASSI- l l[ : 1% FIED INFORhlATION )G ' A contraetcr may request permission to issue a press or other media
- j
- release en the work being done. Such request shall be made to the f
'4 project manager, who will consult with his/her management and with the
'S Office of Public Affairs. The contractor may not issue a press release on ;
i1 nonroutine information without this prior coordination. This coordination , .1 may be accomplished by telephone, with the NRC project manager respon-1d sible for expeditious handling. Decisions not to release information or i l delays in handling by the project manager may be appealed to the NRC q' Executive Director for Operations. l g - d Mv w c 3 M
'.N o .
l 1 ( ,
.s
.M x1 q 5 Apptoved: August W.124 J.)
A - _ _ . j
m .u , ,. . i . i PUBLICATION OF TECHNICAL REPORTS PREPARED BY ;
, NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC' Appendix 3202 !
. UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
; {s PART !! i
( i 3 UNCLASS1FIED FORMAL CONTRACTOR REPORTS
' TO BE PRINTED BY NRC "t i A. DOCUMENTATION ,
i.; Appucability
- 1. f 3,
- a. The requirements of this part apply to contractor and inter- l
( agency agreement reports that are, to be printed by NRC. j t Contractors may not print reports prepared for NRC except and 4 those DOE laboratories with JCP-authorized printing plants.
?
then only those reports prepared for NRC's Office of Nuelar
'{ >
Regulatory Research. I
- b. With respect to sensitive unclassified and classified reports. l i the requirements set forth in Part V of this appendix shall be l used in conjunction with NRC Appendix 2101. f 1 l
- c. The requirements of this part do not apply to consultants and )
l contractors of the NRC boards, panels, and advisory commit- J i tees which report directly to the Commission.
- 2. Front Cover and Title Page
( j a. Separate covers and title pages are required (see Exhibits 1 and 2 for contractor reports and Exhibits 3 and 4 for reports
, .] -
prepared under or pursuant to interagency agreement s ) . = i
- b. The items shown in Exhibits 1 through 4 and discussed below
/; shall appear on the title page and cover, as appropriate.**
g i (1) NRC Report Number a Each report thaU be identified by an NRC-controHed
- 3) alpha-numeric designation as the prime designation unique
'.) to that report. The centralized report control system for unique identification is maintained by the DivisionNumbers of
{ Technical Infonnation and Document Control. may be obtained by calling the Division of Technical Infor-
,?, mation and Document Control or by submitting a copy of N NRC Form 426A (Exhibit 5) with a request for a number.
lci 3 _n Reproducible copy of the cover of the performing organization may be sub-
$e mitted; however, the data elements shown in Exhibit 1 'must be included.
d , s These requirements meet the specifications of American National Standard
.']
rs ANSI 239.18-1974, Guidelines for Fonnat and Production of Scientific and W d
' Technical Reports, and ANSI 2.39.23-1974, Technical Report Numbers.
,u s
" 7 Approved: August 29, 1984
.m m :am.m a we&w a:M a=.:&'m& =mmw- ' W '
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED - Part !! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS . The NRC identification number will have the form: NUREG/CR-EttX or NUREG/CP-LNEN where CP indicates conference proceeding. The contrac-tor's report number, if any, may be inserted below the NUREG number on the title page and cover, as shown in Exhibits 1 through 4, if desired by the contractor. When a report consists of more than one volume or bind-ing or is issued in mote than one edition, an appropriate volume , supplement , part or revision designation shall appear imamediately below the report number. (2) Title and Subtitle (a) Use a brief title that indicates clearly the subject matter covered in the report. (b) When a report is prepared in more than one volume, repeat the primary title on each volume. (c) If apnropriate , show the type of report (e.g., annual report, final report, thesis , etc.) and the period covered as part of the subtitle. (3) Personal Author (s)' Name(s) Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contri-butions are as editors, compilers, etc. , so indicate on the title page following the names. In addition, list affiliation l of each author only if affiliated with an organization other than the organization generating the document. (4) Organization Identification On the title page and cover, provide information of the , type illustrated in Exhibits 1 through 4. ! l (5) Basis for Report Date(s) (a) The basis for dating may be shown along with the l date on the title page. Various bases for dating are possible; e.g., da.a report completed, date reviews completed , date published, date distributed , etc. (b) More than one date, with the basis for each, may be shown where this is necessary. l i . Approved: August 29, 1984 8 l
. ~ . . , ,
_ . .m. .. . 6 1 4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY i NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 [N 3. Avauabilit y Information All formal reports will be made avaUable fo' sale by NRC and by the National Technical Information Service (NTIS). Exhibit 6 wiu
; be inserted on the inside of the front cover by the Division of j Technical. Information and Document Control.
[1, 4. Disclaimer I The following notice will be added during the printing step on the 4 inside front cover (Exhibit 6): "This report was prepared as an j account of work sponsored by an agency of the United States
- c. Government. Neither the United States Government nor any agency 1
thereof, or any of their employees, makes any warranty, expressed i or implied, or assumes any legal liability or responsibility for any i third party's use, or the results of such use, of any infonnation.
.; apparatus, product or process disclosed in this report, or repre-
) sents that its use by such third party would not infringe privately 1 owned rights . " The following sdditional statement , "The views 1 expressed in this report are not necessarily those of the U.S.
