ML20199L686

Contract: Data Entry Support Svcs for Region I. Awarded to Pace Data Sys,Inc

ML20199L686
Person / Time
Issue date:	06/10/1986
From:	Collins L, Pace E NRC OFFICE OF ADMINISTRATION (ADM), PACE DATA SYSTEMS, INC.
To:
Shared Package
ML20199L678	List: ML20199L675 ML20199L686
References
CON-FIN-C-1013, CON-NRC-28-86-356 NUDOCS 8607090552
Download: ML20199L686 (145)

Text

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16 TABLE OF CONTENTS en ISEC l OfSCSirTION lF AG E :56 i :SEC l DESCairTION lPA'1E S PART 4 - TNE SCHE DULE PApi al- CONT E ACT CL AUSES

)( lA l SOLICIT ATION CONTR ACT 80 AY } l )( l t ! CONTR ACT CL AL'SEE I2 i E lSUPSLIES OR SE S VICES AND FS.tCES COSTE Pa c T tre - List OF OOCUVE NTS. E xMie T5 ANO CTHE R ATT AC-C DESCciFTtON' SPECS WORK ST ATEVE NT XiJ l LIST OC ATT ACwvE NTS I 2 D FACK AGINC AND VAAKINO PAET IV - A Epn ESC FQ ATIONS ANO INST EUCT *GNE E INS:ECTION AND ACCEST ANCE I K FECRE SENT ATIONS CE CitFICATIONS AND  !

l F DE LfvE AIES OF PEFFORVANCE j CTHES ST ATEVENTC Or OFFE AORE l l G CONTR ACT ADvlNISTR ATION DATA IL (INETES CONDE AND NOTaCr E TO CF re A OS I l H SCE CI AL CONTR ACT AE O_'IPE VE VE 8 e 6 E s Au ATION F ACTOSS F05 AW APO I

CONTRACTING OFFICER WIL L COWL ETE ITEW 17 OR 1E AS APFLICAEL E It b CONT R ACTOn 5 NEGOTIATED AGREEVENT # Cone arrOe it u rrAW AR D (Contenctce ss not required to saga this document.s vo.'

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3. A. N AML AND T sT LE OF 58GNE R (Tipt ue praers 20A NAYE OF CONT k Act SNG OF FeCE R

- LAWRENCE S. COLLINS

_b4 WLCO ThA d.TOh A cE J E , rer Contrnet1na ott1cer 192. N AM E '

19C DATE 5< NEO 206 UNefEC, 1A1 OF Avt rec A 20C.DA7E SGNE.C Bs -

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PART II - CONTRACT CLAUSES Section I - Contract Clauses 52.219-12 SPECIAL 8(a) SUBCONTRACT CONDITIONS. (APR 1984)

(a) The Small Business Administration (SBA) has entered into Contract No.

with the U.S. Nuclear Regulatory Commission to furnish the supplies or services as described therein. A copy of the contract is attached hereto and made a part hereof.

(b) The hereafter referred to as the subcontractor, agrees and acknowledges as follows:

(1) That it will, for and on behalf of the SBA, fulfill and perform all of the requirements of Contract No. for the consideration stated therein and

- that it has read and is familiar with each and every part of the contract.

(2) That the SBA has delegated responsibility for the administration of this subcontract to the U.S. Nuclear Regulatory Commission with complete authority to take any action on behalf of the Government under the terms and conditions of this subcontract.

(3) That it will not subcontract the performance of any of the requirements of this subcontract to any lower tier subcontractor without the prior written approval of the SBA and the designated Contracting Officer of the U.S. Nuclear Regulatory Cemmission (c) Payments, including any progress payments under this subcontract, will be made directly to the subcontractor by the U.S. Nuclear Regulatory Commission.

(End of clause)

(AV 1-1.713-3(e)(1))

PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS Section J - List of Attachments Attachment Number Title 1 Contract No. NRC-28-86-356 between the U.S. Nuclear Regulatory Commission and the U.S. Small Business Administration i

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U.S. Nuclear Regulatory Comission Division of Contracts Washington, D.C. 20555

7. N AME AND ADD AE15 08 C ON1 h AC 10 8. #A C . stree t, rers . rOua ts 6 ts t. ana t ti coo' s e DLLivEE' U.S. Small Business Administration ] FOE ORIGtN O oT t a t>

, D,3covNi ,05 ,,Ouri ,A,oENi Philadelphia District Office - Region III One Bala Cynwyd Plaza - Suite 400 East Lobby Net 231 St. Asaphs Road Bala Cynwyd, PA 19004

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U.S. Nuclear Regulatory Cor.ission, Region I  : U.S. Nuclear Regulatory Comission 631 Park Avenue ' OPJi/ Division of Accounting and Finance King of Prussia, PA 19406 -

Washington DC 20555 n A n Cm , . O i. vs s N s ca .c n, A, rrAc ui i N ccJ.'r c t r 2 4 AccO - .% ANo An a n Anon OA1A

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,31X0200.916 Obligate: $42,000.00 iSA nEvNo: ise SacwES SEsveES isc OaANm v 150 uN T : ist unit rmCE ist Av u.-

The Government hereby accepts your proposal to pro /ideDakaEntrySup port Services for Region I. Your proposal dated March 13, 1986, and revis ions dated April 18, 1986 and April 21, 1986 are incorp ) rated lerein and made part of this contract by reference.

This is a Cost-Plus-Fixed-Fee Increnentally Funded contract.

15G TOTAL AMOUNT OF CONTRACT kiS75 All.06

16. T ABLE OF CONTENTS 4; !SEC l OE SC E IF TION l F A G E (S' O iSEC l DE SC A FTION lF AC E 'S PART 4 - THE SCHE DULE FART le - CONT R ACT C L AUSE5 A

X SDLiceT ATION' CONT 5 ACT FOPY 1 Xl I l CONT R ACT C L AL'SE S l 2}

X E S UPFLIES OR SE PVICES AND FRtCES'CCSTS PAET isi- List Or DOcuvE NTs. E m HieiT5 AND OTHE n ATT ACH 2

X C DE SCRIFTIONrSPECS /WORr ST ATEVE NT l 9 Xi .t l LIST OF ATT ACHVE NTS I St.

y D PACK AGING AND VARKING q PART iv - R E P A E SE NT AT EONS AND INST A UCTIONS y E INSCECTION AND ACCEPT ANCE q K FEPRE SE NT ATIONS.CE ATIF IC ATIONS ANO Y F DE LIVERIES OR PE AFORMANCE 6 X OTHER ST ATEMENTC OF OF F E ROPS 55 y G CONTR ACT ADVIN!STR ATION DAT A 10 L INST 55 CONOS . e.No NcT ite S to om ac=S y H SCE CI AL CONTR ACT REOutcE VE NTS 15 U EVALU ATION F ACTO 55 FOF AWACO CDA TRACTeh G OFFICER WIL L COA *PL E TE ITEA* 17 OR 1E AS APPLICABL E

37. $ CONT R ACTOR *$ NEGOTIAT ED AG R E EVENT # con trarf0* 38 u rr AW A R D # con t Octor u no t reepsrrd #O set

• this 40rumen t # Y Ov' (ansetd to alle thi, dOtumen t and re turn 3 EnCats to assueng Offste } CetateOn NumDt* .

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( *C P't , C2f tef 6 of te'., 'anc (t) this a*ard Cont'act. tw f u'thef COnfraClwa' OOComent es neCet eve'ents ese,Ca?'.Onn, anc EDeC af scat sOnt. a5 4'e attoChec Of anC O' D ota t e C Op Sa r y e en (A trachments are hated Atterer: 1 19A. N AME AND T ITLE OF SIGNE R thpr or pranti 20A. N AME OF CONT R ACTING OF FICE k LA EEZ E S. COLLINS Contractinc Officer . Elois Wiggins 194. N A M OFCONTRACTOR 3 9C. D ATE 58GNED 20B Uru T E O 51 A T L 5 F ,AM E A iC A 20C. DATE 1 eGNEL E' * ? be -

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CPO 3965 0 - 469-794

Prime Contrac: # bMEb M Subcontrac t Nu=ber 3-E6 .2-30sp SPECIAI. 8(a) CONTRACT CONDITIONS (Apg igen The Sna113usines s Ad=inistration (S3A) agrees to the following:

(a) To f urnish the supplies or s ervi:es se: f or:h in this c on:ract according to the specifications and the :er=s and conditiens hereo f by erbcentrse:ing wi:h an eligible c on arn pursuan: to the provisions o f s ee: ion S(a}

o f the Snail Sesines s 1.c: , a s anende d (13 U.S .C. 53 7(A)) .

(b) That in the even: 53A does no: award a subcont:2c: f or a '.1 o r a part o f the work hereunder, this con:rac: :ay be ter=ina:ed eithe r in whole o r in part wi:hout cos: e o e ither p at:y. ,

f r y * ~

(c) Delegates to the buccsu 74a c.didity c on Mr.ssu n s the responsibility f or ad=inistering :ne succontrac: :o b e awarded hereunder wi:h co=plete authority t a take any action on behalf o f the Gavern=en unde the ter=s and c nditions ojL the subcon:- et; provided, however, that the u c c. E / r3 [tou t pu y 'o m 4 a.S u shall give advanc e notice t o the S3 A )

before i: issues a f inal notice t erninating the right o f a subcontractor t o proceed with further perfor=ance , ei:her in whole or in part , under the [

s ubcontract f or daf ault or f or the c onvenience of the Govern =ent.

(d ) Tha : paynent s e o b e =ad e unde: any subcontract awarded unde this cogtrac: will be =ade direc:ly tythe subcontractor by '

the b ucl.E A M fE 6 4. c. p-c,e v ~

Co ir>>ri r.s t e su .

(e) That the subcontrae:or awarded a subcontract hereunder shall have the righ t o f appeal fro = decisions of the Contracting Officer congnizable under the " Disputes" c lause o f s aid subcon:: set.

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NRC-28-86-356 Page 2 Section B - Supplies or Services and Prices / Costs B.1 Brief Description of Work The contractor shall perform Region I data entry support services in accordance with the Statement of Work specified in Section C.

B.2 Remittance Address Nace: Pace Data Systems, Inc.

Address: 2783 Roberts Avenue Philadelphia, Pennsylvania 19129 Section C - Description / Specifications / Work Statement C.1 Statement of Work C.1.1 Background General The United States Nuclear Regulatory Commission is responsible for.the protection of the public health and safety in the civilian use of nuclear power and nuclear materials. In the performance of its duties, the NRC utilizes a wide variety of automatic data processing, encompassing numerous applications, including scientific, administrative and management information systems. The Office of Resource Management (RM) is responsible for ADP within the NRC. RM is striving for a sophisticated telecommunications network, which links all of its ADP capabilities, and for processing, such an environcent as the which strongly use of hierarchical languages sup(ports distributed i.e., ADABAS and S2K) and the introduction of office automation.

C.I.2 Equipment The NRC does not own a mainframe computer to perform large-scale data processing operations, and depends primarily on buying computer time (timesharing) from DOE National Laboratories, the National Institutes of Health (NIH) DCRT Federal Data Processing Center, and commercial sources. NRC's ADP equipment to support timesharing consists of remote job entry stations, data terminals, and associated telecommunications equipment needed for data transfer and communication with the facility at which the computer is located. NRC now utilizes over 250 individual terminals and nine remote job entry stations. -

The teleconmunications equipment needed to accommodate this remote computer usage consists of about 260 models of various types. Most of these modems are used with dial-up telephone lines. Six leased telephone circuits are also used -- two circuits connect NRC to the Central Scientific Computing Facility at Brookhaven National Laboratory; one circuit is used to transfer encrypted, classified nuclear materials

- NRC-28-86-356 Page 3 inventory data between NRC and the Oak Ridge National Laboratory's Computer Science Division K-25 Computer Center; one circuit connects NRC to the Gemantown, Maryland node of DOE's secure message network (SACNET); and two circuits connect the remote job entry stations in the Phillips and East West Towers Buildings in Bethesda, Maryland to the NIH DCRT.

In addition, the NRC now has about 200 pieces of work processing equipment, including stand-alone and shared systems with cathode ray tubes and high-speed laser printers. Capabilities range from stand-alone memory and magnetic card typewriters to networked, shared-logic systems. Personal computers are also used throughout the NRC as remote teminals or for stand-alone local applciations.

C.I.3 Software Software (computer programs) can be categorized as follows:

Category 1 - Proprietary softwee used to aid in applications development as sulplied by the hardware or independent vendor. Such sofMare is used where applicable to significantly cut idevelopment and maintenance costs and to help non-ADP personnel use the computer as an infomation tool.

Category 2 - Proprietary software supplied by the hardware vendor related to computer syctems operations.

Category 3 - User-developed software using higher-level languaes and proprietary package interfaces. Such software is developed to satisfy specific user requirements in business and scientific applications.

Proprietary software, as defineo in Category 1, is either purchased or leased from specific vendors and is often termed " package software." It is designed to perform either specific or general functions. Although the NRC has no specific applications packages at the present time, they might include accounts receivables, budget, and payroll.

General use packages include processes such as complex data base use, generation of graphs, report generation, and statistical analysis. The NRC has purchas'ed and currently maintains five packages of this type:

. System 2000 - complex data base manipulation and inquiry

. MARK IV - general file maintenance and report generation

. IDTA - Datt. General screen format and data manipulation .

. IMOS - Data General data base management system (DBMS)

. ORACLE - Relational Data Base Management System

. RAMIS II - Relational Data Base Management System l

i

- NRC-28-86-356 Page 4 Other general purpose packages software that the NRC has access to are:

. TELEGRAF/DISSPLA - graphics

. SPSS - statistics

. SAS - statistics

. WYLBUR - text editing, work processing

. IBM user application utilities (sort / merge, etc.)

. AZ-TEXT (Data General work processing package)

Proprietary software, as defined in Category 2, includes computer-operating systems related support utilities that are not accessible / changeable by the applications programmer. In the IBM environment at NIH, the operating system is termed OS/VS (Operating System / Virtual Storage). Support utilities include those supplied by IBM for disk pack maintenance and similar housekeeping tasks. Other software falling within this category includes language compilers (BASIC, COBOL, FORTRAN), file and data management software (ISAM, VSAM),

and comunications handlers (TSO and parts of WYLBUR). The NRC currently has two operating systems (AOS and RDOS) used on its Data General Eclipse minicomputers. The H-P 1000 uses HP/ RTE-48.

User designed and developed software, Category 3, is the most used within the - Comission. Software of this type eminates from detailed specifications designed for a specific purpose within a given system (i.e., a daily report of personnel actions). Programs of this type are usually written in high-level compiler languages such as COBOL, FORTRAN, or PL/1. However, proprietary software interfaces can be used with higher-level languages for data base access (i.e., SYSTEM 2000 DBMS).

The most commonly used compiler languages within the Corrnission are COBOL (administrative / management applications) and FORTRAN (scientific applications). At the present time, there are approximately 100 administrative / management systems in operation which are made up of about 2400 computer programs. Scientific codes currently in use number approximately 250.

C.I.4 Facilities NRC supports ADP activities at five regional offices and 10 headquarters buildings. This distributed ADP environment requires the placement of equipment at all 15 locations. Some locations need only data tertnainals and therefore require no special facilities; others house minicomputers and remote job entry stations which require special facilities such as power supplies, humidity and temperature controls, raised flooring, access controls, and storage space. Remote job entry stations are located in each of the five regional offices and at four. headquarter sites. All 10 minicomputers are at headquarters in five different buildings.

Locations having access to systems developed under this contract are:

NRC Headquarters - Washington, D.C. 20555 NRC Region I - King of Prussia, Pennsylvania 19406 NRC Region II - Atlanta, Georgia 30303 NRC Region III - Glen Ellyn, Illinois 60137 NRC Region IV - Arlington, Texas 76012 NRC Region V - Walnut Creek, California 94596

I NRC-28-86-356 Page 5 C.1.5 Contract Objectives C.2 Scope of Work C.2.1 Requirements The contractor shall provide the necessary personnel to fulfill the requirements of this Statement of Work. Computer time and use of NRC equipment and facilities will be made available in the Region I office for the scope of this effort. The requirements of this Statement of l' Work are in support of the objectives of the U.S. Nuclear Regulatory Commission. This involves the data entry functions of Region I for ADP System Operation. All activities perfomed under this Statement of Work shall be issued by Isabel Sallustio with the Region I office in coordination with the Office of Resource Mangement (ORM) and the Division of Contracts.

Specifically, this contract involves data entry activities relating to various systems which Region I is operationally responsible for. The Data Entry will be perfomed on-site at the Region I office (King of Prussia, PA) using a teminal provided by the region.

Region I will conduct a brief training srssion (approximately 12 hours1.388889e-4 days <br />0.00333 hours <br />1.984127e-5 weeks <br />4.566e-6 months <br />) in NIH Wylbur logon, collect, modify, save, etc. procedures, as well as instructions regarding the specific tasks. l The estimated volume of Data Entry is as follows:

4 RITS - 275 forms per week totalling approximately 1,250 lines of input. '

766 - 50 forms per week including modification and deletions.

Morning Report - average 2 pages per day. i OIL File - Approximately 100 foms per week including modifications and j deletions.

It is estimated that the following types of personnel will be required

l. to suppport these tasks.

i Category Minimum Qualifications Project Manager College degree or equivalent plus approximately 10 years or more progressive experience in data processing. Experience should include performance of feasibility studies, systems analysis, systems design, programming, testing, and system installation plus at least two years .

recent experience in managing projects involving development activities. Must have d6 tailed  !

knowledge of project management responsibilities.  !

Progransner Aide An individual who is capable of not only interpreting and entering raw data into a computer from code form, source documents, etc.,

but who is capable of setting up the necessary

. NRC-28-86-356  !

Page 6 pre-established job control pr6cedure in the proper sequence with appropriate control cards to execute, audit, update and report generator programs as required. He/She must have a minimum of one year experience with data entry and systems operations tasks.

C.2.2 General Maintenance of Input Terminal and Printer to Keep Operational on a Weekly Basis Deliverables

1. Power on and maintain printer up status at start of work day until end of work day.

2. Reports to be extracted, separated between job numbers, and placed on work table.

3. Printer paper, ribbon, to be replaced as needed and e. count log to be kept after each change. When down to a certain count, supplies to be reordered or Management Analyst, Resource Management Branch, to be notified of such need.

C.3 GOVERNMENT FURNISHED PROPERTY The contractor shall have access to and use of the NRC computers essential to the successful performance of the work required hereunder. l Additionally, the contractor will be provided office space equipped with desk, terminal, and supplies necessary for successful performance of the contract.

Section D - Packaging and Marking D.1 Packaging and Marking

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

l Section E - Inspection and Acceptance E.1 FAR Citations 52.246-5 INSPECTION OF SERVICES--COST-REIMSURSEMENT. (APR 1984)

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

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

Complete records of all inspection work performed by the Contractor shall be maintained and made available to the Government during contract performance and for as long afterwards as the contract requires.

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I NRC-28-86-356 Page 7 (c) The Governnent has the right to inspect and test all services  ;

called for by the contract, to the extent practicable at all places and times during the tem of the contract. The Government shall perfom inspections and tests in a manner that will not unduly delay the work.

(d) If any of the services perfomed do not confom with contract requirements, the Government may require the Contractor to perfom the services again in confomity with contract requirements, for no additional fee. When the defects in services cannot be correctd by reperfomance, the Government may (1) require the Contractor to take necessary action to ensure that future perfomance conforms to contract requirements and (2) reduce any fee payable under the contract to reflect the reduced value of the services perfomed.

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

(End of clause)

(R 7-1909.5 1971 Nov.)

Section F - Deliveries and Perfomance F.1 Reports, Documentation and Other Deliverable End Items The reports listed below are to be prepared in accordance with NRC Manual Chapter 3202 (Attachment 2).

F.1.1 RITS Operation of the RITS system will include data entry functions with regard to the weekly processing of the system (approximately 275 RITS forms per week), as well as the generation of the weekly report.

Deliverables The Programer Aide should follow the instructions below and have all l reports generated by c.o.b. Thursday (in the event of a Monday holiday, on Friday).

1. Data Entry

(

- All data elements should be processed.

- Source documents are to be arranged and filed in alphabetical order.

- Identify person (s) not submitting RITS forms by c.o.b. Tuesday and provide list to RITS Coordinator.

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2. Reviewer Reports

- The reviewer reports were separated to contain just data base updates, as opposed to MPS updates.