] Nuclear Regulatory Commission" wiu be printed below the standard
; disclaimer , if appropriate . Other qualifying statements may be
- added, if needed (see Part 1.C., Requirements for Draft Reports).
j . 5 Previous Reports in Series L j If the report being prepared is one in an ongoing series, list all 1
- previous reports in the series. Include report numbers and issu-J ance dates. Place this list on the back of the title page.
1 '5 6 Abstract
] An abstract of 200 words or less shall be prepared for each formal
,q
, .3 report. Within the report, the abstract shall appear on a separate j page between the list of previous documents in the series and the contents page.*
'i
/ .
- 7. References and Bibliographies O Reports or other documents referenced in text, referenen sections, y bibliographies , and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the
- q; public either in the public domain (as in a public library, at the
'$j .; Government Printing Office, at the National Technical Information 1 Service, or at other reference or sales outlets) or in the NRC 4 Public Document Room. This means that references should not be made to personal communications and interviews, unpublished a; ,
O i n .
@ This preferred positioning of the abstract in the report need not be followed
!g if the style manual of the originating organization requires a different location . g
;.t
- )
4 6 9 Approved: August 23, 1984
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS information and information with restricted distribution (e.g.. proprietary , national security, official use only, etc . ) . If the
. unretrievable information is important and unrestricted. 'it can be quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section. Availability may be stated coljectively for all entries (see Exhibit 6).
Guidelines for developing and preseriting reference material are provided in NUREG 0650, "Technical Writing Style Guide." , published in November 1979 (see Appendix A, pp . 19- 23. .for specific guidance) and Supplement 1 dated February 1982.
- 8. Bibliorrachie Data Sheet NRC Form 335 (Exhibit 7) shau be prepared and included in the camera-ready copy.as the final right hand page.
B. PATENT AND SECURITY REVIEWS .
- 1. Patent Review Patent implications shaU 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 contractuauy managed through another government arsney .(e.g. ,
DOE laboratories), that government agency should be requested by . the contractor to perform the patent review. The result of such review shau be rep;rted on NRC Form 426A in item 11 (Exhibit 5). If NRC directly administers the contract or the .ontracter is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting efficer shan be consulted, and the responsible NRC project managec shan 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 .which may be of an inventive nature. NRC Form 426A may be completed with the statement "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shau request assistance from the NRC Patent Counsel. Office of the Executive Legal Director.
- 2. Security Review .
In most cases, contractor r< sports will be ve asified. Should a report of sensitive unclassUsed or classifs scork be required, however, the NRC project manager mus! ..ak with the NRC Division of Security to estabhsh the appropriate procedures and inform the contractor of such procedures thrcugh the contracting officer. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101. Approved: August 29, 1984' 10 ;
, ...t
.i
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; PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 I NRC CONTR ACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part !!
i
, C. PROCEDURES FOR PRINTING AND DISTRIBUTING
- 1. Printing l' .
Reproducible masters 1:repared in accordance with this appendix shau be trantmitted to the Division of Technical Information and
' Document Control, accompanied by completed NRC Fonn 42SA I (Exhibit E). NRC Form 426A must be signed by the NRC project g
manager or a contractor official authorized by the project manager.
- .Such authorization shan be reported in writing to TIDC. .i The Division of Technical Information and Document Control will ,; review the masters for adherence to the standards set forth in this i chapter and appendix and will arrange for printing and distributing the report. Unsatisfactory masters wiu be reported to the NRC
~ i project manager for appropriate contractual action by the contract-Q ing officer or, in the case of government agency or interagency agreement work, the publications manager of the performing organization. .
- 2. Reprinting l', .
!i Requests for reprinting any report subsequent to the initial print-ing require approvsl of the Division of Technice.1 Information and i
Document Control. Each request shau include a written justification and the project manager's approval for reprinting along with ad-dress labels for the recipients. J ~
,1 n 3. Distribution of Reports A
All copies of unclassified formal contractor reports will be distrib- i l3 - uted by the Division of Technical Information and Document Centrol ' l J' in accordance with instructions on NRC Fonn 426A (Exhibit 5). The I Division of Technical Information and Document Control wiU also l arrange automatic distribution of these reports to the NRC Docu. l ment Control System, the NRC Public Document Room, the National N] Technical Information Service (NTIS), the Government Printing y Office and the Deptsitory Library Service. i ' i
) l N If any distribution is to be made other than, or in addition to, the ,i standard distribution estabushed for the report, written justification 2 snd the project manager's approval for printing additional copies J ."l'1 shan accompany the reproducible masters when submitted to the )
I1 Division of Technical Information and Document Control. Address labels for the additional distribution must be suppued, d ' j Je 4
'j ,
Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis. 4 4 W l 4
;g i i7 l 'N .
1 a
' 11 Approved: August 29, 1984
]j' t
\
l
. .. i 2
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Accendix 3202 l
' NRC CONTRACTORS, INCLUDING REPORTS PREPARED I
'mi :*
, UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS 1 EXHIBIT 1 i
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- DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO i INTERAGENCY AGREEMENTS
.1 t NUREG/CR.1676 i NRC Report No. SAC.566 f Contractor Report No lif any) Vol.. Part, Rev etc (if any) [?
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, EXHIBIT 2 SAMPLE TITL4 PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR.