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NRC-28-86-356 Page 8

- Only TAC reviews should be updated. Do not add TAC numbers to a reviewer unless they put the TAC number at the top of their reports.

- DO NOT CHANGE ANY ACTIVITY CODES WHICH REVIEWERS CHANGE ON THEIR REPORTS.

3. Edit and Updates Execute biweekly edit and provide RITS errors to RITS Coordinator for correction. Make corrections to the RITS system based on RITS corrections supplied by the RITS Coordinator. Execute biweekly edit again to see that all errors have been resolved.

Retain all on-line listings which are generated with the edit and updates.

4. Staff File & Tables - Region I The Programer Aide will be responsible for maintaining these files and is the only person authorized to change these files.

5. Repor. File Generations Any problems encountered must be noted in the processing log. All computer runs must be recorded in this log and the JCL listins must be retained. After all of the files and tables have been updated, i generate the report files and reviewer reports. To accomplish this, the "RITS COMMAND PROCEDURE" (CP) is executed. You will be prompted to modify data parameters which are provided on the RITS WEEKLY TACS REPORT FILE GENERATION TABLE (FY84) (hereafter referred to as "the TABLE").

The Reviewer Reports must be delivered to the Region I Coordinator by c.o.b. Monday (Tuesday, if Monday holiday).

6. Reports (Run every two weeks)

You will be prompted in the Region I Comand Procedure whether or not the office reports are to be run. Region I staff will furnish schedule.

All reports must be delivered to the Region I RITS Coordinator by c.o.b. Thursday. -

NRC-28-86-356 Page 9 l 1

7. Processing Log

. - All Job Statistics Must be Posted in the Log Book.

- Any new TAC foms that are rejected by the system for any reason l must be entered on the trouble report.

8. RITS Processing The Programer Aide should refer to the attached RITS User / Operations Manual for instructions concerning RITS processing.

F.1.2 Statistical Data Reporting (766) Work ',t'atement On a weekly basis review NRC Forms 766A and 766 for completeness and errors, perfom data entry and pre-edit processing, proofread, edit and make necessary corrections for 766 master file. Data must be ready for HQ to enter onto master file before 7 work days have passed.

Deliverables

1. On a daily basis perform instructions " Documentation for 766 Data Base System" (Regional Computer Assistant maintains this document) on all incoming source documents (NRC Foms 766 and 766A) received that morning.

2. Correct obvious errors or missing items when the proper information can be determined from the written instructions. Contact the Regional Computer Assistant to resolve questions and to obtain the necesary input elements to be coded.

3. Perfom the data entry in accordance with data entry operating instructions " Documentation for 766 Data Base System." Infomation is entered into the computer through on-line remote teminals.

4. Execute the Edit Program according to instructions. Review computer printouts, job control language, and operating system error messages to assure successful completion. Correct input errors as identified by edit program or as observed by auditing the output reports. For errors which cannot be corrected, return Edit Report and input list to Regional Computer Assistant for resolution.

F.1.3. Morning Report Work Statement (MR)

Description The Morning Report is received daily by 11:45 a.m. from the Regional

Word Processing Center for input to the central computer by 2

00 p.m.

regional time.

Deliverables

1. On a daily basis perform the data entry of the morning report source l document according to written instructions. List off on computer to proofread before final command procedures.

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NRC-28-86-356 Page 10

2. Comand procedures to be executed in order to route morning report copies to other regional offices and headquarters.

F.1.4 Outstanding Items List System (OIL) Work Statement Received on a daily basis. Review OIL data input fonns/ printouts for completeness and accuracy, perform data entry, proofread, run edit / updates, make necessary corrections to maintain the OIL master file on a once-a-month basis.

Deliverables

1. As received each day, review incoming documents, verifying accuracy and checking for duplicates on the master file.

2. Correct obvious errors on source documents or return to Regional Computer Assistant for resolution of other errors.

3. Perform data entry function and verify that all information is correct.

4. Run the edit / update program and verify update completion of each transaction.

5. Routine monthly reports to be run, extracted from printer, assembled and distributed according to written instructions.

F.2 Place of Delivery ,

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

U.S. Nuclear Regulatory Comission, Region I Attn: J. Mc0 scar, Project Officer 631 Park Avenue King of Prussia, Pennsylvania 19406 Project Officer (1 copy)

Division of Contracts (1 copy)

F.3 Duration of Contract Period The contract's period of perfonnance is from April 30, 1986 through April 29, 1988.

F.4 FAR Citations -

52.212-13 STOP-WORK ORDER.-- Alternate 1 (APR 1984)

(a) The Contracting Officer may, at any time, by written order to the Contractor, require the Contractor to stop all, or any part, of the work called for by this contract for a period of 90 days after the order is delivered to the Contractor, and for any further period to which the parties may agree. The order shall be specifically identified as a stop-work order issued under this clause. Upon receipt of the order, the Contractor shall imediately comply with i

NRC-28-86-356 Page 11 its tems and take all reasonable steps to minimize the incurrence of costs ellocable to the work covered by the order during the period of work stoppage.

Within a period of 90 days after a stop-work order is delivered to the Contractor, or within any extension of that period to which the parties shall have agreed, the Contracting Officer shall either--

(1) Cancel the stop-work order; or (2) Terminate the work covered by the order as provided in the, Termination clause of this contract or the Temination for Convenience of the Government, clause of this contract.

(b) If a stop-work order issued under this clause is canceled or the period of the order or any extension thereof expires, the Contractor shall resume work.

The Contracting Officer shall make an equitable adjustment in the delivery schedule, the estimated cost, the fee, or a combination thereof, and the contract shall be modified, in writing, accordingly, if--

(1) The stop-work order results in an increase in the time required for, or in the Contractor's cost properly allocable to, the per'ornarce o' any part cf this contract; and (2) The Cortracto" asserts a clair for the adjustner.t withir 3: days after the end of thE Period of work stoppage, provided, that, if the Contractinc Officer decides the facts justify the action, the Contracting Officer may receive and act upon the claim asserted at any time before final paynent under this contract.

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

(d) If a stop-work order is not canceled and the work covered by the order is teminated for default, the Contracting Officer shall allow, by equitable adjustment or otherwise, reasonable costs resulting from the stop-work order.

(End of clause)

(AV 7-105.3 1971 APR)

Section G - Contract Administration Data G.1 Considera tion A. Estimated Cost, Fixed Fee and Oblication

1. It is estimated that the total cost to the Government for full performance of this contract will be $75,411.06, of which the sum of represents the estimated reimbursable costs, and of which represents the fixed fee.

2. There shall be no adjustment in the amount of the Contractor's fixed fee by reason of differences between any estimate of cost for perfomance of the work under this contract and the actual cost perfomance of that work.

3. The amount presently obligated by the Government with respect to this contract is $42,000.00.

G.2 FRINGE BENEFIT RATES / GENERAL AND ADMINISTRATIVE RATES A. Pending the establishment of final fringe ra tes which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs hereunder at the provisional rate of percent of direct labor.

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NRC-28-86-356 Page 12 4

B. Pending the establishment of final general and edministrative rates i which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs hereunder at the provisional rate of percent of direct labor.

C. Notwithstanding A. and B. of this Article, said provisional fringe and G&A rates may be adjusted as appropriate during the term of the contract upon the acceptance of such revised ra tes by the Contracting Officer. These rates are ceilings and are subject to downward adjustment pending the results of a final audit.

G.3 Payment of Fixed Fee Payrent of fixed fee shall be in accordance with paragraph (b) of clause 52.216-8 entitled " Fixed Fee" and the NRC billing instructions in Part III, Section J.

G.4 Technical Direction A. Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer named in Section G.5 of this contract. The term " Technical Di rection" is defined to 2 include the following:

+

1. Technical direction to the Contractor which shifts work emphasis between areas of work or tasks, requires pursuit of certain lines of inquiry, fills in details or otherwise serves to L accomplish the contractual scope of work. .

2. Providing assistance to the Contractor in the preparation of ,

drawings, specifications or technical portions of the work description.

3. Review and where required by the contract, approval of technical reports, drawings, specifications and technical information to be delivered by the Contractor to the Government under the contract.  ;

B. Technical direction must be within the general scope of work stated ,

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

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

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

3. In any way causes an increase or decrease in the total estimated  ::

contract cost, the fixed fee, if any, or the time required for contract performance.

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

~ ____ _

NRC-28-85-356 Page 13 C. ALL TECHNICAL DIRECTIONS SHALL BE ISSUED IN WRITING BY THE PROJECT OFFICER OR SHALL BE CONFIRMED BY SUCH PERSON IN WRITING WITHIN TEN (10) WORXING DAYS AFTER VERBAL ISSUANCE. A copy of said written direction shall be submitted to the Contracting Officer.

The Contractor shall proceed promptly with the perfomance of technical directions duly issued by the Project Officer in the manner prescribed by this article and within such person's authority under the provisions of this article.

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

D. Any unauthorized comitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's perfomance, and may even result in the Contractor expending funds for unallowable costs under the contract.

E. A failure of the parties to agree upon the nature of the instruction l or direction or upon the contract action to be taken with respect thereto shall be subject to the provisions of the contract clause entitled " Disputes."

G.5 Project Officer A. The individual (s) listed in "B" below is (are) hereby designated as the Contracting Officer's authorized representative (hereinafter called Project Officer) for technical aspects of this contract. The Project Officer is not authorized to approve or request any action which results in or could result in an increase in contract cost; or terminate, settle any claim or dispute arising under the contract, or issue any unilateral directive whatever.

The Project Officer is responsible for: (1) monitoring the Contractor's technical pm gress, including surveillance and assessment of perfomance , and recomending to the , Contracting Officer changes in requirements; (2) interpreting the scope of work; (3) perfoming technical evaluation as required; (4) perfoming technical inspections and acceptances required by this contract; and (5) assisting the Contractor in the resolution of technical problems encountered during performance. Within the purview of this authority, the Project Officer is authorized to review all costs requested for reimbursement by Contractors and submit recommendations for approval, disapproval, or suspension for 1 supplies / services required under the contract. The Contracting Officer is responsible for directing or negotiating any changes in terms, conditions, or amounts cited in the contract.

NRC-28-86-356 Page 14 For guidance from the Project Officer to the Contractor to be valid, it must: (1) be consistent with the description of work set forth in the contract; (2) not constitute new assignment of work or change to the expressed terms, conditions or specifications incorporated into this contract; (3) not constitute a basis for an extension to the period of performance or contract delivery schedule; and, as stated above (4) not constitute a basis for any increase in the contract cost.

B. Name and Mail Code: John Mc0 scar, Region I Office Address: 631 Park Avenue King of Prussia, Pennsylvania 19406 Telephone Number: 488-1310 G.6 Travel Reimbursement Total expenditure for domestic travel shall not exceed $196.80 without the prior approval of the Contracting Officer. The contractor will be reimbursed for the following reasonable domestic travel costs incurred directly and specifically in the performance of this contract and accepted by the Contracting Officer:

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

2. Receipts are required for common carrier transportation costs in excess of $25.00. ,

G.7 Payment Due Date (a) Payments under this contract will be due 30 calendar days after the later of:

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

U.S. Nuclear Regulatory Commission Division of Accounting and Finance Office of Resource Management ATTN: GOV /COM Accounts Section Washington, D.C. 20555 or .

(2) The date the final deliverable product / service is accepted by the Government.

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

I

I NRC-28-86-356 1 Page 15 (c) If the final product / service is rejected for failure to confom to the technical requirements of the contract, the provisions in paragraph (b) of this caluse will apply to the new delivery of the final product / service.

(d) The date of payment by wire transfer through the Treasury Financial Comunications System shall be considered the date payment is made for individual payments exceeding $25,000. The date a check is issued shall be considered the date payment is made for individual payments of $25,000 or less.

G.8 Invoice Requirements Invoices shall be submitted in an original and 4 copies to:

U.S. Nuclear Regulatory Comission Division of Accounting and Finance Office of Resource Management ATTN: GOV /COM Accounts Section Washington, D.C. 20555.

To constitute a proper invoice, the invoice must include the following information and/or attached documentation:

(1) Name of the business concern and invoice date.

(2) Contract number or other authorization for delivery of property or services.

(3) Description price and quantity of property and services actually  ;

delivered or rendered.

(4) Shipping and payment tems.

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

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

G.9 Interest on Overdue Payments (a) The Prompt Payment Act, Public Law 97-177 (96 STAT. 85, 31 USC 1801) is applicable to payment of the expiration invoice under this contract and requires the payment of interest to Contractors on overdue payments of the expiration invoice or improperly taken discounts. .

(b) Deteminations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of Management and Budget Circular A-125, Vol. 47 Federal Register 37321, August 25,

( 1982. Among other considerations, OMB Circular A-125 provides that:

(1) Interest penalties a re not required when payment is delayed because of a disagreement over the amount of payment or other issues concerning compliance with the terms of the contract.

l _

NRC-28-86-356 Page 16 (2) Whenever a proper invoice is paid after the due date plus 15 days, interest 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, an expiration invoice is defined as a claim submitted for costs incurred for performance through the expiration date of a Cost Type contract.

Section H - Special Contract Requirements H.1 Key Personnel (a) The following individuals are considered to be essential to the successful perfomance of the work hereunder.

Melonease Shaw, Project Manager Ranold Flowers, Programer Aide The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs (b) and (c) hereof.

(b) If one or more of the key personnel for whatever reason becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall imediately notify the Contracting Officer and shall, subject to the concurrence of the i

Contracting Officer or his authorized representative, promptly replace such personnel with personnel of at least substantially equal ability and qualifications.

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

(d) If the Contracting Officer detemines that suitable and timely replacement of key personnel who have been reassigned, teminated or have otherwise become unavailable for the contract work is not reasonably forthcoming or that the resultant reduction of productive effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate, or, at the discretion of the Contracting Officer if he finds the Contractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.

NRC-28-86-356 Page 17 H.2 Consultant or Other Comparable Em)loyment Services of Contractor Employees (OMB Clearance Number 3150-0112) I i

The Contractor shall require all employees who are employed full-time (an individual who perfoms work under the cost-type contract on a full-time annual basis) or part-time (50 percent or more of regular annual compensation received under terms of a contract with the Commission) on the contract work to disclose to the Contractor all consultant or other comparable employment services which the employees proposed to undertake for others. The Contractor shall transmit to the Contracting Officer all information obtained from such disclosures. The i Contractor will require any employee who will be employed full-time on the contract to agree, as a condition of his participation in such work, that he will not perform consultant or other comparable employment services for another Commission cost-type Contractor under its contract with the Commission except with the prior approval of the Contractor.

H.3 Safety, Health, and Fire Protection The Contractor shall take all reasonable precautions in the performance ,

of the work under this contract to protect the health and safety of employees and of members of the public and to minimize danger from all hazards to life and property and shall comply with all health, safety, and fire protection regulations and requirements (including reporting requirements) of the Comission and the Department of Labor. In the >

event that the Contractor fails to comply with said regulations or requirements, the Contracting Officer may, without prejudice to any '

other legal or contractual rights of the Commission, issue an order i stopping all or any part of the work; thereafter, a start order for j 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.

H.4 Dissemination of Contract Information (0MB Clearance Number 3150-0112)

The Contractor shall not publish, permit to be published, or disseminate to the public any infomation, oral or written, concerning the work performed under this contract without the prior written consent of the Contracting Officer. Two copies of any information proposed to be published or disseminated shall be submitted to the Contracting Officer.

Failure to comply with this clause shall be grounds for temination of this contract.

H.5 Private Use of Contract Infomation and Data ,

Except as otherwise specifically authorized by Section H.,' publication of contract work of 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 only in connection with the work under this contract, f

. NRC-28-86-356 i Page 18 H.6 Drawings, Designs, and Spe:ifications All drawings, sketches, designs, design data, specifications, notebooks, )

technical and scientific data, and all photographs, negatives, reports, findings, recommendations, data and memoranda of every description relating thereto, as well as all copies of the foregoing relating to the work or any part thereto, shall be subject to inspection by the Comission at all reasonable times (for which inspection the proper facilities shall be afforded the Commission by the Contractor and its

subcontractors), shall be the property of the Government and may be used by the Government for any purpose whatsoever 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 retain a copy of said material for its own use, be delivered to the Government, or otherwise disposed of by the Contractor either as the Contracting Officer may from time to time direct during the progress of the work or

in any event as the Contracting Officer shall direct upon completion or l' temination 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 tiif s contract.

H.7 Proprietary Data and Confidential Infomation In connection with the performance of the work under this contract, the Contractor may be furnished, or may develop or acquire, proprietary data (trade secrets) or confidential or privileged technical, business, or

financial infomation, including Comission plans, policies, reports, i financial plans, internal data protected by the Privacy Act of 1974 ,

(P.L.93-579), or other infomation which has not been released to the

public or has been detemired by the Comission to be otherwise exempt from disclosure to the pubife. Contractor agrees to hold such information in confidence and not to directly or indirectly duplicate,

disseminate, or disclose such infomation in whole or in part to any other person or organization except as may be necessary to perfom the i work under this contract. Contractor agrees to return such information to the Comission or otherwise dispose of it either as the Contracting Officer may from time to time direct during the progress of the work or i in any event as the Contracting Officer shall direct upon completion or j temination of this contract. Failure to comply with this clause shall be grounds for termination of this contract.

! H.8 Method of Payment i

I (a) Payment under this contract will be made by wire transfer through the Treasury Financial Communications System for each individual payment in excess of $25,000 and by Treasury check for each individual payment of $25,000 or less.

(b) Within seven days after the effective date of the contract, the Contractor shall forward the following information in writing to the l

Contracting Officer to facilitate wire transfer of contract ,

payments. In the event that the Contractor's financial institution has access to the Federal Reserve Communications System, Contractor shall complete all items except items 7 - 9. In the event the i Contractor's financial institution does not have access to the

! Federal Reserve Communications System, Contractor shall complete all items except item 4. ,

NRC-28-86-356 Page 19

1. Name and address of organization

2. Contact person and telephone number

3. Name and address of financial institution

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

5. Telegraphic abbreviation of financial institution

6. Account number at your financial institution your financial institution receives electronic funds transfer messages through, if it does not have access to the Federal Reserve Communications System

7. Name and address of the correspondent financial institution your financial institution receives electronic funds transfer messages through, if it does not have access to the Federal Reserve Comunications System

8. Correspondent financial institution 9-digit ABA identifying number for routing transfer of funds

9. Telegraphic abbreviation of correspondent financial institution

10. Signature and title of person supplying this infonnation (c) Any changes to the infomation furnished under paragraph (b) of this clause shall be furnished to the Contracting Officer in writing. It is the Contractor's responsibility to furnish these changes promptly to avoid payments to erroneous bank accounts.

PART II - CONTRACT CLAUSES Section I - Contract Clauses 52.202-1 DEFINITIONS. (APR 1984)

(a) " Head of the agency" (also called " agency head") or " Secretary" means the Secretary (or Attorney General, Administrator, Governor, Chairperson, or other chief official, as appropriate) of the agency, including any deputy or assistant chief official of the agency, and, in the Department of Defense, the Under Secretary and any Assistant Secretary of the Departments of the Army, Navy, and Air Force and the Director and Deputy Director of Defense agencies; and the tem " authorized representative" means any person, persons, or board (other than the Contracting Officer) authorized to act for the head of the agency or Secretary.

(b) " Contracting Officer" means a person with the authority to enter into, administer, and/or teminate contracts and make related determinations and findings. The tem includes certain authorized representatives of the Contracting Officer acting within the limits of their authority as delegated by the Contracting Officer.

(c) Except as otherwise provided in this contract, the term " subcontracts" includes, but is not limited to, purchase orders and changes and modifications to purchase orders under this contract.

NRC-28-86-356 Page 20 (End of clause)

(R7-103.11979 MAR)

(R7-203.1)

(R7-302.1)

(R7-402.1)

(R7-901.1)

(R7-1902.1)

(R 7-1909.1) 52.203-1 0FFICIALS NOT TO BENEFIT. (APR1984)

No member of or delegate to Congress, or resident commissioner, shall be admitted to any share or part of this contract, or to any benefit arising from it. However, this clause does not apply to this contract to the extent that this contract is made with a corporation for the corporation's general benefit.

(End of clause)

(R 7-103.19 1949 JUL)

(R 1-7.102-17) 52.203-3 GRATUITIES. (APR 1984)

(a) The right of the Contractor to proceed may be terminated by written notice if, after notice and hearing, the agency head or a designee detemines that the Contractor, its agent, or another representative--

(1) Offered or gave a gratuity (e.g., an entertainment or gift) to an officer, official, or employee of the Government; and (2) Intended, by the gratuity, to obtain a contract or favorable treatment under a contract.

(b) The facts supporting this detemination may be reviewed by any court having)

(c lawful jurisdiction.If this contract is teminated under paragraph (a) above, the Gove is entitled--

(1) To pursue the same remedies as in a breach of the contract; and (2) In addition to any other damages provided by law, to exemplary damages of not less than 3 nor more than 10 times the cost incurred by the

Contractor in giving gratuities to the person concerned, as detemined by the agency head or a designee. (This subparagraph (c)(2) is applicable only if this

! contract uses money appropriated to the Department of Defense.)

(d) The rights and remedies of the Government provided in this clause shall 1

not be exclusive and are in addition to any other rights and remedies provided by law or under this contract.

(Endofclause)

(R 7-104.16 1952 MAR) 52.203-5 COVENANT AGAINST CONTINGENT FEES. (APR 1984)

(a) The Contractor warrants that no person or agency has been employed or retained to solicit or obtain this contract upon an agreement or understanding for a contingent fee, except a bona fide employee or agency. For breach or j violation of this warranty, the Government shall have the right to annul this contract without liability or, in its discretion, to deduct from the contract

( price or consideration, or otherwise recover, the full amount of the contingent i fee.

l

NRC-28-86-356 Page 21 (b) " Bona fide agency," as used in this clause, means an established commercial or selling agency, maintained by a contractor for the purpose of securing business, that neither exerts nor proposes to exert improper influence to solicit or obtain Government contracts nor holds itself out as being able to obtain any Government contract or contracts through improper influence.

" Bona fide employee," as used in this clause, means a person, employed by a contractor and subject to the contractor's supervision and control as to time, place, and manner of performance, who neither exerts nor proposes to exert improper influence to solicit or obtain Government contracts nor holds out as being able to obtain any Government contract or contracts through improper influence. .

" Contingent fee," as used in this clause, means any corrnission, percentage, brokerage, or other fee that is contingent upon the success that a person or concern has in securing a Government contract.

" Improper influence," as used in this clause, means any influence that induces or tends to induce a Government employee or officer to give consideration or to act regarding a Government contract on any basis other than the merits of the matter.

(End of clause)

(R 7-103.20 1958 JAN)

(R 1-1.503)

(R1-7.102-18) 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL. (APR 1984)

(a) This clause applies if this contract exceeds $10,000 and was entered into by negotiation.

(b) The Comptroller General of the United States or a duly authorized representative from the General Accounting Office shall, until 3 years after final payment under this contract or for any shorter period specified in Federal Acquisition Regulation (FAR) Subpart 4.7, Contractor Records Retention, have access to and the right to examine any of the Contractor's directly pertinent books, documents, papers, or other records involving transactions related to this contract.

(c) The Contractor agrees to include in first-tier subcontracts under this contract a clause to the effect that the Comptroller General or a duly authorized representative from the General Accounting Office shall, until 3 years after final payment under the subcontract or for any shorter period specified in FAR Subpart 4.7, have access to and the right to examine any of the subcontractor's directly pertinent books, documents, papers, or other records involving transactions related to the subcontract. " Subcontract," as used in this clause, excludes (1) purchase orders not exceeding $10,000 and (2) subcontracts or purchase orders for public utility services at rates established to apply unifomly to the public, plus any applicable reasonable connection charge.

(d) The periods of access and examination in paragraphs (b) and (c) above for records relating to (1) appeals under the Disputes clause, (2) litigation or settlement of claims arising from the performance of this contract, or (3) costs and expenses of this contract to which the Comptroller General or a duly authorized representative from the General Accounting Office has taken exception shall continue until such appeals, litigation, claims, or exceptions are disposed of.

(End of clause)

(R 7-104.15 1975 JUN)

(R1-7.103-3)

NRC-28-86-356 Page 22 4

52.215-2 AUDIT--NEGOTIATION. (APR 1984)

(a) Examination of costs. If this is a cost-reimbursement, incentive, time-and-materials, labor-hour, or price-redeteminable contract, or any combination of these, the Contractor shall maintain--and the Contracting Officer or representatives of the Contracting Officer shall have the right to examine and audit--books, records, documents, and other evidence and accounting procedures and practices, sufficient to reflect properly all costs claimed to have been incurred or anticipated to be incurred in performing this contract. This right of examination shall include inspection at all reasonable times of the Contractor's plants, or parts of them, engaged in perfoming the contract.

(b) Cost or pricing data. If, pursuant to law, the Contractor has been

required to submit cost or pricing data in connection with pricing this contract

]

or any modification to this contract, the Contracting Officer or representatives of the Contracting Officer who are employees of the Government shall have the right to examine and audit all books, records, documents, and other data of the Contractor (including computations and projections) related to negotiatinq, pricing, or perfoming the contract or modification, in order to evaluate the accuracy, completeness, and currency of the cost or pricing data. The right of examination shall extend to all documents necessary to pemit adequate evaluation of the cost or pricing data submitted, along with the computations and projections used.

(c) Reports. If the Contractor is required to furnish cost, funding, or perfomance reports, the Contracting Officer or representatives of the Contracting Officer who are employees of the Government shall have the right to examine and audit books, records, other documents, and supporting materials, for the purpose of evaluating (1) the effectiveness of the Contractor's policies and rocedures to produce data compatible with the objectives of these reports and p(2) the data reported.

(d) Availability. The Contractor shall make available at its office ct all i reasonable times the materials described in paragraphs (a) and (b) above, for i examination, audit, or reproduction, until 3 years after final payment under j this contract, or for any shorter period specified in Subpart 4.7, Contractor Records Retention, of the Federal Acquisition Regulation, or for any longer I period required by statute or by other clauses of this contract. In addition--

l (1) If this contract is completely or partially terminated, the records

'j relating to the work teminated shall be made available for 3 years after any resulting final temination settlement; and i (2) Records relating to appeals under the Disputes clause or to litigation or the settlement of claims arising under or relating to this contract shall be made available until such appeals, litigation, or claims are disposed of.

(e) The Contractor shall insert a clause containing all the terms of this l clause, including this paragraph (e), in all subcontracts over $10,000 under j

this contract, altering the clause only as neces3ary to identify properly the contracting parties and the Contracting Officer under the Government prime contract.

1 (End of clause)

(R 7-104.41(a) 1978 AUG)

(R1-3.814-2(a))

(R7-303.28) i

NRC-28-86-356 Page 23 (R 7-402.30)

(R 7-603.20)

(R 7-605.11)

(R 7-607.22)

(R 7-802.7)

(R 7-901.16)

(R 7-1702.15 1971 APR)

(R 7-1903.29)

(R7-1909.24)

(R 7-2102.19) 52.215-30 FACILITIES CAPITAL COST OF MONEY. (APR1984)

(a) Facilities capital cost of money will be an allowable cost under the contemplated contract, but only if the prospective contractor elects to claim it below. If the prospective contractor ele, cts to claim this cost, the Waiver of Facilities Capital Cost of Money will be excluded from the contract. If the prospective contractor does not elect to claim this cost, the contract will include the Waiver of Facilities Capital Cost of Money.

(b) By including an item of proposed allowable cost in response to the l . solicitation, the prospective contractor will be deemed to have elected to claim i facilities capital cost of money.

(End of clause)

(NM) 52.215-31 WAIVER OF FACILITIES CAPITAL COST OF MONEY. (APR 1984)

If the Contractor did not include facilities capital cost of money as a proposed allowable cost, it shall be deemend that the Contractor waived the right to claim it under this contract.

(End of clause) ~

(AV 0FPP Policy Letter 80-7 1980 OCT) 52.216-7 ALLOWABLE COST AND PAYMENT. (APR 1984)

(a) Invoicing. The Government shall make payments to the. Contractor when requested as work progresses, but (except for small business concerns) not more often than once every 2 weeks, in amounts determined to be allowable by the l Contracting Officer in accordance with Subpart 31.2 of the Federal Acquisition l Regulation (FAR) in effect on the date of this contract and the tems of this contract. The Contractor may submit to an authorized representative of the Contracting Officer, in such form and reasonable detail as the representative may require, an invoice or voucher supported by a statement of the claimed this contract.

allowable cost for performing (b) Reimbursing costs. (1) For the purpose of reimbursingallowable s costs i

(except as provided in subparagraph (2) below, with respect to pension,- deferred profit sharing, and employee stock ownership plan contributions), the term

" costs" includes only--

(1) Those recorded costs that, at the time of the request for; I reimbursement, the Contractor has paid by cash, check, or other form of actual payment for items or services purchased directly for the contract; -

(ii) When the Contractor is not delinquent in paying costs of contract performance in the ordinary course of business, costs incurred, but not necessarily paid, for--

NRC-28-86-356 Page 24 (A) Materials issued from the Contractor's inventory and placed in the production process for use on the contract; (B) Direct labor; (C) Direct travel; (D)Otherdirectin-housecosts;and (E) Properly allocable and allowable indirect costs, as shown in the records maintained by the Contractor fnr purposes of obtaining reimbursement under Government contracts; and (iii) The amount of progress payments that have been paid to the Contractor's subcontractors under similar cost standards.

(2) Contractor contributions to any pension, profit-sharing, or employee stock ownership plan funds that are paid quarterly or more often may be included in indirect costs for payment purposes; provided, that the Contractor pays the contribution to the fund within 30 days after the close of the period covered.

Payments made 30 days or more after the close of a period shall not be included until the Contractor actually makes the payment. Accrued costs for such contributions that are paid less often than quarterly shall be excluded from indirect costs for payment purposes until the Contractor actually makes the payment.

(3) Notwithstanding the audit and adjustment of invoices or vouchers under paragraph (g) below, allowable indirect costs under this contract shall be obtained by applying indirect cost rates established in accordance with paragraph (d) below.

(4) Any statements in specifications or other documents incorporated in this contract by reference designating performance of services or furnishing of '

materials at the Contractor's expense or at no cost to the Government shall be disregarded for purposes of cost-reimbursement under this clause. }

(c) Small business concerns. A small business concern may be paid more l often than every 2 weeks and may invoice and be paid for recorded costs for items or services purchased directly for the contract, even though the concern has not yet paid for those items or services.

(d) Final indirect cost rates. (1) Final annual indirect cost rates and the appropriate bases shall be established in accordance with Subpart 42.7 of the Federal Acquisition Regulation (FAR) in effect for the period covered by the indirect cost rate proposal.

(2) The Contractor shall, within 90 days after the expiration of each of its fiscal years, or by a later date approved by the Contracting Officer, submit to the cognizant Contracting Officer responsible for negotiating its final indirect cost rates and, if required by agency procedures, to the cognizant audit activity proposed final indirect cost rates for that period and supporting cost data specifying the contract and/or subcontract to which the rates apply.

The proposed rates shall be based on the Contractor's actual cost experience for that period. The appropriate Government representative and Contractor shall establish the final indirect cost rates as promptly as practical after receipt of the Contractor's proposal.

(3) The Contractor and the appropriate Government representative shall execute a written understanding setting forth the final indirect cost rates.

The understanding shall specify (i) the agreed-upon final annual indirect cost rates, (ii) the bases to which the rates apply, (iii) the periods for which the rates apply, (iv) any specific indirect cost items treated as direct costs in the settlement, and (v) the affected contract and/or subcontract, identifying any with advance agreements or special tenns and the applicable rates. The understanding shall not change any monetary ceiling, contract obligation, or

I i

NRC-28-86-356 Page 25 specific cost allowance or disallowance provided for in this contract. The understanding is incorporated into this contract upon execution. l (4) Failure by the parties to agree on a final annual indirect cost rate ,

shall be a dispute within the meaning of the Disputes clause. )

(e) Billing rates. Until final annual indirect cost rates are established '

for any period, the Government shall reimburse the Contractor at billing rates established by the Contracting Officer or by an authorized representative (the cognizant auditor), subject to adjustment when the finhl rates are established.

These billing rates--

(1) Shall be the anticipated final rates; and (2) May be prospectively or retroactively revised by mutual agreement, at either party's request, to prevent substantial overpayment or underpayment.

(f) Oufck-closecut procedures. hthen the Contractor and Contracting Officer agree, the quick-closecut procedures of Subpart 42.7 of the FAR may be used.

(g) Audit. At any time or times before final payment, the Contracting Officer may have the Contractor's invoices or vouchers and statements of cost audited. Any payment may be (1) reduced by amounts found by the Contractinc Officer not to constitute allowable costs or (2) adjusted for prior overpayments or underpayments.

(h) Final payment. (1) The Contractor shall submit a completion invoice or voucher, designated as such, promptly upon completion of the work, but no later than one year (or longer, as the Contracting Officer may approve in writing) from the completion date. Upon approval of that invoice or voucher, and upon the Contractor's compliance with all terms of this contract, the Government shall promptly pay any balance of allowable costs and that part of the fee (if any) not previously paid. )

, (2) The Contractor shall pay to the Government any refunds, rebates, i

credits, or other amounts (including interest, if any) accruing to or received  !

by the Contractor or any assignee under this contract, to the extent that those [

amounts are properly allocable to costs for which the Contractor has been reimbursed by the Government. Reasonable expenses incurred by the Contractor for securing refunds, rebates, credits, or other amounts shall be allowable costs if approved by the Contracting Officer. Before final payment under this contract, the Contractor and each assignee whose assignment is in effect at the time of final payment shall execute and deliver--

(i) An assignment to the Government, in foan and substance satisfactory to the Contracting Officer, of refunds, rebates, credits, or other amounts (including interest, if any) properly allocable to costs for which the Contractor has been reimbursed by the Government under this contract; and (ii) A release discharging the Government, its officers, agents, and employees from all liabilities, obligations, and claims arising out of or under this contract, except--

(A) Specified claims stated in exact amounts, or in estimated amounts when the exact amounts are not known; (B) Claims (including reasonable incidental expenses) based upon liabilities of the Contractor to third parties arising out of the performance of this contract; provided, that the claims are not known to the Contractor on the date of the execution of the release, and that the Contractor ~ gives notice of the claims in writing to the Contracting Officer within 6 years following the release date or notice of final payment date, whichever is earlier; and l

(C) Claims for reimbursement of costs, including reasonable incidental expenses, incurred by the Contractor under the patent clauses of this contract, excluding, however, any expenses arising from the Contractor's indemnification of the Government against patent liability.

f NRC-28-86-356 Page 26 (End of clause)

(R 7-203 4(a) 1978 SEP)

(R 7-203.4(b) 1979 MAR)

(R 7-203.4(c)(4)(iv))

(R 7-402.3(a) and (c)(5)(iii)

(R 7-605.5)

(R 7-1909.4)

(R 1-7.202-4)

(R 1-7.203-9)

(R 1-3.704-1 and -2)

(R 1-7.402-3(a) and (b)(1) and (3))

(R 1-7.403-9) 52.216-8 FIXED FEE. (APR 1984)

(a) The Government shall pay the Contractor for performing this contract the fixed fee specified in the Schedule.

(b) Payment of the fixed fee shall be made as specified in the Schedule; provided, that after payment of 85 percent of the fixed fee, the Contracting Officer may withhold further payment of fee until a reserve is set aside in an amount that the Contracting Officer considers necessary to protect the Government's interest. This reserve shall not exceed 15 percent of the total fixed fee or $100,000, whichever is less.

(End of clause)

(R 7-203.4(a) 1978 SEP)

(R 7-203.4(c)(9))

(R 7-402.3(a) and (c)(7))

(R 7-1909.4)

(R 1-7.202-4) E (R 1-7.402-3(a) and (b)(5))

52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS. (APR 1984)

, (a) It is the policy of the United States that small business concerns and i small business concerns owned and controlled by socially and economically disadvantaged individuals shall have the maximum practicable opportunity to particip3te in performing contracts let by any Federal agency.

, (b) The Contractor hereby agrees to carry out this policy in the awarding of i subcontracts to the fullest extent consistent with efficient contract I

performance. The Contractor further agrees to cooperate in any studies or

surveys as may be conducted by the United States Small Business Administration or the awarding agency of the United States as may be necessary to determine the extent of the Contractor's compliance with this clause.

l (c) As used in this contract, the term "small business concern" shall mean a l small business as defined pursuant to section 3 of the Small Business Act and relevant regulations promulgated pursuant thereto. The term "small business i concern owned and controlled by socially and economically disadvantaged individuals" shall mean a small business concern--

(1) Which is at least 51 percent owned by one or more socially and economically disadvantaged individuals; or, in the case of any publicly owned business, at least 51 per centum of the stock of which is owned by one or more socially and economically disadvantaged individuals; and

NRC-28-86-356 Page 27 (2) Whose management and daily business operations are controlled by one or more of such individuals.

The Contractor shall presume that socially and economically disadvantaged individuals include Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, Asian-Indian Americans and other minorities, or any other individual found to be disadvantaged by the Administration pursuant to section 8(a) of the Small Business Act.

(d) Contractors acting in good faith may rely on written representations by their subcontractors regarding their status a:. either a small business concern or a small business concern owned and controlled by socially and economically disadvantaged individuals.

(Endofclause)

(R 7-104.14(a) 1980 AUG)

(V FPR Temp. Reg. 50 1979 JUN and its Supplement 2 1980 MAY) 52.219-13 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES. (APR 1984)

(a) " Women-owned small businesses," as used in this clause, means businesses that are at least 51 percent owned by women who are United States citizens and who also control and operate the business.

" Control," as used in this clause, means exercising the power to make policy decisions.

" Operate," as used in this clause, means being actively involved in the day-to-day management of the business.

(b) It is the policy of the United States that women-owned small businesses shall have the maximum practicable opportunity to participate in performing contracts awarded by any Federal agency.

(c) The Contractor agrees to use its best efforts to give women-owned small businesses the maximum practicable opportunity to participate in the subcontracts it awards to the fullest extent consistent with the efficient performance of its contract.

(Endofclause)

(7-104.52 1980 AUG)

(FPR Temp. Reg. 54 1980 MAY) 52.220-3 UTILIZATION OF LABOR SURPLUS AREA CONCERNS. (APR 1984)

(a) Applicability. This clause is applicable if this contract exceeds the appropriate small purchase limitation in Part 13 of the Federal Acquisition Regulation.

(b) Policy. It is the policy of the Government to award contracts to concerns that agree to perfom substantially in labor surplus areas (LSA's) when this can be done consistent with the efficient performance of the contract and at prices no higher than are obtainable elsewhere. The Contractor agrees to use its best efforts to place subcontracts in accordance with this policy.

(c) Order of preference. In complying with paragraph (b) above and with paragraph (c) of the clause of this contract entitled Utilization of Small Business Concerns and Small Disadvantaged Business Concerns, the Contractor shall observe the following order of preference in awarding subcontracts: (1) small business concerns that are LSA concerns, (2) other small business concerns, and (3) other LSA concerns.

(d) Definitions. " Labor surplus area," as used in this clause, means a geographical area identified by the Department of Labor in accordance wf th 20 l

1

I NRC-28-86-356  !

Page 28 CFR 654, Subpart A, as an area of concentrated unemployment or underemployment or an area of labor surplus.

" Labor surplus area concern," as used in this clause, means a concern that together with its first-tier subcontractors will perform substantially in labor surplus areas. Performance is substantially in labor surplus areas if the costs incurred under the contract on account of manufacturing, production, or performance of appropriate services in labor surplus areas exceed 50 percent of the contract price. .

(R1-1.805-3(a))

(R 7-104.20(a) 1981 May) i 52.222-1 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES. (APR 1984) ,

(a) If the Contractor has knowledge that any actual or potential labor

! dispute is delaying or threatens to delay the timely perfomance of this contract, the Contractor shall imediately give notice, including all relevant infomation, to the Contracting Officer.

(b) The Contractor agrees to insert the substance of this clause, including this paragraph (b), in any subcontract to which a labor dispute may delay the timely perfomance of this contract; except that each subcontract shall provide that in the event its timely perfomance is delayed or threatened by delay by

~

any actual or potential labor dispute, the subcontractor shall imediately .

notify the next higher tier subcontractor or the prime Contractor, as the case may be, of all relevant information concerning)the (End of clause dispute.  ;

(R7-203.271967JUN) i (AV 7-104.4 1958 SEP)

(AV7-603.11958SEP) 52.222-3 CONVICT LABOR. (APR1984)

The Contractor agrees not to employ any person undergoing sentence of imprisonment in perfoming this contract except as provided by 18 U.S.C.

4082(c)(2) and Executive Order 11755, December 29, 1973.