PREPARED DOCUMENTS. EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT ho. . w eto en ig76 Centrerest Report No. Id any) WSAC the V8 ' Vol., Port, Rev., etc. (H any) Dmretution Category No. (N any) 1,ue Using Advanced Process Monitoring to Improve Material Control so. e w Tv- . Re n e . ,, ( Annuel, Tooecal, etc.) sootemee 1979. Sernemeer lago Report Detes and Bases y 7 ter Authoris), Ef ttor(s), , ,, Cemee6et(s), etc. Contractor Nome wa -.,r ,r and Aastels e. .a se N RC Soonnotihio e ee 8;r.Tt:r=2.*.*:lll" .. .. . e. YJ.4,'::';7"W= ~~ NRC Centract No. nac em som Approved: August 29, 1984 14 mm
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED . Part !! _ l'NDER OR PURSl' ANT TO INTER AGENCY AGREEMENTS EXHIBITA SAMPLE TITLE PAGE FOR UNOLAS$1FIED FORMAL REPORTS PREPARED UNDER OR PUR$UANT TO INTERAGENCY AGREEMENTS 1 NRC Rowt he. Centresset's Report he. Vol., Port, Rev., ett. o,e e., ,. j g[i%1tE2 g ce i l r* LOCA-Simulation Thermal-Shock l Test of Sliding-Link Terminal 1 Blocks s* * ,,.e.ee et v,*e,cm 1,,,, ,, .. thee9990emt Vertitetem ,est 1 Report oste y.... Authot(s), E dcteets) l Centreew's N m eas A ,e.. gyp,- NRC seenseeshie *=,'*e,',*; ,,y, , , , , Is**s UN*SN cE~' l NRC FIN No, aNEi[i Approved : Au ftst 29, 1984 16 u m ' b r
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'. UNDER OR PURSU ANT TO INTER AGFNCY AGREEMENTS 1 n
I - 3XHIBIT 7
- NRC FORM 336 BIBLIOGRAPHIC DATA SHEET i
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ww n .w.w - ~ a . - . n nw mammi nu :.mu ; - ~q- - a PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC AppGndix 3802 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part !! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 7 (Continued) BACK OF NRC FORM 335 DO NOT PRINT THESE INSTRUCTIONS As A PAGE IN THE NUREG REPORT inerraucTous NRC PORie 336. 048L@GR Ahelt SATA SN8tt.18 BA880 04 Oul0ELieses poet P0etteAT A=0 see00WCTece 08 8Cesa Tielt AND TECMastCAL Rt80R78. Ams 2291s.1974 AvastMLE 8A0es AnotRfCA4 Isaf toseAL Stag 0AR08 Hs5TrTVTE. tA30 , SROADes Av. setw v0RE. esv 10014 iACM 88'ARAT36v 90Wese REPORT.som 8EAosPtt. 8 ACse VOLWest see A seg6Tiv0 Lunes i 3 ET .S* ALL MAvg its useCytgisLioGaa mec OATAgenegT.
- 1. At#0RT 8evesetR. tera mewevese, eeww reme e sean it. Sp08e00RHee Omdase64AT1 Git Lees WRC O==.ea. 0e es. 1 eerry a vaeve eemasawmare een.orvien psyntop eenense U 8. Nwemer Roewever, Ceawa ea. eesaev'ea. 0C 70068 )
e, tae 0=.een et Tschasse sacermesen one Oeeumpet ceaires. ADee, .a esseesense wita Amarena peesenes 11. s TYPt 08 REPORT. 5teu erets. fians. peam.aerv. tenesa. I Sieaesre AmeSi 229.23 1974 Tesaaeed Resort kwmeer totaa tes. tveteev. everte v. ett . eae. d se**s eeae ' (STMI woe imeercase seeiers. Aree. avmoro.a. sissaae. ene eae we w estee avoseaa eaty. es la tae ie+==.as esamenee PeyR t G4100 NyRIG/CP4010. NURtc/CR4100, saa seuRIG/sR4010 h. PtR800 C0v8 AID. 8 er resorts sa e enroe see ved., Swee. Re.eea. one Aaseaewm. =asa asemeowv. Aes seatveeter tw . _ 1L SupPLOso08tTARY 88078&. ta,w .aeeemetea not .acivese ideatifaset ea apes,1,8 c,av) esses. feL.AtG a vesese, e4. e*es***re enet weef wa , owra es Preserne sa egeserpesom wita . PN L.R R R R. SA pr fl E R.X X E E, sal.X X IX. Pessoates et osaeoseente of Te se passee ooreet he w=a e eseest e es..ses ae4ee maetae* pie aes.
- 2. TlTLE AND SUOTITLt. Tote saevis inee.ee centes, eas reseet sweorisese e, essenemeats tae one, esseet et e e t, tw esenci isoeurosen et vae reeert. eenwe.ag sa, ,
ewet$ tie to two me.a tiene Waaa e essert es poseres sa mees 13. AGETRACT, tecwee e er of 1200 weres et seest tactwes te taea eae ieni me. eassei vae orwaarv eveo. esa vevas awmeee merv et vae mesi s.p=.Issat sa+eemovea ee*ie.aes e me Gae satives twetttle IF 18e Watstet toivme ye was&Jr e%3 pggert ,t t tae eggert gente.a5 a b$ adde *t emensagetoa, e' towe* Sees letteet, eut Caesieesee semenvise sees aemes. De litoretwee ewetev os mw e tiene seawmeg meatea e more empteogt met wee atteav88te 08 e eastaedderas sa td'es, 8ae, es essee sa se to W preseres av Swfaer er seeeef t meaege seroa mept
- 14. 00CUse8Be7 AstALYSi$
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.ao.catiae maata eas weer peo,ectriesa comesesos seeeee evtweegos teams taet osat4 tame me ee seasest et tae renaeren wie areswteoativesecse e one erases to S. AUThe0R($1. G e aemoval sa L- 7 ,c.,ereerteg.Jena se vees as eason eatees te, esewe ag A Dee, J Reseri Deel. Leet avimee e eHeemen et n se etter.