(End of clause)

(R 7-104.17 1975 0CT)

(R 7-607.12 1975 0CT)

(R 1-12.204) 52.222-26 EQUAL OPPORTUNITY. (APR 1984)

(a) If, during any 12-month period (including the 12 months preceding the award of this contract), the Contractor has been or is awarded nonexempt Federal contracts and/or subcontracts that have an aggregate value in excess of $10,000, the Contractor shall comply with subparagraphs (b)(1) through (11) below. Upon request, the Contractor shall provide infomation necessary to determine the

applicability of this clause.

l (b) During performing this contract, the Contractor agrees as follows:

l (1) The Contractor shall not discriminate against any employee or i applicant for employment because of race, color, religion, sex, or national i origin.

(2) The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment, t

{

NRC-28-86-356 Page 29 without regard to their race, color, religion, sex, or national origin. This shall include, but not be limited to, (1) employment, (ii) upgrading, (iii) demotion, (iv) transfer, (v) recruitment or recruitment advertising, (vi) layoff or termination, (vii) rates of pay or other foms of compensation, and (viii) selection for training, including apprenticeship.

(3) The Contractor shall post in conspicuous places available to employees and applicants for employment the notices to be provided by the Contracting Officer that explain this clause.

(4) The Contractor shall, in all solicitations or advertisement for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin.

(5) The Contractor shall send, to each labor union or representative of workers with which it has a collective bargaining agreement or other contract or understanding, the notice to be provided by the Contracting Officer advising the labor union or workers' representative of the Contractor's comitments under this clause, and post copies of the notice in conspicuous places available to employees and applicants for employment.

(6) The Contractor shall comply with Executive Order 11246, as amended, and the rules, regulation:;, and orders of the Secretary of Labor.

(7) The Contractor shall furnish to the contracting agency all information reguired by Executive Order 11246, as amended, and by the rules, regulations, and orders of the Secretary of Labor. Standard Fonn 100 (EE0-1),

or any successor fom, is the prescribed fom to be filed within 30 days following the award, unless filed within 12 months preceding the date of award.

(8) The Contractor shall permit access to its books, records, and accounts by the contracting agency or the Office of Federal Contract Compliance Programs (0FCCP) for the ourposes of investigation to ascertain the Contractor's compliance with the applicable rules, regulations, and orders.

(9) If the OFCCP determines that the Contractor is not in compliance with this clause or any rule, regulation, or order of the Secretary of Labor, this contract may be canceled, teminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts, under the procedures authorized in Executive Order 11246, as amended. In addition, sanctions may be imposed and remedies invoked against the Contractor as provided in Executive Order 11246, as amended, the rules, regulations, and orders of the Secretary of Labor, or as otherwise provided by law.

(10) The Contractor shall include the tems and conditions of subparagraph (b)(1) through (11) of this clause in every subcontract or purchase order that is not exempted by the rules, regulations, or orders of the Secretary of Labor issued under Executive Order 11246, as amended, so that these terms and conditions will be binding upon each subcontracter or vendor.

(11) The Contractor shall take such action with respect to any subcontract or purchase order as the contracting agency may direct as a means of enforcing these tems and conditions, including sanctions for noncompliance; provided, that if the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of any dir4ction, the Contractor may request the United States to enter into the litigation to protect the interests of the United States.

(c) Notwithstanding any other clause in this contract, disputes relative to this clause will be governed by the procedures in 41 CFR 60-1.1.

(End of clause)

(R 7-103.18 1978 SEP)

(R 1-12.803-2)

(R 7-607.13 1978 SEP)

_ _ _ _ _ _ - ---J

, NRC-28-86-356 Page 30 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS (APR1984)

(a) Definitions.

" Appropriate office of the State employment service system," as used in this clause, means the local office of the Federal-State national system of public employment offices assigned to serve the area where the employment opening is to be filled, including the District of Columbia, Guam, Puerto Rico, Virgin Islands, American Samoa, and the Trust Territory of the Pacific Islands.

" Openings that the Contractor proposes to fill from within its own organization," as used in this clause, means employment openings for which no one outside the Contractor's organization (including any affiliates, subsidiaries, and the parent companies) will be considered and includes any openings that the Contractor proposes to fill from regula rly established

" recall" lists.

" Openings that the Contractor proposes to fill under a cus toma ry and traditional employer-union hiring arrangement," as used in this clause, means employment openings that the Contractor proposes to fill from union halls, under

their customary and traditional employer-union hiring relationship.

" Suitable employment openings," as used in this clause--

(1) Includes, but is not limited to, openings that occur in jobs categorized as--

(1)Productionandnonproduction; (ii) Plant and office; (iii) Laborers and mechanics; (iv) Supervisory and nonsupervisory; (v) Technical; and r (vi) Executive, administrative, and professional positions compensated on a salary basis of less that $25,000 a year; and (2) Includes full-time employment, temporary employment of over 3 days, and part-time employment, but not openings that the Contractor proposes to fill

from within its own organization or under a customary and traditional i employer-union hiring arrangement, nor openings in an educational institution I

that are restricted to students of that institution.

, (b) General. (1) Regarding any position for which the employee or applicant i for employment is qualified, the Contractor shall not discriminate against the individual because the individual is a special disabled or Vietnam Era veteran.

The Contractor agrees to take affimative action to employ, advance in employment, and othemise treat qualified special disabled and Vietnam Era veterans without discrimination based upon their disability or veterans' status i in all employment practices such as--

(1) Employment; (11) Upgrading; (iii) Demotion or transfer; (iv) Recruitment; (v) Advertising; .

(vi) Layoff or temination; (vii) Rates of pay or other foms of compensation; and (viii) Selection for training, including apprenticeship.

(2) The Contractor agrees to comply with the rules, regulations, and relevant orders of the Secretary of Labor (Secretary) issued under the Vietnam Era Veterans' Readjustment Assistance Act of 1972 (the Act), as amended.

i 4

I

. r,. . --.---- - -. v---.n- , . + . . . - - - - , . . - . . - - , - .. .. ,

-,-n- - -

F NRC-28-86-356  ;

Page 31 (c) Listing openings. (1) The Contractor agrees to list all suitable employment openings existing at contract award or occuring during contract performance, at an appropriate office of the State employment service system in the locality where the opening occurs. These openings include those occuring at any Contractor fa cili ty, including one not connected with performing this contract. An independent corporate affiliate is exempt from this requirement.

(2) State and local government agencies holding Federal contracts of

$10,000 or more shall also list all their suitable openings with the appropriate office of the State employment service.

(3) The listing of suitable employment openings with the State employment service system is required at least concurrently with using any other recruitment source or effort and involves the obligations of placing a bona fide job order, including accepting referrals of veterans and nonveterans. This listing does not require hiring any particular job applicant or hiring from any particular group of job applicants and is not intended to relieve the Contractor from any requirements of Executive orders or regulations concerning nondiscrimination in employment.

(4) Whenever the Contractor becomes contractually bound to the listing terms of this clause, it shall advise the State employment service system, in each State where it has establishments, of the name and location of each hiring location in the State. As long as the Contractor is contractually bound to these terms and has so advised the State system, it need not advise the State system of subsequent contracts. The Contractor may advise the State system when it is no longer bound by this contract clause.

(5) Under the most compelling circumstances, an employment opening may not be suitable for listing, including situations when (i) the Government's needs cannot reasonably be supplied, (ii) listing would be contrary to national  ;

security, or (iii) the requirement of listing would not be in the Government's interest. '

(d) Applicability. (1) This clause does not apply to the listing of employment openings which occur and are filled outside the 50 states, the District of Columbia, Puerto Rico, Guam, Virgin Islands, American Samoa, and the Trust Territory of the Pacific Islands.

(2) The terms of paragraph (c) above of this clause do not apply to openings that the Contractor proposes to fill from within its own organization or under a customary and traditional employer-union hiring arrangement. This i exclusion does not apply to a particular opening once an employer decides to consider applicants outside of its own organization or employer-union

arrangement for that opening.

l (e) Postings. (1) The Contractor agrees to post employment notices stating (i) the Contractor's obligation under the law to take affirmative action to employ and advance in employment qualified special disabled veterans and veterans of the Vietnam era, and (ii) the rights of applicants and employees.

l (2) These notices shall be posted in conspicuous places that are available to employees and applicants for employment. They shall be in a form prescribed by the Director, Office of Federal Contract Compliance Programs, Department of Labor (Director), and provided by or through the Contracting officer.

l (3) The Contractor shall notify each labor union or representative of workers with which it has a collective bargaining agreement or other contract l understanding, that the Contractor is bound by the terms of the Act, and is comitted to take affirmative action to employ, and advance in employment, qualified special disabled and Vietnam Era veterans.

NRC-28-86-356 Page 32 (f) Noncompliance. If the Contractor does not comply with the requirements of this clause, appropriate actions may be taken under the rules, regulations, and relevant orders of the Secretary issued pursuant to the Act.

(g) Subcontracts. The Contractor shall include the tems of this clause in every subcontract or purchase order of $10,000 or more unless exempted by rules, regulations, or orders of the Secretary. The Contractor shall act as specified by the Director to enforce the tems, including action for noncompliance.

(Endofclause)

(R 7-103.27 1976 JUL)

(R FPR Temp. Reg. 39) 52.222-36 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS (APR 1984)

(a) General. (1) Regarding any position for which the employee or applicant for employment is qualified, the Contractor shall not discriminate against any employee or applicant because of physical or mental handicap. The Contractor agrees to take affimative action to employ, advance in employment, and otherwise treat qualified handicapped individuals without discrinination based upon their physical or mental handicap in all employv 1t practices such as--

(i) Employment; (ii) Upgrading; (iii) Demotion or transfer; (iv) Recruitment; (v) Advertising; (vi) Layoff or temination; (vii) Rates of pay or other forms of compensation; and (vif f) Selection for training, including apprenticeship. ,

(2) The Contractor agrees to comply with the rules, regulations, and (

relevant orders of the Secretary of Labor (Secretary) issued under the E Rehabilitation Act of 1973 (29 U.S.C. 793) (the Act), as amended. I (b) Postings. (1) The Contractor agrees to post employment notices stating (1) Jhe Contractor's obligation under the law to take affimative action to employ and advance in employment qualified handicapped individuals and (11) the rights of applicants and employees.

(2) These notices shall be posted in conspicuous places that are available to employees and applicants for employment. They shall be in a form prescribed by the Director, Office of Federal Contract Compliance Programs, Department of Labor (Director), and provided by or through the Contracting Officer.

(3) The Contractor shall notify each labor union or representative of workers with which it has a collective bargaining agreement or other contract understanding, that the Contractor is bound by the terms of Section 503 of the Act and is committed to take affirmative action to employ, and advance in employment, qualified physically and mentally handicapped individuals.

(c) Noncompliance. If the Contractor does not comply with the requirements of this clause, appropriate actions may be taken under the rules, regulations, and relevant orders of the Secretary issued pursuant to the Act. -

(d) Subcontracts. The Contractor shall include the terms of this clause in every subcontract or purchase order in excess of $2,500 unless exempted by rules, regulations, or orders of the Secretary. The Contractor shall act as specified by the Director to enforce the terms, including action for noncompliance.

(End of clause)

(R 7-103.28 1976 MAY)

(R FPR Temp. Reg. 38)

. NRC-28-86-356 Page 33 4

52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT INFRINGEMENT. (APR1984)

(a) The Contractor shall report to the Contracting Officer, promptly and in reasonable written detail, each notice or claim of patent or copyright infringement based on the performance of this contract of which the Contractor has knowledge.

(b) In the event of any claim or suit against the Government on account of any alleged patent or copyright infringement arising out of the perfomance of this contract or out of the use of any supplies furnished or work or services perfomed under this contract, the Contractor shall furnish to the Government, l when requested by the Contracting Officer, all evidence and information in possession of the Contractor pertaining to such suit or claim. Such evidence and information shall be furnished at the expense of the Government except where the Contractor has agreed to indemnify the Government.

(c) The Contractor agrees to include, and require inclusion of, this clause in all subcontracts at any tier for supplies or services (including construction and architect-engineer subcontracts and those for material, supplies, models, samples, or design or testing services) expected to exceed the dollar amount set forth in 13.000 of the Federal Acquisition Regulation (FAR).

(End of clause)

(R 7-103.23 1965 JAN) 52.232-17 INTEREST. (APR 1984)

(a) Notwithstanding any other clause of this contract, all amounts that become payable by the Contractor to the Government under this contract (net of any applicable tax credit under the Internal Revenue Code (26 U.S.C. 1481))

shall bear simple interest from the date due until paid unless paid within 30 days of becoming due. The interest rate shall be the interest rate established by the Secretary of the Treasury as provided in Section 12 of the Contract Disputes Act of 1978 (Public Law 95-563), which is applicable to the period in i

which the amount becomes due, as provided in paragraph (b) of this clause, and then at the rate applicable for each six-month period as fixed by the Secretary until the amount is paid.

(b) Amounts shall be due at the earliest of the following dates:

(1) The date fixed under this contract.

(2) The date of the first written demand for payment cunsistent with this contract, including any demand resulting from a default temination.

(3) The date the Government transmits to the Contractor a proposed supplemental agreement to confim completed negotiations establishing the amount of debt.

(4) If this contract provides for revision of prices, the date of written notice to the Contractor stating the amount of refund payable in connection with a pricing proposal or a negotiated pricing agreement not confirmed by contract modification. .

(c) The interest charge made under this clause may be reduced under the procedures prescribed in 32.614-2 of the Federal Acquisition Regulation in effect on the date of this contract.

(End of clause)

(R 7-104.39 1972 MAY)

(R 1-7.203-15)

NRC-23-86-356 Page 34 52.232-20 LIMITATION OF COST. (APR 1984)

(a) The parties estimate that perfomance of this contract, exclusive of any fee, will not cost the Government more than (1) the estimated cost specified in the Schedule or, (2) if this is a cost-sharing contract, the Government's share of the estimated cost specified in the Schedule. The Contractor agrees to use its best efforts to perfom the work specified in the Schedule and all obligations under this contract within the estimated cost, which, if this is a cost-sharing contract, includes both the Government's and the Contractor's share of the cost.

(b) The Contractor shall notify the Contracting Officer in writing whenever it has reason to believe that--

(1) The costs the contractor expects to incur under this contract in the next 60 days, when added to all costs previously incurred, will exceed 75 percent of the estimated cost specified in the Schedule; or (2) The total cost for the perfomance of this contract, exclusive of any fee, will be either greater or substantially less than had been previously estimated.

(c) As part of the notification, the Contractor shall provide the Contracting Officer a revised estimate of the total cost of perfoming this contract.

(d) Except as required by other provisions of this contract, specifically citing and stated to be an exception to this clause--

(1) The Government is not obligated to reimburse the Contractor for costs incurred in excess of (1) the estimated cost specified in the Schedule or, (ii) if this is a cost-sharing contract, the estimated cost to the Government specified in the Schedule; and (2) The Contractor is not obligated to continue performance under this contract (including actions under the Temination clause of this contract) or otherwise incur costs in excess of the estimated cost specified in the Schedule, until the Contracting Officer (i) notifies the Contractor in writing that the estimated cost has been increased and (ii) provides a revised estimated total cost of perfoming this contract. If this is a cost-sharing contract, the increase shall be allocated in accordance with the formula specified in the Schedule.

(e) No notice, communication, or representation in any form other than that specified in subparagraph (d)(2) above, or from any person other than the Contracting Officer, shall a ffect this contract's estimated cost to the Government. In the absence of the specified notice, the Government is not obligated to reimburse the Contractor for any costs in excess of the estimated l

cost or, if this is a cost-sharing contract, for any costs in excess of the estimated cost to the Government specified in the Schedule, whether those excess costs were incurred during the course of the contract or as a result of temination.

(f) If the estimated cost specified in the Schedule is increased, any costs the Contractor incurs before the increase that are in excess of the previously estimated cost shall be allowable to the same extent as if incurred afterward, l unless the Contract ng Officer issues a temination or other notice directing that the increase is solely to cover termination or other specified expenses.

(g) Change orders shall not be considered an authorization to exceed the estimated cost to the Government specified in the Schedule, unless they contain a statement increasing the estimated cost.

(h) If this contract is teminated or the estimated cost is not increased, the Government and the Contractor shall negotiate an equitable distribution of l

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

.-.----n..- - _ , - .

NRC-28-85-356 Page 35 all property produced or purchased under the contract, based upon the share of costs incurred by each.

(End of clause)

(R 7-203.3(a) 1966 0CT)

(R7-402.2(a)19660CT)

(R 7-402.2(b) 1973 MAY)

(R 1-7.202-3(a))

(R 1-7.402-2(a) & (b))

52.232-23 ASSIGNMENT OF CLAIMS. (APR 1984)--Alternate I. (APR 1984)

(a) The Contractor, under the Assignment of Claims Act, as amendert, 31 U.S.C. 203, 41 U.S.C.15 (hereafter referred to as the "the Act"), may assign its rights to be paid amounts due or to become due as a result of the performance of this contract to a bank, trust company, or other financing institution, including any Federal lending agency. The assignee under such an assignment may thereafter further assign or reassign its right under the original assignment to any type of financing institution described in the preceding sentence.Unless otherwise stated in this contract, payments to an assignee of any amounts due or to become due under this contract shall not, to the extent specified in the Act, be subject to reduction or setoff.

(b) Any assignment or reassignment authorized under the Act and this clause shall cover all unpaid amounts payable under this contract, and shall not be made to more than one party, except that an assignment or reassignment may be made to one party as agent or trustee for two or more parties participating in the financing of this contract.

(c) The Contractor shall not furnish or disclose to any assignee under this contract any classified document (including this contract) or infonna tion related to work under this contract until the Contracting Officer authorizes such action in writing.

(End of clause)

(R 7-103.8 1962 FEB; R 1-30.703 1976 MAY)

(R 7-602.8 1976 OCT)

(R 7-607.6 1976 0CT)

(R 7-103.8 1962 FEB)

(R 1-30.703 1976 MAY) i 52.233-1 DISPUTES. (APR 1984)

(a) This contract is subject to the Contract Disputes Act of 1978 (41 U.S.C.

601-613) (the Act).

(b) Except as provided in the Act, all disputes arising under or relating to this contract shall be resolved under this clause.

(c) " Claim," as used in this clause, means a written demand or written assertion by one of the contracting parties seeking, as a matter of right, the payment of money in a sum certain, the adjustment or interpretation of contract I tenns, or other relief arising under or relating to this contract. A claim arising under a contract, unlike a claim relating to that contract, is a claim that can be resolved under a contract clause that provides for the relief sought by the claimant. However, a written demand or written assertion by the Contractor seeking the payment of money r.xceeding $50,000 is not a claim under the Act until certified as required by subparagraph (d)(2) below. A voucher, l invoice, or other routine request for payment that is not in dispute when l submitted is not a claim under the Act. The submission may be converted to a i

l NRC-28-86-356 Page 36 claim under the Act, by complying with the submission and certification requirements of this clause, if it is disputed either as to liability or amount or is not acted upon in a reasonable time.

(d) (1) A claim by the Contractor shall be made in writing and submitted to the Contracting Officer for a written decision. A claim by the Government against the Contractor shall be subject to a written decision by the Contracting Officer.

(2) For Contractor claims exceeding $50,000, the Contractor shall submit with the claim a certification that--

(i) The claim is made in good faith; (ii) Supporting data are accurate and complete to the best of the Contractor's knowledge and belief; and (iii) The amount requested accurately reflects the contract adjustment for which the Contractor believes the Government is liable.

(3) (i) If the Contractor is an individual, the certification shall be executed by that individual.

(ii) If the Contractor is not an individual, the certification shall be executed by--

(A) A senior company official in charge at the Contractor's plant or location involved; or (B) An officer or general partner of the Contractor having overall responsibility for the conduct of the Contractor's affairs.

(e) For Contractor claims of $50,000 or less, the Contracting Officer must, '

if requested in writing by the Contractor, render a decision within 60 days of the request. For Contractor-certified claims over $50,000, the Contracting ,

Officer must, within 60 days, decide the claim or notify the Contractor of the j date by which the decision will be made, jl (f) The Contracting Officer's decision shall be final unless the Contractor appeals or files a suit as provided in the Act.

(g) The Government shall pay interest on the amount found due and unpaid ,

from (1) the date the Contracting Officer receives the claim (properly certified

if required), or (2) the date payment otherwise would be due, if that date is later, until the date of payment. Simple interest on claims shall be paid at .

the rate, fixed by the Secretary of the Treasury as provided in the Act, which ,

is applicable to the period during which the Contracting Officer receives the

• claim and then at the rate applicable for each 6-month period as fixed by the Treasury Secretary during the pendency of the claim.