eat seem tas secteemvie ; ,_ -- - F 6008:TIFIERS A8t0 opges.geset0 70estes. Use seate bort *** ore +ect aemet, coes aemes. envemeat sesapeeters. I S. DATt RtPORT 885u80. 4.aca reeert emens sere, e ese est use ese=4aeos seevne esi eeme - a,ea .a senerese, casonag menta eae veer sweseses team tiesi toe teese swegeste ter sea.sa as seasseees emete me see geseawrw. T. PERp0Raelle0 ORGA4 2Atl@es 8saast A40 4AAILisee ADOR E886 Gees morse. owest, estv. siete, one llP eens. 14 AVAILASILITY STAT 8aegetT. Owies swee< emessenda,. L,st me awee v*ea t=e esere es sa e*,sa.eetoa s a.orerea,. to, eneme.e was.m.,se , e, e.m,Leuea ese reeeeas etee. Oseene, one come et tas ergenesi.ea easetty as eenome emoi ssevrev. Da=sen. Off ee. Ortensesten er Ge=oraeasat esoney. one seerseg 14. SECVRfTY CLAaBapiCAflees. t a.c W $ leaven, Cese t-asi.ea .a ese.eeense ta v s so.w , Re,w.et eai i. e . a >RonCTnAsam0Rs varf =ueessa. um me ore ort. w= e een seen one more i,,wt sawmars vreer senera sae resort sees
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Approved: August 29, 1984 20 l u 8
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3
.; PUBLICATION 'OF TECHNICAL REPORTS PREPARED BY
, NRC CONTRACTORS, INCLUDING REPORTS PREPARED j UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 f
a '
. PART 111 1
3 UNCLASSIFIED TECHNICAL LETTER REPORTS . 9 A. FORMAT g
'[ 1. Applicability i a. The requirerients of this part apply t'o unclassified contractor q technical letter reports. (See Part I. A for definition.)
d b. The requirements of this part do not apply to consultants and j contractors to the NRC boards, panels, and advisory commit-Ji tees which report directly to the Commission. j 2. Requirements 7 Technical letter reports are prepared, duplicated and distributed in j accordance with the requirements of the Statement of Work in the
- contract or in the Standard Order for DOE Work. Each such report 1 must be identified with the financial number (FIlO assigned to the fj project. The number of copies to be prepared and the distribution 11 .
of those copies wiD be specified by the project manager. If unclas-gj sified and non-sensitive , the NRC project manager is responsible 14 for making such reportt available in the NRC Public Document Room M (PDR) by sending them to the PDR through the .NRC Document F' Control System. n B. PATENT AND SECURITY REVIEWS g 1. Patent Review G
. .J Patent implications shall be considered prior to approval of reports .y for public release so that disclosure will not adversely affect the r3 patent rights of NRC. If the work being reported is contractuaDy y managed through another government agency (e.g. , DOE labora- ;9 tories), that government agency should be requested by the con-is tractor to perform the patent review. ~3 If NRC directly administers the contract or the contractor is unable /,41j to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be g;i j consulted, and the responsible NRC project manager shall consider g the patent implications.
h If there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall request
.; ..d assistance from the NRC Patent Counsel, office of the Executive ?
Legal Director. fli M f$ 21 Approved: August 29, 1984
*E _ - - _ _ - _ _ - _ _ _ _ _ _ _ __. o
..w.: w i ~.a-..w m .w.4 .-, a o a sas v. & , h wr .__ w c w a- v,me, mis uw. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part III UNDER OR PURSU ANT TO INTER AGENCY AGREEMI.NTS
- 2. Security Review In raost cases, contractor technical letter reports will be unclassi-fied. Should a report of sensitive unclassified or class'11ed work be required , however, the project manager must work with the Division of Security to establ.ish the appropriate security procedures and inform the contractor of such procedures. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.
l l i l i i Approved: August 29, 1984 22 l
' * ~
e , PUBLICATION OF TECHNICAL REPORTS PREPARED BY l' NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202,
; {
N l i PART IV l
! UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC
- OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE d, LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS A. DOCUMENTATION I
- 1. Applicability 3 a. The requirements of this part apply to NRC staff who are j responsible for agreements with DOE Laboratories and their
.g contractors who print regulatory and technical reports re-quired by NRC. (See also Chapter NRC-1102).
- b. With respect to sensitive unclassified and classified reports the requirements set forth in Part V of this appendix shall be e used in conjunction with NRC Appendix 2101.
.? .! c. The requirements of this part do not apply to consultants and 4 contractors to the NRC boards, panels and advisory committees 'j. which report directly to the Commission. '1 Front Cover and Title Page
- x. 2.
,]
d a. Separate covers (of different paper than that of the text) and ei title page are required.* l l d b. Items such as those shown in Exhibits 3 and 4 and discussed i 9 d below shall appear on the front cover and title page, as appro- i'
-j p ria te . ** While layouts and typefaces need not be exactly the
.j same as in Exhibits 3 and 4, the items shall appear in approxi-mately the locations indicated and with the same relative l
-y prominence.