(h) The Contractor shall proceed diligently with perfonnance of this contract, pending final resolution of any request for relief, claim, appeal, or action arising under the contract, ar.d comply with any decision of the Contracting Officer.

(Endofclause)

(R 7-103.12 1980 JUN)

(R FPR Temporary Regulation 55-II 1980 JUN)

52.237-2 PROTECTION OF GOVERNMENT BUILDINGS, EQUIPMENT, AND VEGETATION. ~

(APR 1984)

The Contractor shall use reasonable care to avoid damaging existing buildings, equipment, and vegetation on the Government installation. If the Contractor's failure to use reasonable care causes damage to any of this property, the Contractor shall replace or repair the damage at no expense to the Government as the Contracting Officer directs. If the Contractor fails or

NRC-28-86-356 Page 37 refuses to make such repair or replacement, the Contractor shall be liable for the cost, which may be deducted from the contract price.

(End of clause)

(R 7-104.63 1968 FEB) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS. (APR 1984)

(a) Notwithstanding any other clause of this contract--

(1) The Contracting Officer may at any time issue to the Contractor a written notice of intent to disallow specified costs incurred or planned for incurrence under this contract that have been determined not to be allowable under the contract terms; and (2) The Contractor may, after receiving a notice under subparagraph (1) above, submit a written response to the Contracting Officer, with justification for allowance of the costs. If the Contractor does respond within 60 days, the Contracting Officer shall, within 60 days of receiving the response, either make a written withdrawal of the notice or issue a written decision.

(b) Failure to issue a notice under this Notice of Intent to Disallow Costs clause shall not affect the Government's rights to take exception to incurred costs.

(End of clause)

(R 7-203.35 1978 AUG) 52.242-2 PRODUCTION PROGRESS REPORTS. (APR 1984)

(a) The Contractor shall prepare and submit to the Contracting Officer the production progress reports specified in the contract Schedule. )

(b) During any delay in furnishing a production progress report required -

under this contract, the Contracting Officer may withhold from payment an amount not exceeding $10,000 or 5 percent of the amount of this contract, whichever is less.

(End of clause)

(R 7-104.51 1971 APR) 52.243-2 CHANGES--COST-REIMBURSEMENT. (APR 1984)--Alternate I. (APR 1984)

(a) The Contracting Officer may at any time, by written order, and without notice to the sureties, if any, make changes within the general scope of this contract in any one or more of the following:

(1) Description of services to be performed.

(2) Time of performance (f.e., hours of the day, days of the week, etc.).

(3) Place of performance of the services.

(b) If any such change causes an increase or decrease in the estimated cost of, or the time required for, performance of any part of the work under this contract, whether or not changed by the order, or otherwise affects any other tenns and conditions of this contract, the Contracting Officer shall make an equitable adjustment in the (1) estimated cost, delivery or completion schedule, or both; (2) amount of any fixed fee; and (3) other affected terms and shall modify the contract accordingly.

NRC-28-86-356 Page 38 (c) The Contractor must submit any " proposal for adjustment" (herea f ter referred to as proposal) under this clause within 30 days from the date of receipt of the written order. However, if the Contracting Officer decides that the facts justify it, the Contracting Officer may receive and act upon a proposal submitted before final payment of the contract.

(d) Failure to agree to any adjustment shall be a dispute under the Disputes clause. However, nothing in this clause shall excuse the Contractor from proceeding with the contract as changed.

(e) Notwithstanding the tems and conditions of paragraphs (a) and (b) above, the estimated cost of this contract and, if this contract is incrementally funded, the funds allotted for the perfomance of this contract, shall not be increased or considered to be increased except by specific written modification of the contract indicating the new contract estimated cost and, if this contract is incrementally funded, the new amount allotted to the contract.

Until this modification is made, the Contractor shall not be obligated to continue perfomance or incur costs beyond the point established in the Limitation of Cost or Limitation of Funds clause of this contract.

(End of clause)

(R 7-203.2 1967 APR)

(R 1-7.202-2)

(R 7-1909.2 1971 NOV) 52.244-2 SUBCONTRACTS UNDER COST-REIMBURSEMENT AND LETTER CONTRACTS.

(APR 1984)

(a) " Subcontract," as used in this clause, includes but is not limited to

, purchase orders, and changes and modifications to purchase orders. The Contractor shall notify the Contracting Officer reasonably in advance of entering into any subcontract if--

(1) The proposed subcontract is of the cost-reimbursement, time-and-materials, or labor-hour type; (2) The proposed subcontract is fixed-price and exceeds either $25,000 or 5 percent of the total estimated cost of this contract; (3) The proposed subcontract has experimental, developmental, or research work as one of its purposes; or (4) This contract is not a facilities contract and the proposed subcontract provides for the fabrication, purchase, rental, installation, or other acquisition of special test equipment valued in excess of $10,000 or of any items of industrial facilities.

(b) (1) In the case of a proposed subcontract that (i) is of the cost-reimbursement, time-and-materials, or labor-hour type and is estimated to exceed

$10,000, including any fee, (ii) is proposed to exceed $100,000, or (iii) is one of a number of subcontracts with a single subcontractor, under this contract, for the same or related supplies or services that, in the aggregate, are expected to exceed $100,000, the advance notification required by paragraph (a) above shall include the infomation specified in subparagraph (2) below.

(2) (i) A description of the supplies or services to be subebntracted.

(ii) Identification of the type of subcontract to be used.

(iii) Identification of the proposed subcontractor and an explanation of why and how the proposed subcontractor was selected, including the competition obtained.

(iv) The proposed subcontract price and the Contractor's cost or l

price analysis.

l i

l

l NRC-28-86-356 Page 39 (v) The subcontractor's current, complete, and accurate cost or pricing data and Certificate of Current Cost or Pricing Data, if required by other contract provisions.

(vi) The subcontractor's Disclosure Statement or Certificate relating to Cost Accounting Standards when such data are required by other provisions of this contract.

(vii) A negotiation memorandum reflecting--

(A) The principal elements of the subcontract price negotiations; (B) The most significant considerations controlling establishment of initial or revised prices; (C) The reason cost or pricing data were or were not required; (D) The extent, if any, to which the Contractor did not rely on the subcontractor's cost or pricing data in detemining the price objective and in negotiating the final price; (E) The extent to which it was recognized in the negotiation that the subcontractor's cost or pricing data were not accurate, complete, or current; the action taken by the Contractor and the subcontractor; and the effect of any such defective data on the total price negotiated; (F) The reasons for any significant difference between the Contractor's price objective and the price negotiated; and (G) A complete explanation of the incentive fee or profit plan when incentives are used. The explanation shall identify each critical j performance element, management decisions used to quantify each incentive element, reasons for the incentives, and a sumary of all trade-off possibilities considered.

(c) The Contractor shall obtain the Contracting Officer's written consent ]

before placing any subcontract for which advance notification is requred under paragraph (a) above. However, the Contracting Officer may ratify in writing any such subcontract. Ratification shall constitute the consent of the Contracting Officer.

(d) If the Contractor has an approved purchasing system and the subcontract is within the scope of such approval, the Contractor ma into the

subcontracts described in subparagraphs (a)(1) and (a)(2) yabove enterwithout the consent of the Contracting Officer, unless this contract is for the acquisition

! of major systems, subsystems, or their components.

(e) Even if the Contractor's purchasing system has been approved, the Contractor shall obtain the Contracting Officer's written ennsent before placing subcontracts that have been selected for sPcial surveillance and identified in the Schedule of this contract.

(f) Unless the consent or approval specifically provides otherwise, neither consent by the Contracting Officer to any subcontract nor approval of the Contractor's purchasing system shall constitute a deterimination (1) of the

acceptability of any subcontract tems or conditions, (2) of the allowability of 1 any cost under this contract, or (3) to relieve the Contractor of any l responsibility for performing this contract. -

(g) No subcontract placed under this contract shall provide for payment on a

! cost-plus-a-percentage-of-cost basis, and any fee payable under cost-reimbursement type subcontracts shall not exceed the fee limitations in

~

subsection 16.301-4 of the Federal Acquisition Regulation (FAR).

(h) The Contractor shall give the Contracting Officer imediate written notice of any action or suit filed and prompt notice of any claim made against

, the Contractor by any subcontractor or vendor that, in the opinion of the

! Contractor, may result in If tigation related in any way to this contract, with

NRC-28-86-356  !

Page 40 respect to which the Contractor may be entitled to reimbursement from the Government.

(i) (1) The Contractor shall insert in each price redetermination or incentive price revision subcontract under this contract the substance of the paragraph " Quarterly limitation on payments statement" of the clause at 52.216-5, Price Redetemination--Prospective, 52.216-6, Price Redetemination--

Retroactive, 52.216-16, Incentive Price Revision--Firm Target, or 52.216-17 Incentive Price Revision-- Successive Targets, as appropriate, modified in accordance with the paragraph entitled " Subcontracts" of that clause.

(2) Additionally, the Contractor shall include in each cost-reimbursement subcontract under this contract a requirement that the subcontractor insert the substance of the appropriate modified subparagraph referred to in subparagraph (1) above in each lower tier price redetemination '

or incentive price revision subcontract under that subcontract.

1 (j) To facilitate small business participation in subcontracting, the Contrac tor agrees to provide progress payments on subcontracts under this contract that are fixed-price subcontratts with small business concerns in confomity with the standards for customary progress payments stated in FAR 32.502-1 and 32.504(f), as in effect on the date of this contract. The Contractor further agrees that the need for such progress payments will not be considered a handicap or adverse factor in the award of subcontracts.

(k) The Government reserves the right to review the Contractor's purchasing system as set forth in FAR Subpart 44.3.

(End of clause)

(R7-203.8(a)and(b 1982 DEC)

(R 7-402.8(a) and (b 1982 DEC) ,

(R7-605.23 (R 7-702.33 (R 7-703.25 (R 7-1703.5)

(R 7-1909.7)

(R1-7.202-8)

(R 1-7.402-8(a) and (c))

(R 7-702.33 1977 APR)

(R 7-703.25 1977 APR) 52.244-5 COMPETITION IN SUBCONTRACTING. (APR 1984) 4 The Contractor shall select subcontractors (including suppliers) on a corrpetitive basis to the maximum practical extent consistent with the objectives and requirements of the contract.

(End of clause)

(V 7-104.40 1962 APR)

(V1-7.202-30)

(V 7-303.27) '

(V7-402.29) ,

V7-603.18)

V 7-605.37 Y 7-702.50 V 7-703.43 V 7-704.35 V 7-1703.5)

(V7-1903.28)

(V7-1909.23) 1

NRC-28-86-356 Page 41 52.245-1 PROPERTY RECORDS. (APR 1984)

The Government shall maintain the Government's official property records in connection with Government property under this contract. The Government Property clause is hereby modified by deleting the requirement for the Contractor to maintain such records.

(End of clause)

(AV7-104.24(g)1967AUG) ,,

52.245-5 GOVERNMENT PROPERTY (C0ST-REIMBURSEMENT, TIME-AND-MATERIAL, OR LABOR-HOURCONTRACTS). (APR 1984)

(a) Government-furnished property. (1) The tem " Contractor's managerial personnel," as used in pa ragraph (g) of this clause, means any of the Contractor's directors, officers, managers, superintendents, or equivalent representatives who have supervision or direction of--

(i) All or substantially all of the Contractor's business; (ii) All or substantially all of the Contractor's operation at any one plant, or separate location at which the contract is being performed; or (iii) A separate and complete major industrial operation connected with performing this contract.

(2) The Government shall deliver to the Contractor, for use in connection with and under the terms of this contract, the Government-furnished property described in the Schedule or specifications, together with such related data and infomation as the Contractor may request and as may be reasonably required for the intended use of the property (hereina f ter referred to as

" Government-furnished property").

(3) The delivery or perfomance dates for this contract are based upon '

the expectation that Government-furnished property suitable for use will be delivered to the Contractor at the times stated in the Schedule or, if not so stated, in sufficient time to enable the Contractor to meet the contract's delivery or perfomance dates.

(4) If Government-furnished property is received by the Contractor in a

! condition not suitable for the intended use, the Contractor shall, upon receipt, notify the Contracting Officer, detailing the facts, and, as directed by the Contracting Officer and at Government expense, either effect repairs or modification or return or otherwise dispose of the property. After completing the directed action and upon written request of the Contractor, the Contracting Officer shall make an equitable adjustment as provided in paragraph (h) of this clause.

(5) If Government-furnished property is not delivered to tha Contractor by the required time or times, the Contracting Officer shall, upon the

Contractor's timely written request, make a determination of the delay, if any,

caused the Contractor and shall make an equitable adjustment in accordance with paragraph (h) of this clause.

(b) Chances in Government-furnished property. (1) The Contracting Officer ,

may, by written notice, (1) decrease the Government-furnished property provided or to be provided under this contract or (ii) substitute other Government-furnished property for the property to be provided by the Government or to be acquired by the Contractor for the Government under this contract. The Contractor shall promptly take such action as the Contracting Officer may direct regarding the removal, shipment, or disposal of the property covered by this notice.

l

. NRC-28-86-356

. Page 42 l

I (2) Upon the Contractor's written request, the Contracting Officer shall

! make an equitable adjustment to the contract in accordance with paragraph (h) of this clause, if the Government has agreed in the Schedule to make such property available for perfonning this contract and there is any--

i (i) Decrease or substitution in this property pursuant to subparagraph (b)(1) above; or

(ii) Withdrawal of authority to use property, if provided under any other contract or lease.

l (c) Title. (1) The Government shall retain title to all Government-1 furnished property.

(2) Title to all property purchased by the Contractor for which the Contractor is entitled to be reimbursed as a direct item of cost under this l contract shall pass to and vest in the Government upon the vendor's delivery of I such property.

(3) Title to all other property, the cost of which is reimbursable to the Contractor, shall pass to and vest in the Government upon--

(i) Issuance of the property for use in contract performance; (ii) Comr'encement of processing of the property or use in contract performance; or (iii) Reimbursement of the cost of the property by the Government, whichever occurs first.  ;

i (4) All Government-furnished property and all property acquired by the

, Contractor, title to which vests in the Government under this paragraph .

(collectively referred to as " Government prope rty"), are subject to the  !

provisions of this clause. Title to Government property shall not be affected by its incorporation into or attachment to any property not owned by the Government, nor shall Government property become a fixture or lose its identity -

, as personal property by being attached to any real property.

(d) Use of Government property. The Government property shall be used only for perfonning this contract, unless otherwise provided in this contract or '

approved by the Contractir.g Officer.

(e) Property administration. (1) The Contractor shall be responsible and '

accountable for all Government property provided under this contract and shall comply with Federal Acquisition Regulation (FAR) Subpart 45.5, as in effect on the date of this contract, and which is hereby incorporated into this contract by reference.

(2) The Contractor shall establish and maintain a program for the use, mainter,ance, repair, protection, and precervation of Government property in j accordance with sound business practice and the appifcable provisions of FAR 1

Subpart 45.5.

(3) If damage occurs to Government property, the risk of which has been assumed by the Government under this contract, the Government shall replace the j items or the Contractor shall make such repairs as the Government directs.

Hoever, if the Contractor cannot effect such repairs within the time required,

, the Contractor shall dispose of the property as directed by the Contracting ';

Officer. When any property for which the Government is responsible. f s replaced

.t or repaired, the Contractin in j accordance with paragraph (h)g Officer of this shall make an equitable adjustment clause.

(f) Access. The Government and all its designees shall have access at all reasonable times to the premises in which any Government property is located for i the purpose of inspecting the Government property.

4 (g) Limited risk of loss. (1) The Contractor shall not be liable for loss j or destruction of, or damage to, the Government property provided under this l

._. , ._,,___m_ -..__,______._.m,

NRC-28-86-356 Page 43 contract or for expenses incidental to such loss, destruction, or damage, except as provided in subparagraphs (2) and (3) below.

(2) The Contractor shall be responsible for foss or destruction of, or damage to, the Government property provided under this contract (including expenses incidental to such loss, destruction, or damage)--

(i) That results from a risk expressly required to be insured under this contract, but only to the extent of the insurance required to be purchased and maintained or to the extent of insurance actually purchased and maintained, whichever is greater; (ii) That results from a risk that is in fact covered by insurance or for which the Contractor is otherwise reimbursed, but only to the extent of such insurance or reimbursement; (iii) For ithich the Contractor is otherwise responsible under the express terms of this contract; (iv) That results from willful misconduct or lack of good faith on the part of the Contractor's managerial personnel; or (v) That results from a failure on the part of the Contractor, due to willful misconduct or lack of good faith on the part of the Contractor's managerial personnel, to establish and administer a program or system for the control, use, protection, preservation, maintenance, and repair of Government property as required by paragraph (e) of this clause.

(3) (1) If the Contractor fails to act as provided by subdivision (g)(2)(v) above, after being notified (by certified mail addressed to one of the Contractor's managerial personnel) of the Government's disapproval, withdrawal of approval, or nonacceptance of the system or program, it shall be conclusively presumed that such failure was due to willful misconduct or lack of good faith on the part of the Contractor's managerial personnel.

(ii) In such event, any loss or destruction of, or damage to, the l Government I.roperty shall be presumed to have resulted from such failure unless the Contractor can establish by clear and convincing evidence that such loss, destruction, or damage--

(A) Did not result from the Contractor's failure to maintain an approved program or system; or (B) Occurred while an approved program or system was maintained by the Contractor.

(4) If the Contractor transfers Government property to the possession and control of a subcontractor, the transfer shall not affect the liability of the Contractor for loss or destruction of, or damage to, the property as set forth above. However, the Contractor shall require the subcontractor to assume the risk of, and be responsible for, any loss or destruction of, or damage to, the property while in the subcontractor's possession or control, except to the extent that the subcontract, with the advance approval of the Contracting Officer, relieves the subcontractor from such if ability. In the absence of such approval, the subcontract shall contain appropriate provisions requiring the return of all Government property in as good condition as when received, except .

for reasonable wear and tear or for its use in accordance with the provisions of  ;

the prime contract.

(5) Upon loss or destrucifon of, or damage to, Government property provided under this contract, the Contractor shall so notify the Contracting Officer and shall communicate with the loss and salvage organization, if any, designated by the Contracting Officer. With the assistance of any such organization, the Contractor shall take all reasonable action to protect the Government property from further damage, separate the damaged and undamaged l

NRC-28-86-356 Page 44 Government property, put all the affected Government property in the best possible order, and furnish to the Contracting Officer a statement of--

(i) The lost, destroyed, or damaged Government property; (ii) The time and origin of the loss, destruction, or damage; (iii) All known interests in commingled property of which the Government property is a part; and (iv) The insurance, if any, covering any part of or interest in such commingled property.

(6) The Contractor shall repair, renovate, and take such other action with respect to damaged Government property as the Contracting Officer directs.

If the Government property is destroyed or damaged beyond practical repair, or is damaged and so commingled or combined with property of others (including the Contractor's) that separation is impractical, the Contractor may, with the approval of and subject to any conditions imposed by the Contracting Officer, sell such property for the account of the Government. Such sales may be made in order to minimize the loss to the Government, to remit the resumption of business, or to accomplish a similar purpose. The Contractor shall be entitled to an equitable adjustment in the contract price for the expenditures made in performing the obligations under this subparagraph (g)(6) in accordance with paragraph (h) of this clause. However, the Government may directly reimburse the loss and salvage organization for any of their charges. The Contracting Officer shall give due regard to the Contractor's liability under this paragraph i (g) when making any such equitable adjustment.

(7) The Contractor shall not be reimbursed for, and shall not include as an item of overhead, the cost of insurance or of any reserve covering risk of loss or destruction of, or damage to, Government property, except to the extent that the Government may have expressly required the Contractor to carry such insurance under another provision of this contract.

(8) In the event the Contractor is reimbursed or otherwise compensated ,

for any loss or destruction of, or damage to, Government property, the

• Contractor shall use the proceeds to repair, renovate, or replace the lost, destroyed, or damaged Government property or shall otherwise credit the proceeds to, or equitably reimburse, the Government, as directed by the Contracting Officer.

(9) The Contractor shall do nothing to prejudice the Government's rights to recover against third parties for any loss or destruction of, or damage to, Government property. Upon the request of the Contracting Officer, the Contractor shall, at the Government's expense, furnish to the Government all reasonable assistance and cooperation (including the prosecution of suit and the execution of instruments of assignment in favor of the Government) in obtaining recovery. In addition, where a subcontractor has not been relieved from liability for ary Inss or destruction of, or damage to, Government property, the Contractor shall enforce for the benefit of the Government the liability of the subcontracto; for such loss, destruction, or damage.