(1) NRC Report Number i];s p Each report shad be identified by an NRC-controlled p alpha-numeric designation as the prime designation unique
- to that document. The centralized report control system
' k: for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may b
- *The cover stock of the perfoming organization may be used; howev'er it
,) must include the data elements shown in Exhibit 3. '
=These requirements meet the specifications of American National Standard jgct ..
',, ANSI 239.18-1974, "Guidelines for Fomat and Production of Scientific and Technical Reports," and ANSI Z39.23-1974, "Technical Report Numbers . "
g . j 23 Approved: August 29, 1984
s w w a w. m w .a=.a w . w m : a.d.w u ~ " Y - u~' ' " " PUBLICATION 'OF TECHNICAL REPORTS PREPARED BY - NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED i Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ! be obtained by calling the Division of ' Technical Infonna-tion and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number. The NRC identification number will have the form: NUREG/CR-XXXX or NUREG/CP-XXXX The contractor's report number, if any, will be inserted below the NUREG nt.mber on the title page and cover, as shown in Exhibits 3 and 4, if desired by the contractor. When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate , volume , supplement, part, or revision designation shall appear immediately below the report number (s) . NRC report numbers on covers and title pages shall be shown entirely on one line to facilitate computer processing. (2) Title and Subtitle (a) Use a brief title, which indicates clearly the sub.iect matter covered in tne report. (b) When a report is' prepared in more than one volume, repeat the primary title on each volume. (c) If appropriate, show the type of report (e.g., annual report , final report, etc.) and the period covered as part of the subtitle. (3) Personal Author (s)' Name(sl (a) Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contributions are as editors , compilers , etc., so indicate on title page and cover following the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the report. (b) Authors may be identified on backstrips (spines) of l bound volumes. (4) Organization Identiffeation (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by "Prepared for the U.S. Nuclear Regulatory Commission. " j l l . l
, ., Approved: August 29, 1984 24 s - .t -
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3 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 5202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part IV I . (b) On the title page, provide information of the type illustrated in Exhibit 4. a i (5) Basis for Report Dates (s)
- 4 (a) The basis for dating .may be shown along with the
.) date o.n the title page. Various bases for dating are
- cossible; e.g., date report completed, date reviews
- completed, date published , date distributed, etc.
(b) More than one date, with the basis for each, may be l shown where this is necessary. 'l d 3. Avai] ability and Price Information j All femal reports will be made available for sale by NE;. and NTIS. 4 The statement shown in Exhibit 6 is required on the inside of the
, front cover.
' 4. Disclaimer The following notice shall be added during the printing step on the 1 inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government.
1 Neither the United States Government nor any agency thereof, or i
', any of their employees, makes any warranty, expressed or implied, 1
') or assumes any legal liability or rissponsibility for any third party's , j use, or the results of such ust., of any information, apparatus, l q product or process disclosed, or represents that its use by such si third party would not infringe privately owned rights." The follow-ing additional statement, "The views expressed in this report are 1 not necessarily those of the U.S. Nuclear Regulatory Commission" y will be printed below the standard disclaimer, if appropriate. Other 9j qualifying statements may be added, if needed (see Part I.C. , i Requirements for Draft Reports).
-l.x *k.
4 5. Previous Reports in Series D If the report being' prepared is one in an ongoing series, list all
$ previous reports in the series. Include report numbers and issuance 9 dates. Place this list on the back of the title page. ,j '1 Abstract ~
6.
}
' An abstract of 200 words or less shall be prepared for each femal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the
[h ij contents page.* g W g dj *This preferred positioning of the abstract in the document need not be fol-lowed if the style manual of the originating organization requires a different t)" ) location .
.l "d.
25 Approved: August 29,19H Q ,
a m m m u w.: m s u w ne-w w;o w w w w su w' -; w ' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
. 7. References and Bibborraphies 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 the Government Printing Office, at the National Technical Information Service, or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should net be made to personal communications and ir.terviews , unpubushed infomation and infonnation with restricted distribution te.g., proprietary , national security , official v.se only , etc.). If the unretrievable information is important an.d unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If credjt is due to individuals, they can be mentioned in the text or in an acknow-ledgement section . Availability may be statef collectiWly for all entries (see Exhibit 6). Guidelines for developing and presenting reference material are provided in NUREG-0650, "Technical Writir.g Style Guide," pub-lished in November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement 1 dated February 1982.
- 8. Bib 11errapic Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page. .
B. PATENT AND SECURITY REVIEWS 4
- 1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the
- patent rights of NRC or the contractor. The DOE Operations Office l responsible for the contractor should perform the patent review.
The results of such review shall be reported by the contractor on NRC Fonn 426A in item 11 (Exhibit 5).
- 2. Security Review In most cases, reports will be unclassified. Should a report of sen-sitive unclassified or classified work be required , however, the NRC project manager must work with the Division of Security to establish the appropriate classification procedures and inform the contractor. The standards for marking and handling such reports are given in Part V of this appendix and NRC -Appendix 2101. '
~
i l I Approved: August 29, 1984 26
.. l
.. . L
._, - z. . _ _ _ u._ - _: . . -. -. = _ ._
. . .y- ,
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 . UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV C. PROCEDURES FOR PRINTING AND DISTRIBUTING
. 1. Printin g i
I i Contractor reports may be printed only by a JCP-authorized print-I ing plant and then only if prepared for the NRC Office of Nuclear i Regulatory Research. Reports printed by the contractor and one , reproducible master shall be submitted to the . Division of Technical l l information and Document Control, with completed NRC Form 426A.
" The number of copies specified by the Statement of Work for stand-ard and incidental distribution shall be provided. The approprizte
identifying number (NUREG/CR _) may be obtained as discusr,ed in Section A .2.b. (1).
- 2. Reorinting
.4 Requests for reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of' Technical :
Information and Document Con trol. The request shall include a a written' justificatioh and the project managers approval for the re-printing, along with address labels for the recipients. ;
- 3. Distribution of Reports l j All copies of unclassified formal contractor reports will be distrib- )
( uted by the Division of Technical Information and Document Control
.] in accordance with instructions on NRC Form 426A (Exhibit 5). l NRC Fortn 426A must be signed by a contractor official authorized l
( by the project manager. Such authorization shall be reported in j writin g to the Division of Technical Information and Document
- 1 J Control. ,
i
^!
If any distribution is to be made other than, or in addition to, the l' standard distribution established for the report, written justification
- and the project manager's approval for printing additional copies l shall accompany the reproducible masters when submitted to the' l 3
1 Division of Technical Information and Document Control. Address labels for the additional distribution must be supplied. Q) The Division of Technical Information and Document Control will 3 3 arrange automatic distribution of these reports to the NRC Docu-9 ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.
?)
Distribution of sensitive (unclassified) and classified reports will be y made by the NRC project manager on a case-by-case basis.
^
6
- -) (
9 s s d . tt v. 27 Approved: August 29, 1984 Ik , _ __
^ ^
l . . l 1 . PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 fs PART V 4} REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION 4
'A. APPLICABILITY
-i These procedures and exhibits of this part apply to sensitive unclassi-fied and classified reports prepared by NRC contractors . These
' reports include those designated:
O'fficial Use Only i Limited Official Use
.j Proprietary Information
, Safeguards Information Confidential Secret Top Secret Only sufficient information is presented here to aid in the preparation of the properly marked covers, title pages, back covers, and text pages.
Details of the NRC Security Program and specific provisions for deter-mining when to use the markings' exhibited are contained in NRC g Appendix 2101. The reports covered are defined as sensitive unclassified or classified. j Sensitive unclassified information refers to . information designated Official Use Only . Limited Official Use, and Pregrietary Information. ;
; Sensitive unclassified information also includes Safeguards Infomation l 1 that must be protected from unauthorized disclosure pursuant to l -lj 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1954, as ' ,d amended, information withheld from public dissemination under the i j Freedom of Information Act or Privacy Act, and infonnation not to be i exported to or disclosed to foreign countries.
d Classified information as used in this part includes Restricted Data,
.$ Formerly Restricted Data or National Security Information that requires G protection in one of the three classification categories described in $ Executive Order 12356: Top Secret, Secret or Confidential.
q ii' The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and exhibited in the
$'" following sections. All sensitive unclassified and classified reports are 3 to be sent directly to the project manager.
e 3 B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.
. Ej y , NRC regulations require an Official Use Only marking to be placed on a fj ( report only when the originator or other holder believes the marking is b '
50 a d 29 Approved: August 29, 1984 R _ __. _ _ _ _ . _ __ ____. _ _ _ ._..__ . .._._ ,!
.~ . ,.u . a ~ we _ . .m .n..a wm_xwd a.:w a.L w.m.,am: ; a.ww - a PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS essential to ensure proper handling. Reports designated Official Use Only will contain only unclassified information originated by or furnished i to an NRC contractor which is to be withheld from public disclosure. The report on which the marking appears must be reviewed at the time a request for release is received to determine its releasability. The Official Use Only marking is notice of the originator's determination of the applica-bility of an exemption under the Freedom of Information Act or Privacy Act or both at the time of origination.
Official Use Only NRC contractor reports shall be marked as shown in Exhibits 8 through 10. ' Limited Official Use infomation is information originated by the U.S. Department of State. A report originated by an NRC contractor that contains Limited Official Use information shall be marked as shown in ! Exhibits 11 through 13. ; Procedures for reproducing, transmitting, protecting . and handlin g ; reports containing Official Use Only and Limited Official Use information , and removing such reports from those categories are detailed in NRC Appendix 2101. ! C. PROPRIETARY INFORMATION i l Proprietary information is a specific type of Official Use Only informa- ! tion . Proprietary information includes-
- 1. trade secrets.
2 privileged or confidential research, development, commercial or financial information exempt from mandatory disclosure under ; 10 CFR Part 2, "Rules of Practice for Domestic Licensing Proceed- 1 ings," Sections 2.740 and 2.790 and under 10 CFR Part 9, "Public Records," Section 9.5, "2xemptions."
- 3. information submitted in confidence to NRC by a foreign source, which has been determined by NRC to be unclassified.
Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 14 through 18. In each instance, the optional wording that describes the material being presented should be selected. If a report contains both Official Use Only infomation and proprietary information, the front cover shall be marked as proprietary information and may also be marked as Officin! Use Only infomation, if necessary. Pages in the report that contain proprietary. information may be marked accordingly , including, marginal or other indicators of the specific wording that is proprietary. Similarily, the pages that contain Official Use Only infomation without proprietary infomation may be marked Official Use Only I Approved: August 29, 1984 30
~ -
(' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V
; / .
Procedures for reproducing, transmitting, protecting and handling pro-
. prietary information reports and removing them from the proprietary j information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 19) is to be placed on each hard copy of a report containing ni proprietary information.