(h) Equitable adjustment. When this clause specifies an equitable adjustment, it shall be made to any affected contract provision in accordance with the procedures of the Changes clause. When appropriate, the Contracting Officer may initiate an equitable adjustment in favor of the Government. The right to an equitable adjustment shall be the Contractor's exclusive remedy.

The Government shall not be liable to suit for breach of contract for--

(1) Any delay in delivery of Government-furnished property; (2) Delivery of Government-furnished property in a condition not suitable for its intended use; (3) A decrease in or substitution of Government-furnished property; or

NRC-28-86-356 Page 45 (4) Failure to repair or replace Government property for which the Government is responsible.  ;

(i) Final accounting and disposition of Government property. Upon I completing this contract, or at such earlier dates as may be fixed by the 4 Contracting Officer, the Contractor shall submit, in a form acceptable to the Contracting Officer, inventory schedules covering all items of Government property not consumed in performing this contract or delivered to the Government. The Contractor shall prepare for shipment, deliver f.o.b. origin, or dispose of the Government property as may be directed or authorized by the Contracting Officer. The net proceeds of any such disposal shall be credited to the cost of the work ccvered by this contract or paid to the Government as directed by the Contracting Officer. The foregoing provisions shall apply to scrap from Government property; provided, however, that the Contracting Officer may authorize or direct the Contractor to omit from such inventory schedules any scrap consisting of faulty castings or forgings or of cutting and processing waste, such as chips, cuttings, borings, turnings, short ends, circles, trimings, clippings, and remnants, and to dispose of such scrap in accordance with the Contractor's normal practice and account for it as a part of general overhead or other reimbursable costs in accordance with the Contractor's i established accounting procedures.

(j) Abandonment and restoration of Contractor premises. Unless othemise provided herein, the Government--

(1) May abandon any Government property in place, at which time all obligations of the Government regarding such abandoned property shall cease; and (2) Has no obligation to restore or rehabilitate the Contractor's premises under any circumstances (e.g., abandonment, disposition upon completion of need, or contract completion). However, if the Government- furnished property (listed in the Schedule or specifications) is withdrawn or is unsuitable for the intended use, or if other Government property is substituted, then the equitable adjustment under paragraph (h) of this clause may properly include restoration or rehabilitation costs.

(k) Communications. All cormunica tions under this clause shall be in writing.

(1) Overseas contracts. If this contract is to be perfonned outside the United States of Ame rica , its territories, or possessions, the words

" Government" and " Government-furnished" (wherever they appear in this clause) shall be construed as " United States Government" and " United States Government-furnished," respectively.

(End of clause)

(R 7-203.21 1970 SEP)

(R 7-402.25, except clause paragraph (c) 1972 SEP)

(R 7-901.5 1970 SEP)

(R1.7.203-21(a))

(R1-7.402-25(a))

l (R I-7.402-25(b), except clause paragraph (c)) ,

52.246-25 LIMITATION OF LIABILITY--SERVICES. (APR 1984)

(a) Except as provided in paragraphs (b) and (c) below, and except to the extent that the Contractor is expressly responsible under this contract for deficiencies in the services required to be performed under it (including any materials furnished in conjunction with those services), the Contractor shall not be liable for loss of or damage to property of the Government that (1)

occurs after Government acceptance of services perfonned under this contract and

i I

. NRC-28-86-356 I Page 46 (2) results from any defects or deficiencies in the services performed or materials furnished.

(b) The limitation of liability under paragraph (a) above shall not apply when a defect or deficiency in, or the Government's acceptance of, services performed or materials furnished results from willful misconduct or lack of good faith on the part of any of the Contractor's managerial personnel. The term

" Contractor's managerial personnel," as used in this clause, means the Contractor's directors, officers, and any of the Contractor's managers,

!^

superintendents, or equivalent representatives who have supervision or direction of--

4 (1) All or substantially all of the Contractor's business; (2) All or substantially all of the Contractor's operations at any one plant, labora tory, or separate location at which the contract is being perfonned; or 4 (3) A separate and complete major industrial operation connected with l the performance of this contract.

(c) If the Contractor carries insurance, or has established a reserve for

self-insurance, covering liability for loss or damage suffered by the Governmant i through the Contractor's perfomance of services or furnishing of materials t under this contract, the Contractor shall be liable to the Government, to the extent of such insurance or reserve, for loss of or damage to property of the

, Government occurring after Government acceptance of, and resulting from any defects and deficiencies in, services perfomed or materials furnished under this contract.

(d) The Contractor shall include this clause, including this paragraph (d), '

supplemented as necessary to reflect the relationship of the contracting parties, in all subcontracts over $25,000.

(Endofclause)

(R7-19121974APR) i 52.247-63 PREFERENCE FOR U.S.-FLAG AIR CARRIERS. (APR 1984) >

(a) " International air transportation," as used in this clause, means transportation by air between a place in the United States and a place outside j

the United States or between two places both of which are outside the United States.

" United States," as used in this clause, means the 50 States, the District of Columbia, the Comonwealth of Puerto Rico, and possessions of the United i States.

"U.S.-flag air carrier," as used in this clause, means an air carrier holding a certificate under section 401 of the Federal Aviation Act of 1958 (49 U.S.C. 1371).

i (b) Section 5 of the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. 1517) (Fly America Act) requires that all Federal agencies and Government contractors and subcontractors use U.S.-flag air i carriers for U.S. Government-financed international air transportation of personnel (and their personal effects) or property, to the extent that service

by those carriers is available. It requires the Comptroller General of the

United States, in the absence of satisfactory proof of the necessity for o

foreign-flag air transportation, to disallow expenditures from funds.

appropriated or otherwise established for the account of the United States, for international air transportation secured aboard a foreign-flag air carrier if a U.S.-flag air carrier is available to provide such services.

1

i NRC-28-86-356 '

Page 47 i

(c) The Contractor agrees, in performing work under this contract, to use U.S.-flag air carriers for international air transportation of persnnnel (and their personal effects) or property to the extent that service by those carriers is available.

(d) In the event that the Contractor selects a carrier other than a U.S.-

flag air carrier for international air transportation, the Contractor shall include a certification on vouchers involving such transportation essentially as i

follows:

CERTIFICATION OF UNAVAILABILITY OF U.S.-FLAG AIR CARRIERS I hereby certify that international air transportation of persons (and their personal effects) or property by U.S.-flag air carrier was not available or it

] was necessary to use foreign-flag air carrier service for the following reasons (see section 47.403 of the Federal Acquisition Regulation): [ State reasons):

(End of certification)

(e) The Contractor shall include the substance of this clause, including this paragraph (e), in each subcontract or purchase under this contract that may involve international air transportation.

(End of clause)

(R7-104.951979NOV)

(Rl-1.323-2) 52.249-6 TERMINATION (C0ST-REIMBURSEMENT). (APR1984)

(a) The Government may terminate performance of work under this contract in whole or, from time to time, in part, if--

(1) The Contracting Officer determines that a temination is in the Government's interest; or ,

(2) The Contractor defaults in perfoming this contract and fatis to i

cure the default within 10 days (unless extended by the Contracting Officer) l after receiving a notice specifying the default. " Default" includes failure to make progress in the work so as to endanger perfomance.

(b) The Contracting Officer shall teminate by delivering to the Contractor a Notice of Termination specifying whether termination is for default of the Contractor or for convenience of the Government, the extent of temination, and the effective date. If, after temination for default, it is deterinined that the Contractor was not in default or that the Contractor's failure to perform or to make progress in performance is due to causes beyond the control and without the fault or negligence of the Contractor as set forth in the Excusable Delays clause, the rights and obligations of the parties will be the same as if the temination was for the convenience of the Government.

(c) After receipt of a Notice of Termination, and except as directed by the Contracting Officer, the Contractor shall inrnediately proceed with the following ,

obligations, regardless of any delay in detemining or adjusting any amounts due under this clause:

(1)Stopworkasspecifiedinthenotice.

(2) Place no further subcontracts or orders (referred to as ' subcontracts in this clause), except as necessary to complete the continued portion of the contract.

(3) Terminate all subcontracts to the extent they relate to the work terminated.

(4) Assign to the Government, as directed by the Contracting Officer, all right, title, and interest of the Contractor under the subcontracts

NRC-28-86-356 Page 48 terminated, in which case the Government shall have the right to settle or to pay any temination settlement proposal arising out of those teminations.

(5) With approval or ratification to the extent required by the Contracting Officer, settle all outstanding liabilities and termination settlement proposals arising from the temiration of subcontracts, the cost of which would be reimbursable in whole or in part, under this contract; approval or ratification will be final for purposes of this clause.

(6) Transfer title (if not already transferred) and, as directed by the Contracting Officer, deliver to the Government (1) the fabricated or unfabricated parts, work in process, completed work, supplies, and other material produced or acquired for the work teminated, (ii) the completed or partially completed plans, drawings, information, and other property that, if the contract had been completed, would be required to be furnished to the Government, and (iii) the jigs, dies, fixtures, and other special tools and tooling acquired or manufactured for this contract, the cost of which the Contractor has been or will be reimbursed under this contract.

(7) Crplete perfomance of the work not teminated.

(8) Take any action that may be necessary, or that the Contracting Officer may direct, for the protection and preservation of the property related to this contract that is in the possession of the Contractor and in which the Government has or may acquire an interest.

(9) Use its best efforts to sell, as directed or authorized by the Contracting Officer, any property of the types referred to in subparagraph (6) above; provided, however, that the Contractor (i) is not required to extend credit to any purchaser and (ii) may acquire the property under the conditions prescribed by, and at prices approved by, the Contracting Officer. The proceeds of any transfer or disposition will be applied to reduce any payments to be made by the Government under this contract, credited to the price or cost of the work, or paid in any other manner directed by the Contracting Officer. ,

(d) After expiration of the plant clearance period as defined in Subpart 45.6 of the Federal Acquisition Regulation, the Contractor may submit to the Contracting Officer a list, certified as to quantity and quality, of temination inventory not previously disposed of, excluding items authorized for disposition by the Contracting Officer. The Contractor may request the Government to remove those items or enter into an agreement for their storage. Within 15 days, the Government will accept the items and remove them or enter into a storage agreement. The Contracting Officer may verify the list upon removal of the items, or if stored, within 45 days from submission of the list, and shall correct the list, as necessary, before final settlement.

(e) After termination, the Contractor shall submit a final temination >

settlement proposal to the Contracting Officer in the form and with the certification prescribed by the Contracting Of fice r. The Contractor shall submit the proposal promptly, but no later than 1 year from the effective date of termination, unless extended in writing by the Contracting Officer upon written request of the Contractor within this 1-year period. However, if the Contracting Officer detemines that the facts justify it, a , temination settlement proposal may be received and acted on after 1 year or any extension.

If the Contractor fails to submit the proposal within the time allowed, the Contracting Officer may detemine, on the basis of infomation available, the amount, if any, due the Contractor because of the temination and shall pay the amount detemined.

(f) Subject to paragraph (e) above, the Contractor and the Contracting Officer may agree on the whole or any part of the amount to be paid (including

NRC-28-86-356 Page 49 an allowance for fee) because of the temination. The contract shall be amended, and the Contractor paid the agreed amount.

(g) If the Contractor and the Contracting Officer fail to agree in whole or in part on the amount of costs and/or fee to be paid because of the termination of work, the Contracting Officer shall detemine, on the basis of infomation available, the amount, if any, due the Contractor, and shall pay that amount, which shall include the following:

(1) All costs reimbursable under this contract, not previously paid, for the perfomance of this contract before the effective date of the temination, and part of those costs that may continue for a reasonable time with the approval of or as directed by the Contracting Officer; however, the Contractor shall discontinue those costs as rapidly as practicable.

(2) The cost of settling and paying temination settlement proposals under terminated subcontracts that are properly chargeable to the terminated portion of the contract if not included in subparagraph (1) above.

(3) The reasonable costs of settlement of the work teminated, including--

(i) Accounting, legal, clerical, and other expenses reasonably necessary for the preparation of termination settlement proposals and supporting data; (11) The termination and settlement of subcontracts (excluding the amounts of such settlements); and (iii) Storage, transportation, and other costs incurred, reasonably necessary for the preservation, protection, or disposition of the temination inventory. If the termination is for default, no amounts for the preparation of the Contractor's temination settlement proposal may be included.

(4) A portion of the fee payable under the contract, determined as follows:

(i) If the contract is teminated for the convenience of the Government, the settlement shall include a percentage of the fee equal to the percentage of completion of work contemplated under the contract, but excluding subcontract effort included in subcontractors' temination proposals, less previous payments for fee.

(ii) If the contract is teminated for default, the total fee payable shall be such proportionate part of the fee as the total number of delivered to and acce articles (or amount to the total number of services)(or amount of services)pted of articles bykind of a like the required Government is by the contract.

(5) If the settlement includes only fee, it will be determined under subparagraph (g)(4) above.

(h) The cost principles and procedures in Part 31 of the Federal Acquisition Regulation, in effect on the date of this contract, shall govern all costs claimed, agreed to, or determined under this clause.

(f) The Contractor shall have the right of appeal, under the Disputes clause, from any determination made by the Contracting Officer under paragraph (e) or (g) above or paragraph (k) below, except that if the Contractor failed to submit the temination settlement proposal within the time provided in paragraph (e) and failed to request a time extension, there is no right of appeal. If the Contracting Officer has made a determination of the amount due under paragraph (e), (g) or (k), the Government shall pay the Contractor (1) the amount determined by the Contracting Officer if there is no right of appeal or if no (j appeal timely) has at In arriving been the taken, amountordue (2) the the amount finally Contractor determined under on an this clause, appeal.

there shall be deducted--

NRC-28-86-356 Page 50 (1) All unliquidated advance or other payments to the Contractor, under the teminated portion of this contract; (2) Any claim which the Government has acainst the Contractor under this contract; and (3) The agreed price for, or the proceeds of sale of materials, supplies, or other things acquired by the Contractor or sold under this clause and not recovered by or credited to the Government.

(k) The Contractor and Contracting Officer must agree to any equitable adjustment in fee for the continued portion of the contract when there is a partial temination. The Contracting Officer shall amend the contract to reflect the agreement.

(1) (1) The Government may, under the terms and conditions it prescribes, make partial payments and payments against costs incurred by the Contractor for the terminated portion of the contract, if the Contracting Officer believes the total of these payments will not exceed the amount to which the Contractor will be entitled.

(2) If the total payments exceed the amount finally determined to be due, the Contractor shall repay the excess to the Government upon demand, together with interest computed at the rate established by the Secretary of the Treasury under 50 U.S.C. App. 1215(b)(2). Interest shall be computed for the period from the date the ex:ess payment is received by the Contractor to the date the excess is repaid. Interest shall not be charged on any excess payment due to a reduction in the Contractor's termination settlement proposal because of retention or other disposition of temination inventory until 10 days after the date of the retention or disposition, or a later date detemined by the Contracting Officer because of the circumstances.

(m) The provisions of this clause relating to fee are inapplicable if this contract does not include a fee.

(Endofclause)

(R 1-8.702)

(R 7-203.10 1973 APR) 52.249-14 EXCUSABLE DELAYS, (APR1984)

(a) Except for defaults of subcontractors at any tier, the Contractor shall not be in default because of any failure to perform this contract under its tems if the failure arises from causes beyond the control and without the fault or negligena of the Contractor. Examples of these causes are (1) acts of God or of the public enemy, (2) acts of the Government in either its sovereign or contractual capacity, (3) fires, (4) floods, (5) epidemics, (6) quarantine restrictions, (7) strikes, (8) freight embargoes, and (9) unusually severe weather. In each instance, the failure to perfom must be beyond the control and without tha fault or negligence of the Contractor. "De faul t" includes failure to make progress in the work so as to endanger perfomance.

(' If the failure to perform is caused by the failure of a subcontractor at any tier to perform or make progress, and if the cause of the failure was beyond ,

the control of both the Contractor and subcontractor, and without the fault or i negligence of either, the Contractor shall not be deemed to be in default. (

unless-- l (1) The subcontracted supplies or services were obtainable from other

• sources; (2) The Contracting Officer ordered the Contractor in writing to purchase these supplies or services from the other source; and (3) The Contractor failed to comply reasonably with this order.

I NRC-28-86-356 i Page 51 (c) Upon request of the Contractor, the Contracting Officer shall ascertain the facts and extent of the failure. If the Contracting Officer detemines that any failure to perfonn results from one or more of the causes above, the l delivery schedule shall be revised, subject to the rights of the Government under the termination clause of this contract.

(End of clause)

(R7-203.111969AUG)

(R1-8.708)

(R7-605.39)

(R 1-7.403-5)

(R 7-702.7)

(R 7-703.7)

(R1-7.202-11)

(R1-8.700-2(c))

52.252-2 CLAUSES INCORPORATED BY REFERENCE. (APR 1984)

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

I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES 11...................................... [ insert regulation name)(48 CFR CHAPTER.......) CLAUSES (End of clause)

(R 7-001) 52.252-4 ALTERATIONS IN CONTRACT. (APR1984)

Portions of this contract are altered as follows:

(End of clause)

(R7-105.1(a)1949JUL) 1 i,

NRC-28-86-356 Page 52 PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS Section J - List of Attachments Attachment Number Title 1 Billing Instructions for NRC Cost Type Contracts '

2 NRC Manual Chapter 3202 3 Contractor Organizational Conflicts of Interest i

I i

l i

NRC-29-86-356 Page 53 PART IV - REPRESENTATIONS AND INSTRUCTIONS Section K - Representations, Certifications and Other Statements of Offerors or Ouoters K.! CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (OMB Clearance Number 3150-0112)

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

The award to of a contract or the modification of an existing contract does / / or dees not / /

involve situations or relationships of the type set forth in Attachment 3, paragraph 20-1.5403(b).

If the representation as completed indicates that situations or relationships of the type set forth in Attachrent 2 are involved or the Contracting Officer otherwise determines that potertial organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant factors bearing on his representation to the Contracting Officer. If the Contracting Officer determines that organizational conflicts exist, the following actions may be taken:

(a) impose appropriate conditions which avoid such conflicts, (b) disoualify the offeror, or (c) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of

! 20-1.5411.

The refusal to provide the representation required by $20-1.5404(b) or upon request of the Contracting Officer the facts required by 920-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant interest

, may also result in the disqualification of the offeror for awards; or if such nondisclosure or misrepresentation is discovered after award; or if such nondisclosure for misrepresentation is discovered after award, the resulting contract may be tereinated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to l such other remedial actions provided by law or the resulting contract.

NRC-28-86-356 Page 54 K.2 FAR Provisions 52.203-4 CONTINGENT FEE REPRESchTATION AND AGREEMENT. (APR 1954)

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

Note: The offeror must check the appropriate boxes. For interpretation of the representation, including the tem " bona fide employee," see Subpart 3.4 of the Federal Acquisition Regulation.

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

(b) Agreement. The offeror agrees to provide infornetion relatine to the above Representation as requested by the Contracting Officer and, when subparagraph (a)(1) er (a)(2) is answered affirnatively, to promptly subtrit to the Contracting Officer--

(1) A completed Standard Form 119 Statement of Contingent or Other Fees, (SF 119); or (2) A signed statement indicating that the SF 119 was previously submitted to the same contracting office, including the date and applicable solicitation or contract number, and representing that the prior SF 119 applies to this offer or quotation.

(End of provision)

(R 7-2002.1 1974 APR)

(R 1-1.505) 52.215-6 TYPE OF BUSINESS ORGANIZATION. (APR 1984)

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

......................, / / an individual, / / a partnership, / / a nonprofit organization, or / / a joint venture.

(End of provisfor)

(AV SF 33 1977 MAR)

(R SF 198, Para 4,1976 JUNE) l

.1 MRC-28-85-356 4 Page 55 52.219-1 SHALL BUSINESS CONCERN REPRESENTATION. (APR 1984)

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

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

(End of provision)

(R 3-501(b)(3), Part IV,Section X, (i)(A) 1979 SEP) 52.219-2 SMALL DISADVANTAGED BUSINESS CONCERN REPRESENTATION. (APR 1984)

(a) Representation. The offeror represents that it / / is, / / is not a small disadvantaged business concern.

(b) Definitions.

" Asian-Indian American," as used in this provision, means a United States .

citizen whose origins are in India, Pakistan, or Bangladesh.