D. SAFEGUARDS INFORMATION j Safeguards information may be of three types: (1) classified informa-
]
tion, wnich is marked and handled as indicated in Section E, (2) un-classified information restricted under Section 147 of the Atomic Energy Act, which is marked and handled as described in this Section, and (3)
' unclassified information , which is publicly avtMable and handled as i indicated in Parts I through IV.
The safeguards information that is to be protected as described here is 7 unclassu;ed information used in a report which specifically identifies
- certain licensee's or applicant's detailed:
..}
- 1. security measures for the physical protection of special nuclear material 1
- 2. see'urity measures for the physical protection and location of certain plant equipment vital to the safety of production or. utilization 3 f acilities .
Unclassified NRC contractor reports containing safeguards infomation ei that is to be protected shall be marked as shown in Exhibits 20 through en
.)
j Procedures for reproducing, transmitting, protecting, and handhng safe- 1 a guards information reports and removing them from the safeguards l
? information category are detailed in NRC Appendix 2101. A cover sheet ti (Exhibit 23) is to be placed on each hard, copy of a report containing 5 safeguards information. l 1.
4 E. CLA35!FIED INFORMATION h} u Classified information is limited to Restricted Data, Fomerly Restricted eJ Data and National Security Information. The procedures for making classification determinations and for marking, reproducing, transmitting, M protecting, and handling reports containing classified information and y removing such reports from classified categories are detailed in NRC a .8,
$ Appendix 2101. These procedures are too complex for summarizing here.
m Classification detenninations regarding NRC information may be made j h solely by authorized classifiers designated by NRC or DOE. Authorized k classifiers are responsible for fasuring that reports they determine to be classified are marked and protected in accordance with the provisions Q of NRC Appendix 2101. 3 ' tf - S e 31 Approved: August 29, 1984 h h
% _ _ _ . _ ._. ... _ ._ . = , ...,._ . _ .. .
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS _ lt is important to note that information may not be classified in order to prevent or delay the release of information that does not require protection in the interest of national security. Basic scientific research information not clearly related to national security may not be classified.
. 1 Approved: August 29, 1984 32 a - --
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED
, Part V ,
l'NDER OR Pl'RSl' ANT TO INTER AGENCY AGREEMENTS a 1 EXHlBIT 9
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- 1. OFFICIAL USE ONLY INFORMATION d
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i j PUBLICATION OF TECHNICAL REPORTS PREPARID BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS
, EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING j LIMITED OFFICIAL USE INFORMATION i
t* _ UMITID CFMCIAL USE l J l i i NUREGICR XXXX (Si 5
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EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY
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- NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
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l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED . Pm V l UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS '
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EXHIBIT 14 2 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING , PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZAT 1 j J i
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l NUREGICR XXXX (P) j e t Title Subtitle and Type of Report i Avtvist., Coates cto Ettorisi Propered for i
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'r j g THl3 DOCUMENT CONTAINS INFORMATION WHICH MU3T BE PROTECTED FROM 1 p l , UNAUTMORlZED DISCLOSURE.10 CFR 73.21 AND SECTION 147. ATOMIC ENERGY -
ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO civil OR CRIMINAL PENALTIES. ; l v THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED PERSONS. WHEN NOT IN USE, IT MUST BE STORED IN A LOCKED SECURITY STORAGE /. .. C ON* AIN E R. I IT IS YOUR RESPONSIBILITY TO PROTECT THE INFCRMATION CONTAINED IN THl$ DOCUMENT FROM COMPROMISE. THEFT OR UN'WTHOR: ZED DISCLOSURE.
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Approved: August 29, 1984 43
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4 . l t PUBLICATION OF TECHNICAL REPORTS PREPARED BY l
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2 NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 l j UNDER OR flRSUANT TO INTER AGENCY AGREEMTNTS J ( . N l 1 s " l PisRT VI i
} HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE
! PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS g
- AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Program Offices j establish, to the extent feasible, cooperative nuclear safety research programs
" that involve either or both U.S. industry and foreign governments and orga- < 4 nizations . Such involvement includes monetary contributions , information { exchange, and comments on program plans and results. This is authorized in 42 U.S.C. 5801. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified information from NRC to participants. These procedures apply only to NRC-managed work not , programatically funded by DOE. l The interests of aD NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comme'nt of infoma-tion on these programs developed for NRC by NRC contractors. This can be j accomplished by distribution of "Draf t Prelin.inary Reports (or Codes)" for { , comment for a specified period of time, followed by issue as formal NUREG/CR
- .j reports, with the concurrence of the participants. Specific procedures for
\ accomplishing these goals and for transmitting infomation prepared by the 3
NRC and DOE facilities and contractors and their subcontractors working on q' these programs are presented in the following sections. The procedures de-
,, taihd here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers
, as guidance.
Q i A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT l 1 1 3 The first issuance of information by a contractor shall be designated l d "Draft Preliminary Report (or Code)," and shall include the cover sheet ] 'i shown in Exhibit 24. i d ' Yi The foDowing notice is to be printed on the bottom of the cover sheet j (Exhibit 24): NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO
- ,1 PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM !
1 4' A This report was prepared in contemplation of Commission I action . It has not have received patent review and may con- l tain information received in confidence. Therefore, the con- %) T. i tents of this report should neither be disclosed to others nor M (g reproduced, wholly 'or partially, unless written penniesion to do. so has been obtained from the appropriate USNRC office, f M The recipient is requested to take the necessary action to j
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ensure the protection of this report. ! 9} 49 Approved: August 29, 1984 . 51 - ~ ~-,, m m m , ; m. mmmmu ,
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l K.H.J.2LDG.XGx~ wE GRECQ.r w mil.E KZu- wu PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This notice has been agreed to by the legal staffs of both NRC and DOE ind is not to be added to or changed. Any problem in this regard shan be brought to the attention of the NRC project manager, who will consult f with the NRC legal staff.