" Asian-Pacific American," as used in this provision, means a United States citizen whose origins are in Japan, China, the Philippines, Vietnan, Korea, Samoa, Guam, the U.S. Trust Territory of the Pacific Islands, the Northern Mariana Islands, Laos, Cambodia, or Taiwan.

" Native Americans," as used in this provision, means American Indians, Eskimos, Aleuts, and native Hawaiians. j "Small business concern," as used in this provision, means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and goalified as a small business under the criteria and size standards in 13 CFR 121.

"Small disadvantayed business concern," as used in this provision, means a small business concern that (1) is at least 51 percent owned by one or more individuals who are both socially and economically disadvantaged, or a publicly owned business having at least 51 percent of its stock owned by one or more socially and economically disadvantaged individuals and (2) has its management and daily business controlled by one or more such individuals.

(c) Qualified oroups. The offeror shall presume that socially and economically disadvantaged individuals include Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, Asian-Indian Americans, j and other individuals found to be qualified by the SBA under 13 CFP, 124.1.

(End of provision)

(R 7-2003.74 1980 AUG)

(R 3-501(b)(3), Part IV,Section X, (i)(B) 1980 AUS)

NRC-28-85-356 Page 56 52.219-3 WOMEN-0WNED EMALL BUSINESS REPRESENTATION. (APR 1984)

(a) Representation. The offeror represents that it / / is, / / is not a women-owned small business concern.

(b) Definitions.

"Small business concern," as used in this provision, means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria and size standards in 13 CFR 121.

" Women-owned," as used in this provision, means a small business that is at least 51 percent owned by a woman or women who are U.S. citizens and who also control and operate the business.

(End of provision)

(R FPR Temp. Reg 48 1978 DEC) 1

(REVISED - 6/84)

BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS 4

General.

The contractor shall submit vouchers for cost-reimbursement sample voucher.and format described herein and as illustrated in the in the manner Number of Copies.. An original and two copies should be mailed to the NRC office identified below.

Frequency.

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

Form.

Claims shall be submitted on the Form DC-3 " Voucher for Purchases and Services Contracting Officer. Other Than Personal." These forms are available from the (The instructions for preparation and itemization of the voucher are shown on the form.)

Billing of Costs Afte'r Expiration of Contract. If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited.

Currency.

Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records; payments will be made in that currency. However, the U. S. dollar equivalent for all invoices paid under the contract may not exceed the total U. S. dollars authorized in the contract.

Supersession.

These instructions supersede all previous billing

! e

instructions. -

INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACTS O

Preparation and Itemization of the Voucher. The contractor shall furnish the

( information set forth in the explanatory notes below. These notes are keyed to the entries on the sample voucher.

Payor's Name and Address. (i) Address the original voucher (with 2 copies) to: U.S. Nuclear Regulatory Commission, Division of Accounting and Finance, Office of Resource Management, ATTN: GOV /COM Accounts Section, Washington, D.C. 20555.

Any questions regarding vouchers yet to be paid by the NRC should be addressed to Division of Accounting (301-492-7535). Any questions regarding vouchers for which payment has been received (either in

, full or partially with suspensions or disallowances) should be ad-dressed to the Contracting Officer.

Payee's Name and Address. Show the name of the contractor as it appears in the contract and its correct address; except when an approved assign-ment has been made by the contractor, or a different payee or addressee has been designated, then insert the name and address of the payee.

i Indicate the individua'l responsible for answering any questions NRC may have reaarding the invoice (name and phone number).

(a) Contract Number - Insert the NRC contract number.

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

(c) Voucher Number - Insert the appropriate serial number of the voucher beginning with 001 for this contract. Contractors may also include individual internal accounting numbers in addition to the three digit number.

r (d) Date of Voucher - Insert the date the voucher is prepared.

l

!. (e) Contract Amount - Insert the total estimated cost of the contract, j exclusive of fixed-fee.

i*

i (f) Fixed Fee - Insert total fixed-fee (where applicable).

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

l

(h) Direct Costs - Insert the major cost elements.

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

• Labor Labor Hours Ca tegory Negotiated Cumulative Hours Billed _ Rate Total Hours Billed g (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. Frin not be identified here. ge benefits included in direct labor should (3) Direct Equipment tions list each item costin - For educational institu-ancy of more than one year.g $500 or more, and having a life expect-For contractors other than educational institutions list each item costin expectancy of more than one year. g $200 or more, and having a life for which reimbursement is requested. List only those items of equipment the following (as applicable): (1) the Aitem reference shall be made to number for the specific 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 the approval level. Further itemization of vouchers shall only be required for items having specific limitations set forth in the contract.

(4) Materials, Supplies, and Other Expendable Items - These are consumable materials 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.)

(6) Consultants' Fee - The supporting information must include the name, hourly or daily rate of the consultant and reference the NRC approval (if not specifically approved in the original contract).

(7) Travel - Domestic travel is travel within the United States, its territories, possessions, and Canada; it should be billed separately from foreign travel . Travel costs billed will provide for individual Per Diem, and all supporting information for each trip taken.

4 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)

Date Traveler Destination Purpose Cost g From To From To

1. Airfare

2. Rental Car

3. Local Travel

4. Per Diem Days 9 =

, 5. Meals :

• Date Breakfast Lunch Dincar If not included in Per Diem.

6. Tips, Misc.

(Itemize if more than 510,00)

(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 separa tely.

(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.

(j) Fixed-Fee - If the contract provides for a fixed-fee, it must be claimed as provided for by the contract. Cite the formula or method of computation.

Contractor may bill for fixed fee only up to 85% of total fee.

(k) Amount Billed for Current Period - Insert the amount billed for the major

( cost elements, adjustment, and adjusted amounts for the period.

(1) Cumulative Amount from Inception to Date of this Billing - Insert the cumulative amounts billed for the major cost elements and adjusted <

amounts claimed during this contract.

(m) Tota! Amounts Claimed - Insert the total amounts claimed for the current and cumulative periods.

.' (n) Adjustments - This includes amounts conceded by the contractor, outstand-

, ing suspensions, and disapprovals subject to appeal.

(o) Grand Totals I

l 4

4

-,c.

VOUCHERS FOR FURCHASLS AND 5LRVICES OTHER lHAN PERSONAL SAMPLE V0UCHER Payor's Name and Address The U.S. Nuclear Regulatory Commission (a) Contract Number NRC-10-81-624 Division of Accounting and Finance (b) Title of Project " Study of Nuclear Waste Office of Resource Management Concepts" Attention: GOV /COM Accts Section Washington, D.C. 20555 6 Payee's Name and Address (c) Voucher Number 003 ABC CORPORATION The National Bank (d) Date Voucher Prepared 10/18/82 l 100 Main Street or Anywhere, U.S. A. ,

Anywhere, U.S.A. Assignee for ABC CORP. (e) Total Estimated Cost of Contract Anywhere, U.S.A. $350,000.00 (When Payments Assigned)

Indiividual to Contract (f) Total Fixed-Fee Regarding This Voucher: $17,500.00

,Name: Harry Murphy

' Tel. No.: 215-321-8654 l(9) ihis voucher represents reimburseable costs from 3/1/82 thru 3/30/82 Amount Billed l(h) Direct Costs -

(1) Direct Labor * $2,400 $6,800

. (2) Fringe Benefits @ 16.5 '.

l (if computed as percentage) 600 1,200 _

(3) Direct 5,000 Equipment

• 8,000 (4) itaterials, Supplies and

Other Expendable Items

• 2,000 4,000 (5) Premium Pay 100 150 l (6) Consultants

• 100 100 i (7) Travel - Domestic

• 200 200 i Foreign

• _

! (8) Subcontract

• 200 200

! (9) Other Costs

• 3,000 9,000 l(i) INDIRECT COSTS i A) Overhead 700 S of Total Direct Costs $29,650 (Indicate Base) 513,600

, i Subtotal $27,200 $59,300 B) General A Administrative Expense 3,264

~'

6,450 12 L of Cost Elements Nos.1-9. A e Total Costs $30,464 $65,750 (j) FIXED-FEE EARNED (Formula) 1,523 3,400 (m) Total Amounts C1 aimed $31,987 $69,150 (n) Adjus tments Outstanding Suspensions

• 1,700 1,700 (o) Grand Totals $3n,787 $67,450

• (Ri t)UIRES SUI'l'ORllNG INf 0RMAlI0N. )

(SEE AITACllED.)

SAMPLE SUPPORTING INFORMATION

. 1) Direct Labor - $2400 Labor Labor Hours Hours Cumulative i Category Negotiated Billed Rate Total Hours Billed Senior Engineer I 2400 100 $14.00 $1400 975 Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 $500 320 174M

3) Direct Equipment Spectrometer - General Electric (as approved in Property Schedule) $5,000

4) Materials, Supplies & Other Expendable Items 10 Radon Tubes 0 $110.00 = $1100.00 6 Pairs Electrostatic Gloves,0 $150.00 = $900.00 52000.00

5) Premium Pay Walter Murphy - 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br />.0 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.)

,6) Consultants' Fee Dr. Carney - 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> 0 $100 = $100

7) Travel i Date Traveler Destination Purpose Costs From To From To t

• i 3/1/82 3/6/82 William King Chicago, Wash., Meeting with 1) Airfare $80.00 Il DC Project 2) Rental Car $15.00

4) Per Diem - 2 Days Officer 0 $50.00 = $100.00 6 ) Tips, Mi sc. $5.00 TOTAL: $200 i

I

8) Subcontracts XYZ CORP. (CPFF)

Direct Labor: - 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> 0 $20.00 per hour = $1600.00 0/H 0 50% = $800.00 Travel - 2 Trips - Wash. , DC 9 $200 = $400.00 to Boston, MA Profit 0 7% = $200.00 TOTAL: 53000.00

. (j) Fixed-Fee (Formula)

(5%)

I $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 #001, now approved by Contracting Officer letter 3/10/82.

U 9

a i

E N 1. , ., .

Form NRC-489

/ (1 76)

( U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE CHAPIER NRC-3202 PUBLICATION OF TECHNICAL REPORTS PEPARED BY NRC p CONTRAC'IORS, INCLUDING EPORTS PEPAED UNDER OR PURSUA?C 'TD Tf7PERAGENCY AGFFF1ETPS SUPERSEDED: TRANSMITTED:

Number Date Number Date TN 3200-21 Chapter NRC-3202 4/29/82 Chapter NRC-3202 8/29/84 Page Page Appendix NRC-3202 4/29/82 Appendix NRC-3202 8/29/84 REMARKS:

This revision of Chapter 3202 expands the chapter from coverage of '

unclassified reports to include the trarkirg and handling of sensitive unclassified information (Official Use Only and Limited Official Use s Information, Safeguards Information, Proprietary Information) and classified information (Top Secret, Secret, and Confidential) . A section has also been added to set forth procedures for the handling of unclassified reports on NRC cooperative programs with foreiFn governments and organizations and with U.S. industry.

O

r b

i N

U.S. NUCLEAR P.EGULATGRY COMMISSION NRC MANUAL Velume: 3000 Information and Foreign Activities Part - 3200 Technical Information and Docunent Control ADM Cil API'ER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3202-01 COVERAGE This chapter and its appendix handbook establish responsibilities , basic requirements, standards and procedu res for the documentation, production and dissemination of technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memorandums of understanding. These reports are. hereaf ter referred to as contractor re-ports. This chapter does not cover NRC staff-generated documents , NRC docket material, or the documents generated by NRC boards, panels ,

'O advisory committees and Offices that report to the Commission.

3203-02 OBJECTIVES 021 to assure production and dissemination of technical reports as required by the Energy Reorganization Act of 19'74 and the Freedom of Infor-mation Act.

022 to assure that dissemination of technical reports is consistent with requirements for public availability of information.

023 to assure that national security, patent rights, copyrights, proprie-tary rights and rights in other sensitive unclassified information are not compromised by the release, distribution, or dissemination of technical reports from NRC.

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

025 to provide for coordination of press or other media releases.

3202-03 RESPONSIBILITIES AND AUTHORITIES

! 031 The Director, Office of Administration:

l l

a. develops and maintains , in consultation with Directors of Offices 1 and Divisions and Regional Administrators, NRC standards, proce-l \ dures and guides for the production and dissemination of technical I contractor reports.

Approved: August 29, 1984 f

i

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

b. periodically surveys report activities throughout NRC to ascertain that the provisions of this chapter are adequate and are being Unplemented; makes any changes needed.

032 The Director, Division of Technical Information and Document Control:

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

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

e. in response to requests of Directors of Offices and Regional Administrators, establishes distribution data banks, maintains official standard distribution lists for automatic distribution of unclassified contractor reports, and controls distribution to assure adherence to the Government Printing and Binding Regulations, the Privacy Act, and the Freedom of Information Act.

033 Directors of Offices and Regional 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-0260, Print-in g , Copying , Graphics and Photography and its appendix; and Chapter N R C-1102, Procedures for Placement of Work with the Department of Energy. In the Statement of Work:

(1) specify what reports will be reviewed for policy, management, and legal issues by NRC staff in draft prior to printing and distribution . If the report is to be reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draf t, including the type of disclaimer to be used in addi-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, 1984 I

r PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED s UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-034 i

~

J (2) provide for the reviews necessary to insure that the national security , patent rights , copyrights , proprietary rights and rights in other sensitive unclassified information are not compromised by the release or dissemination of the reports.

If DOE contractors are to be authorized to make the reviews, designate the contractor officials who are authorized to sign NRC Form 426A prior to NRC distribution of reports (see Appendix , Part IV). Assure that sensitive unclassified and classified reports are marked and handled properly (see Appendix, Part V).

(3) specify that all formal reports carry NUREG/CR or NUREG/CP numbers as the prime identification , as illustrated in the appendix.

(4) specify whether formal reports shall be printed by NRC or 'he contractor if the contractor has a JCP-authorized federal print-ing p' .nt (see Appendix, Parts II and IV).

(5) specify that all formal reports required by NRC shall be distributed by NRC.

(6) establish the number of copies the contractor may retain or request for internal and external distribution and charge against NRC. Written justification must be provided , and V) approval obtained of the NRC JCP representative (the Director, Division of Technical Information and Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reports.

(7) assure the protection of classified and sensitive unclassified information , if any, in contractor reports (see Appendix, Part V).

b. assure adherence to instructions and authorizations regarding the reproduction and distribution of reports.

c. recommend standard distribution category (ies) for contractor reports to the Division of Technical Information and Document Control.

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

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

034 The OfTice o f' the Executive Legal Director provides legal review and advice to NRC staff on questions regarding inventions, patents, proprietary information, use of copyrighted material, national security, and other sensitive unclassified and classified information.

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

! Approved: August 29, 1984 I

3 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 036 The Director, Division of Security:

O

a. administers the overall information security program which includes management of the security classification program and other programs for the protection of sensitive unclassified information.

b. advises staff of NRC Offices and Regions on the preparation and handling of rcports containing classified, proprietary and other sen-sitive unclassified information.

037 The Director, Division of Contracts:

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

b. advises the contractor as to the source and method for obtaining reports required from the government for performance of the contract.

c. provides contractor with copies of NRC Chapters 0260, 3202, 3203, 3207, and 3210, when appropriate.

d. determines when requests for proposals and invitations for bids, as well as subsequent con t racts , should include statements requiring contractor compliance with Chapters NRC-3202, 3207, and 3210 and the Government Printing and Binding Regulations.

e. ensures that appropriate clauses are included in contracts regarding the private use and protection of classified, proprietary and other sensitive unclassifi(d information.

3202-04 DEFINITIONS

• 041 camera-ready copy - pages ready for printing by the offset printing process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).

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

043 contractor report - record of work done (a report) prepared in accordance with the provisions of a contract or under or pursuant to an interagency agreement.

Words underscored in definitions are also defined in list.

Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-044 V 044 copyright - a form of protection provided by the laws of the United States (Title 17, U.S. Code) to the authors of " original works of authorship" including literary, dramatic , musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works.

Copyrighted material may 'not be reproduced without the permission of the author or publisher.

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

046 distribute - to dispense reports to specific organizations and indi-viduals to assure their participation in the regulatory process and support of research and technological investigations . Such distribution may be accom-plished by the use of standard distribution data banks established and main-tained by the Division of Technical Information and Document Control based on the requests of the originating Office or Region.

047 documentation - classification and associated markings required for classified or sensitive unclassified documents , the NRC report number unique to the report, title (and subtitle, if any), author or correspondent (if any), organization identification and contract number (or FIN number), date and availability.

p 048 draft or final material for inclusion in " Safety Evaluation Reports" or " Environmental Statements" (ES) - written material requested for input to (v) SERs or ESs to be issued as NUREGs. Such material may be edited or modi-fied at the discretion of the NRC staff.

049 formal technical reports - the final product of research, an original investigation , or a significant compilation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual peri- i 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 work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement.

0411 patent review - examination by legal staff to assure protection rights in inventions.

0412 proprietary information - trade secrets; privileged or confidential j

research, development, commercial or financial information, exempt from manda-

tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under l

10 CFR Part 9 (Section 9.5); and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.

0413 publicly available documents - information (reports and references) which is available in the NRC Public Document Room (PDR) for public inspec-d tion and copying or available in the public domain.

Approved : August 29, 1984

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 reproducible masters - camera-ready copy which includes (1) origi-nals of line drawings (or prints that can be copied), (2) glossy prints of black 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 series, or draft or final material for inclusion in SERs or ESs.

041G technical letter reports (also called technical evaluation reports)

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

status summary reports , project descriptions , pre-tested predictions, model verifications , experiment safety analyses , experiment operating procedures, facility certification reports, and test result reports.

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

3202-05 BASIC REQUIREMENTS 051 Applicability . The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those working under interagency agreements, whose contracts require the prepara-tion of technical reports. Because of the unique requirements of NRC boards, panels , 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 entities that are to be given wide public dissemination.

052 Forms. NRC Form 426 A , " 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 in the appendix.

053 Appendix 3202. This appendix contains standards and procedures for the preparation of reporting requirement portions of Statements of Work, and for the documentation, production , and dissemination of technical reports prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements.

Approved : August 29, 1984

T PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED

\

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NHC-3202-054 t 1

("! 054 Preparation Requirements

a. Reports to be Printed by NRC. All contractor reports to be printed by NRC shall be prepared according to Appendix 3202. The repro-ducible masters for the requisite distribution shall be transmitted to the Division of Technical Information and Document Control accom-panied by completed NRC Form 426A and NRC Form 335.

b. Reports Printed by Authorized Federal Printing Plants. All contrac-tor reports to be printed by the contractor as specified by the s

contract, agreement, or standard order for wock) shall be prepared according to Appendix 3202, and a reproducible master and suffi-cient copies for standard and incidental distributir>n shall be sup-plied to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A, signed by the authorized contractor official. Each such report shall include, as the last page, a completed NRC Form 335.

055 References . The NRC chapters referenced and NUREG-0794 (ref. j) and NUREG-0650 (ref. i) are available from the Division of Technical Informa-tion and Document Cont rol . The other publications are available from the Government Printing Office.

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

{ )

\ ,/ b. Chapter and Appendix NRC-2101, "NRC Security Program."

c. Chapter NRC-3203, " Dis t ribu tion of Unclassified NRC Staff- and Contractor-Generated Documents."

d. Chapter NRC-Il02, "Procedu res for Placement of Work with the Department of Energy."

e. Chapter NRC-3206, "NRC Contractor Speedes, Papers and Journal Articles on Regulatory and Technical Subjects."

f. Chapter N R C-3207, " Conferences and Conference Proceedings . "

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

h. Government Printing and Binding Regulations of the Joint Committee on Printing, Congress of the United States, No. 24, April 1977 (JCP Regulations), Government Printing Office.

i. Title 5, U.S. Code, " Government Organization and Em ployees , "

Government Printing Office.

kA)v Approved : August 29, 1984

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED N RC-3202-055 UNDER OR PURSUANT TO INTER AGENCY AGREEB1ENTS

j. " Technical Writing Style Guide," A. W. Savolainen et al. , compilers, O

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, "Blail blanagement," and Appendix 0255, Part V, Annex A.

O O

Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS PAGE PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK A. LIST OF TECHNICAL REPORT REQUIREMENTS........... .. ....... .. 1 B. REQUIREMENTS FOR FORMAL REPORTS. . .......................... 2 C. REQUIREMENTS FOR DRAFT REPORTS. .... .......... ............. 2 D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS. ................. .. 3 E. TYP0 GRAPHY..................... ....... ......... ...... ..... 4  ;

F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION.......... ............................. 4 G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS........... ....... .. ...... ... .............. 4 3 5

] H. WRITING AND PUBLISHING UNCLASSIFIED BOOKS.... ................