- The "Draft Preliminary Report (or Code)" shan be submitted by first j class or express mail by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of copies specified by the project manager (in most instances this wiu be fewer than 20 copies).
j The cor.'ractor (DOE facility, contractor or subcontractor or other con- j t tractor) acy retain copies only for internal use. DOE facilities and contractors and their subcontractors shau not distribute copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices. Subsequent issues of the infonnation shall also be ' designated "Draf t Preliminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report.
"D raf t Freliminary Reports (or Codes)" shau not be identified as NUREG/CR reports or carry any contractor report number or NRC dis- ;
tribution codes, j B. DISTRIBUTION BY NRC PROJECT MAN AGERS The NRC project manager will distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a reed-to-know, and (3) others authorized by the program or project manager. Trans-mittal to participants shall be by first class or express mail, including air mail to foreign participants. If premium cost mail services are to be used, a Division Director or comparable or higher authority must e certify to the need on NRC Form 420, "Request 'for Premium Cost Mail S e rvice . " Premium cost mail is:
- 1. Express Mail, Priority Mail (First Class weighing more than 12 ounces)
- 2. International Express Mail (Air Mail weighing more than 10 ounces)
(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A) C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT . A minimum of six months wiU be aDowed for comments and resolution of comments. At the end of the comment period, the NRC project manager shau, with the concurrence of the participants, authorize the contractor to issue the information as a NUREG/CR report in accordance with the provisions of this Chapter. I D. REPORT IDENTIFIERS The "Draft Preliminary Reports (or Codes)" wiu be uniquely identified only by the Financial Identification Number (FIN) assigned by NRC and Approved: August 29, 1984 50
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI ; l l 1
' the appropriate periodic notation, if any , included in the title (Ex- ,
J hibit 24). They shau not be given standard report nomenclature until i
. the NRC project manager authorizes pubucation as a NUREG/CR report. i ! At that time , the contractor may add its own designation below the ;
j NUREG/CR number, as shown in Exhibits 3 and 4. l i 1
- j. E. MAILING TO PROGRAM PARTICIPANTS
- The physical transmission of reports from NRC to ptogram participants shan be handled by the Document Management Branch (DMB), Division of 2 Technical informaticn and Document Control (TIDC), based on address i, labels of participants suppued by the project manager. The transmittal
} sheet shown in Exhibit 26 shan be used to transmit the documents and ; the labels to DMB.
F. SECURITY 7 If information included in the report or code has been determined to be ! sensitive unclassified or classified information (see statement of work) I the procedures of Part V also apply. The report (or code) may ny be 4 classified solely for the purpose of limiting distribution to the partici- ! pants. ' l i
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMINTS EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT ORAFT PRELIMINARY REPORT (CODE) FOR COMMENT i l FIN NO. I 1 Title of Program l l Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter Issue No. 1) l Prepared by (Name of DOE Facility, Contractor and/or Subcontractors, if any) l for U.S. Nuclel r Regulatory Commission . NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUE 0 ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM
, This report was prepared in conterrelation of Ccemission action. It has not received patent review and may contain infonnation received in confidence.
Therefore, the contents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report. , Approved: August 29, 1984 52
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1 PUBL; CATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part \7 (. EXHIBIT 25
, TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT I
2
.I 70: NRC Project Manager .[ ,
SUBJECT:
ORAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMiENT I . f j The enclosed "Draf t Preliminary Report (Code)" is being submitted for coment. It is our understanding that the comment period shall extend six months from
', the date of mailing of the draft to the participants. Upon resolution of the j coments af ter that period and with concurrence of the cooperative program 1 .j participants, tne NRC Program Manager will authorize publication of this '
j ' report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 rj or 3202. Q
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1 DOE Facility or Contractor Representative 9 1, N
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9 1 n d i , .b, k. 53 Approved: Auguit 29, 1984 .re b- - ~ - _ _ _ - - _ _ ___,, , ,, , .=, , . ., m . . . . _ mer , -z_._
.~.C.:.i:. ; ^7w.:, w . . . . .- L . ~. ~ .. = -.~ .,a -. . n _ - - .. .. ~ .:: - .;- r PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 ttNDER OR PURSl' ANT TO INTER AGENCY AGREEMENTS Part VI EXHIBIT 26 TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients : Addresses on attached labels ! Method of Mailing:
// First Class Postal Service to U. S. addresses C/ Express mail to U. S. addresses
- C/ Air mail to foreign addresses
- C/ Surface mail to foreign addresses ,
(may require up to three (3) months) ; THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENSITIVE UNCLASSIFIED INFORMATION Special Instructions: Individual Requesting Mailing: Project Manager or High Authenty
Enclosures:
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- 1. Address labels
- 2. Documents to be maued
*!f premium cost mail services are to be used, a Division Director or compar-able or higher authority must certify to the need on NRC Form 420, "Request for Premium Cost Mail Service," Premium cost mail is:
- 1. Express Mail, Priority Mail (First Class weigMng more than 12 ounces) l l
- 2. International Express Mau (Air Mai' weighing more than 10 ounces) !
I (See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, Annex A) 54 Approved: Au gust 29, 1984
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