I. DISTRIBUTION OF REPORTS TO CONTRACTORS............ ......... . 5 J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSIFIED INFORMATION.... ......... ........ ... .. . .. 5 PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC... 7 A. DOCUMENTATION.............. .......... ......... ........... 7

1. Applicability..... ....................... .. .......... 7

2. Front Cover and Title Page........ . ........... ........ 7

3. Availability Information.. ..... .. . ....... ... . ... 9

4. Disclaimer.. ....... . ... .... .......... ...... . .... 9

5. Previous Reports in Series. ............ ....... ...... 9

6. Abstract..... ......... ... .. ... ...... ........ .... . 9

7. References and Bibliographies. ............ ... . .... 9

8. Bibliograpni.c Data Sheet... ............................ 10 B. PATENT AND SECURITY REVIEWS. .. .. .......... ........... .... 10

1. PatentRevfew..... . .......... . ....... .. ........... 10

2. Security Review. ..... .... . ... . .. ... ... ........ 10 i Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued)

PAGE C. PROCEDURES FOR PRINTING AND DISTRIBUTING. .. . 11

1. Printing...... . .. .... . 11

2. Reprinting. . . .. . . .. .... 11

3. Distribution of Reports. . ... .. 11 EXHIBITS

1. Sample Cover for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing Plants. . ........ . .. .. ... 13

2. Sample Title Page for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing Plants.. . .. .. .. . . .. 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 Plants. .... .. ..... . . . ... . . . .. . . .. 16

5. NRC Form 426A, Publications Release.... . . .. .. . 17

6. Disclaimer and Availability Statements..... . . .. . . 18

7. NRC Form 335, Bibliographic Data Sheet... ... . ... .. 19 PART III UNCLASSIFIED TECHNICAL LETTER REPORTS. .. .. .. . . . 21 A. FORMAT. . .. . . .. . . .. . .. . . .. . 21

1. Applicability... .... . . . . . .. 21

2. Requirements. . . . . . ... 21 B. PATENT AND SECURITY REVIEWS. .. . . .. . .. . . . 21

1. Patent Review. . ... .. . . .. . .. . 21

2. Security Review. . .. . . . . ... 22 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS......... . .. 23 A. DOCUMENTATION. .. . . .. . .. ... . . . 23

1. Applicability. . . ... . . . .. . .. 23

2. Front Cover and Title Page. . . . . ... . 23 Approved: August 29, 1981 ii

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 N

1 CONTENTS (Continued) d PAGE

3. Availability and Price Information........ ....... .... 25

4. Disclaimer............................................. 25

5. Previous Reports in Series... ......................... 25

6. Abstract............................. . ............... 25

7. References and Bibliographies........................ . 26

8. Bibliographic Data Sheet............................... 26 B. PATENT AND SECURITY REVIEWS............... ................. 26

1. Patent Review........................................ . 26

2. Security Review....... ................................ 26 C. PROCEDURES FOR PRINTING AND DISTRIBUTING...... .... ........ 27

1. Printing .......... ......... ................. ....... 27

2. Reprinting............................... ....... .... 27

3. Distribution of Reports.............. ...... ...... .. 27 PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION...................................... 29 p' A. APPLICABILITY........ ...................................... 29 B. 0FFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 C. PROPRIETARY INFORMATION..................................... 30 D. SAFEGUARDS INFORMATION................... .................. 31 E. CLASSIFIED INFORMATION... .......... ...................... 31 EXHIBITS

8. Sample Cover for a Contractor Report Containing Official Use Only Information.................................................. 33

9. Sample Title Page for a Contractor Report Containing Official Use Only Information..................... .................... .. 34

10. Sample Back Cover for a Contractor Report Containing Official Use Only Information..... ............ ........................... 35

11. Sample Cover for a Contractor Report Containing Limited Official Use Information... ............. ..... . .. ............. 36

12. Sample Title Page foi a Contractor Report Containing Limited Official Use Information...................... ................... 37 O

O iii Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued)

PAGE

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 from a Foreign Source. ... 40

16. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from 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 Proprietary Information. . . ... . . 43

19. Cover Sheet for Reports Containing Proprietary Information. . 44

20. Sample Cover for a Contractor Report Containing Unclassified Safeguards Information. . . . . . 45

21. Sample Title Page for a Contractor Report Containing Unclassified Safeguards Information. .. 46

22. Sample Back Cover for a Contractor Report Containing Unclassified Safeguards Information.. . . . . . . 47

23. Cover Sheet for a Contractor Report Containing Unclassified Safeguards Information. . . . . . 48 PART VI. HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERt.MENTS AND ORGANIZATIONS AND WITH INDUSTRY. . . . 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 D. REPORT IDENTIFIERS. . . ... ... .. . 50 E. MAILING TO PROGRAM PARTICIPANTS. . . . 51 F. SECURITY. . . . . . 51 O

Approved : August 29, 1981 iv

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 O CONTENTS (Continued)

U PAGE EXHIBITS

24. Sample Cover for a Draft Preliminary Report (Code) for Comment... 52

25. Transmittal Letter from Contractor to NRC Project Manager for Draft Preliminary Report (Code).... .. .. ....... . ... ........ 53

26. Transmittal Sheet for Requesting Mailing to Cooperative Program Participants. .. ... ... . . ... ....... . .. ......

54 f

l l

l v Approved : August 29, 1984

~

s PUBLICATION OF TECHNICAL REPORTS PREPARED BY ,

NRC CONTRACTORS, INCLUDING REPORTS PREPARED -

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS - NRC Appendix _3202 p ~

PART I PREPARATION OF REPORTING REQUIREMENT PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK

• s A. LIST OF TECHNICAL REPORT REQUIREMENTS List the technical reports required from each project, task or subtask, ~

as applicable. State when and to whom they should be submitted and '

what they should contain. These reports may be unclassified, sensitive unclassified or classified. Standards for each of these categories are presented in Parts II through V. The following definitions describe the types of reports that may be specified: *-

technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP series , or draft or final material for inclusion in SERs or ESs (see definitions below).

technical letter reports (also called technical evaluation reports) -

s interim or final letters that provide information on the technical n aspects of the contract work. Interim technical letter reports may s/ 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 in situations where the technical work is review and evaluation of work of others or work to be *ised 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-test predictions , model verifications , experiment safety anal-yses, experiment operating p rocedures , facility certification reports, and test result reports. These reports must be identified with the financial number (FIN) assigned to the project. They~ are not to be identified with DOE registered report codes. The num'- -

ber of copies to be prepared and the distribution of those. copies will be specified by the project manager.

formal technical reports - the final product of research, an original investigation, or a significant compilation of information. This pro-duct is a formal technical report for publication in the NUREG/CR or NUREG/CP series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual periodic technical reports may be required. A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy.

1 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS draft or final material for publication or inclusion in SERs, ESs, letters , or license amendments - written material requested for use in the NRC licensing process. Such material mey be (1) abstracted in a NUREG report or 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 performing 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-sultant, grantee, another State or Federal Agency working under an interagency agreement, or a DOE / facility or National Laboratory (con-tractor) and subcontractors.

B. REQUIREMENTS 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 beito done for the Office of Nuclear Regulatory Research by a DOE facility or Laboratory with a JCP-authorized printing plan t . The camera-ready copy is to be prepared in accordance with the provisions of this appen-dix, Parts II and V (for contractors other than DOE contractors), or Parts IV 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 TechnicalInfbrmation 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. REQUIREMENTS 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-ernments and organizations and with U.S. industry, state that require-ment and the time frame for delivering the final camera-ready copy after receiving NRC and/or participant comments on the draft. State that all draft material should be submitted to the cognizant project manager.

When the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program and/or participant comments the contractor will be asked to make changes.

If agreement on the changes is reached, the NRC manager will authorize the contractor to prepare the final copy and submit it to the project manager, if it is a letter report or input to an SER or ES, or to the Director, Division of Technical Information and Document Control, if it is Approved : August 29, 1984 2

PUBLICATION OF TECliNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER-OR PURSUANT TO INTERAGENCY AGREEMENTS Part i V camera-ready copy for printing and distribution. This is to be done to assure proper publication, handling, and distribution and, among other things, to preclude further changes that might nullify the agreement. If caveats were agreed to and the project manager wishes to check the final document for their presence, he/she should inform TIDC of that desire.

In that case, upon receipt of the camera-ready copy by TIDC, the project manager will be informed and requested to prepare and sign the NRC Form 426A.

Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC project manager may request the contractor to prepare the camera-ready copy with , in addition to the standard disclaimer required on all contractor formal reports (see Exhibit 6), any caveats deemed necessary to cover NRC 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 or footnotes at appropriate locations within the text.

State that if NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE / National Laboratory reports, the DOE Operations Office Manager responsible for that !abora-tory should bs. nformed by the NRC Office Director or Regional Adminis-trator of tht. decision and the reasons therefor , with a copy to the Laboratory Director. In the case of another Federal agency, a State, or a private contractor, the person who executed the contract should simi-larly be informed by the NRC Contracting Officer The contractor is then free to publish without NRC identification of the report. Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.

D. PUBLISlilNG UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS If the contractor's principal investigator is to be allowed to publish in the open literature instead of submitting a final report and/or present

papers at public or association meetings during the course of the work, add the following statement to the Statement of Work

The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or l present papers at public or association meetings at interim stages of I the work.

i If the project manager wants to review the paper or journal article prior to presentation or submission for publication, state this in the Statement of Work, as follows:

The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or pre-sent papers at public or association meetings at interim stages of the

] work, if the article or paper has been reviewed by the NRC project l

l l- 3 Approved: August 29, 1984

PUBLICATION OF TECIINICAL 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-ten t . The applicable procedures set forth in Chapters NRC-3206 or NRC-1102 must be followed.

If agreement is not reached, NRC may also ask that the paper include in addition to the standard statement " Work supported by the U.S.

Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC can refuse to authorize publication in the open litera-ture and/or presentation of papers.

In the latter case, NRC will inform the contractor of the decision, as stated above for formal reports (see Section C, paragraphs 3 and 4).

The contractor is then free to publish without NRC identification of the informa tion . This will not affect payment of the contract work costs.

Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.

If the contractor proposes to 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 payrrunt of page charges and travel costs for presentation of papers. )

E. TYPOGRAPIIY The text of reports must be single spaced on 8 x 11-in. paper, unless otherwise specifically authorized. Occa sionally , reports with many sym-bols and mathematical expressions may require one and one-half spacing to provide for superscripts and subscript s . This spacing should be allowed where needed, but should be considered an exception, not the standard.

F. REPORTS CONT AINING SENSITIVE UNCLASSIFIED AND CLASSIFIED IN FORM ATION Details of the marking of reports designated Official Use Only, Limited Official Use, Proprietary Information , Safeguards Information , and classified (Confidential, Secret, and Top Secret) are provided in Part V of this appendix and in NRC Appendix 2101.

G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSIIOPS NRC publishes or assists in the publication of compilations of papers presented at meetings , conferences, and symposiums in which NRC Approved: August 29, 1984 4 ,

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I (3

(v ) participates as a sponsor or cosponsor. Chapter NRC-320'7, " Conferences and Conference Proceedings," provides general information and guidance for this. More detailed guidance is available from TIDC upon request.

H. WRITING AND PUBLISHING UNCLASSIFIED BOOKS NRC may, under certain circumstances , publish books prepared by grantees or contractors. For general information and guidance on book publishing, see Chapter NRC-3210, " Book Writing and Publishing."

I. DISTRIBUTION OF REPORTS TO CONTRACTORS 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.

If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justifi-cation, should be addressed to the NRC project manager, with a copy to NRC/TIDC. If the additional distribution is approved by the NRC project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by NRC, to NRC/TIDC, where the distribution will be made along with the standard distribution. Distribution of sensitive unclassified and classi-fied reports will be made by the project manager on a case-by-case basis.

L.J J. COORDINATION OF PRESS OR OTHER MEDI A RELEASES OF UNCLASSI-FIED INFORMATION A contractor may request permission to issue a press or other media release on the work being done. Such request shall be made to the project manager, who will consult with his/her management and with the Office of Public Affairs. The contractor may not issue a press release on nonroutine information without this prior coordination. This coordination may be accomplished by telephone, with the NRC project manager respon-sible for expeditious handling. Decisions not to release information or delays in handling by the project manager may be appealed to the NRC Executive Director for Operations.

I (\

v) 5 Approved : August 29, 1984

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 (m

v

)

PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A. DOCUMENTATION

1. Applicability

a. The requirements of this part apply to contractor and inter-agency agreement reports that are to be printed by NRC.

Contractors may not print reports prepared for NRC except those DOE laboratories with JCP-authorized printing plants and then only those reports prepared for NRC's Office of Nuclear Regulatory Research.

b. With respect to sensitive unclassified and classified reports, the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.

c. The requirements of this part do not apply to consultants and contractors of the NRC boards, panels, and advisory commit-tees which report directly to the Commission.

/ \

9 Front Cover and Title Page (v )

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 agreements ) .*

b. The items shown in Exhibits 1 through 4 and discussed below shall appear on the title page and cover, as appropriate.**

(1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that report. The centralized report control system for uniqut: identification is maintained by the Division of l

Technical Information and Document Control. Numbers may be obtained by calling the Division of Technical Infor-mation and Document Control or by submitting a copy of NRC Form 42GA (Exhibit 5) with a request for a number.

Reproducible copy of the cover of the performing organization may be sub-mitted; however, the data elements shown in Exhibit I must be included.

These requirements meet the specifications of American National Standard l

ANSI Z39.18-1974, Guidelines for Format and Production of Scientific and

\v/ Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers.

l 7 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS The NRC identification number will have the form:

NUREG/CR-XXXX or NUREG/CP-XXXX where CP indicates conference proceeding. The contrac-tor's report number, if any, may be inserted below the NUREG number on the title page and cover, as shown in Exhibits 1 through 4, if desired by the contractor.

When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume , supplemen t , part or revision designation shall appear immediately below the report number.

(2) Title and Subtitle (a) Use a brief title that indicates clearly the subject matter covered in the report.

(b) When a report is prepared in more than one volume, repeat the primary title on each volume.

(c) If appropriate , show the type of report (e.g.,

annual report, final report, thesis , etc.) and the period covered as part of the 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 of each author only if affiliated with an organization other than the organization generating the document.

(4) Organization Identification l

On the title page and cover, provide information of the type illustrated in Exhibits 1 through 4.

(5) Basis for Report Date(s) l l (a) The basis for dating may be shown along with the i date on the title page. Various bases for dating are possible ; e.g., date report completed , date reviews completed , date published , date dis tributed , etc.

(b) More than one date, with the basis for each, may be shown where this is necessary 1

l O

Approved : August 29, 1984 8 i

r PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II (Gl -

^""i'"'"''"'"""

All formal reports will be made available for sale by NRC and by the National Technical Information Service (NTIS). Exhibit 6 will be inserted on the inside of the front cover by the Division of Technical Information and Document Control.

4. Disclaimer The following notice will be added during the printing step on the inside front cover (Exhibit G): "This report was prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, or any of theie employees, makes any warranty, expressed or implied, or assumec any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus , product or process disclosed in this report , or repre-sents that its use by such third party would not infringe privately owned righ ts . " The following additional statement , "The views expressed in this report are not necessarily those of the U.S.

Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate . Other qualifying statements may be added, if needed (see Part I.C. , Requirements for Draft Reports).

5. Previous Reports in Series n

( ) If the report being prepared is one in an ongoing series, list all

'V previous reports in the series. Include report numbers and issu-ance dates. Place this list on the back of the title page.

6. Abstract An abstract of 200 words or less shall be prepared for each formal report . Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*

7. References and Bibliographies 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 not be made to personal communications and interviews , unpublished This preferred positioning of the abstract in the report need not be followed if the style manual of the originating organization requires a different location .

(oJ G

9 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II 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 collectively for all entries (see Exhibit 6).

Guidelines for developing and presenting 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 I dated February 1982.

8. Bibliographic 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

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. If the work being reported is contractually managed through another government agency (e.g. ,

DOE laboratories), that government agency should be requested by the contractor to perform the patent review . The result of such review shall be reported on NRC Form 426A in item 11 (Exhibit 5).

If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications . If there is 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 shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.

2. Security Review In most cases, contractor reports will be unclassified. Should a report of sensitive unclassified or classified work be required ,

however, the NRC project manager must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of such procedures through 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

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II C. PROCEDURES FOR PRINTING AND DISTRIBUTING d 1. Printing Reproducible masters prepared in accordance with this appendix shall be transmitted to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A (Exhibit 5). NRC Form 426A must be signed by the NRC project manager or a contractor official authorized by the project manager.

Such authorization shall be reported in writing to TIDC.

The Division of Technical Information and Document Control will review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributing the report. Unsatisfactory masters will be reported to the NRC project manager for appropriate contractual action by the contract-ing officer or, in the case of government agency or interagency agreement work, the publications manager of the performing organization.

2. Reprinting Requests for reprinting any report subsequent to the initial print-ing require approval of the Division of Technical Information and Document Control. Each request shall include a written justification and the project manager's approval for reprinting along with ad-O dress labels for the recipients.

3. Distribution of Reports 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). The Division of Technical Information and Document Control will also arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.

If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control . Address labels for the additional distribution must be supplied.

Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis.

v 11 Approved : August 29, 1981

1 PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ': mt i

^

EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. NUREG/CR-1676 Contractor Report No. (if any) NUSAC-556 Vol., Part, Rev., etc. (if any) Vol.1 Titi. Using Advanced Process Monitoring to Improve Material Control O

N Subtitle and Type of Report Final Report (Annual, Topical, etc.) September 1979 - September 1980 Author (s) Prepared by R L Hawkins, R. L. Lynch, R. F. Lumb Contractor NUSAC incorporated US u lear Regulatory Commission l

i i

i t

l 13 Approved: August 29, 198<1

1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 _

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No. NUR EG /CR-1676 Contractor Report No. (if any) {Uyc 556 Vol., Part, Rev., etc. (if any)

Distribution Category No. (if any)

Tiue Using Advanced Process Monitoring to improve Material Control Subtitle and Type of Report Final Report September 1979 - September 1980 (Annual, Topical, etc.)

Report Dates and Bases , oi c wm ig see Author (s), Editor (s), preo...o i>,

Compiler (s), etc.

Contractor Name sugc go,)y, ,

and Address vuon. va 2. .a N RC Sponsorship Prepared for Division of Safeguards Office of Nuclear Material Safety and Safeguards U.S. Nuclear Regulatory Commission Washington. D C. 20555 NRC Contract No. NRC FIN B6437 i

O Approved : August 29, 1981 11

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED N R P A,inonriiv 39n9 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IL EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. NUREG/CR-1952 Contractor Report No. SAND 81-0151 Vol., Part, Rev., etc.

LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Type of Report Independent Verification Testing Program

's or Subtitle Independent Verification Test-1

"'"Ped by t B on. W H B nkatew. F V Thome. .) A Lewin. T W Gilmore SNL Author (s), Editor (s)

Contractor Sandia National Laboratories Sponsorship u S Eu lear Regulatory Commission 1

i 15 Approved : August 29, 1981 l

l

1 PUBLICATION OF TECilNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING ltEPOHiS PREPARED Part II -

UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS -

EXHIBIT 4 el '

SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l

NRC Report No.

l Contractor's Report No.

Vol., Part, R ev., etc. NUR EG / CR-1952 Distribution kAND81-0151 Category Tim LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Subtitle independent Venfication Testing Program independent Verification Test-1 Report Dates vr,

, , cy,, , , ,,.. .,- , m Author (s), Editor (s) eonv -

'~ ^ "

' ' "CC.fo wR "A " Te'7e?

B < n' 8 Rc " "

Contractor's Name and Address gg,,*gog ~s NRC Sponsorship Preoared 8or Division f Resident and Regional Reactor inspection Office of Inspection and Enforcement U S Nuclear Regulatory Commission Washington, O C 20 % 5 NRC FIN No. NRC FIN B3101 l

l l

L Approved : August '49. 1984 16

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRP Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II

(

\

V EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS

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17 Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING HEPORTS PREPARED Par 1 11 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS EXHIBIT 6 DISCLAIMER AND AVAILABILITY STATEMENTS (BACK OF COVER)

I l

1 NOTICE This report was prepared n an account of work sponsored by an esency of the Un6ted $ sones Government. Neither the United States Government not any agency thereof, or any of their employees, makes any warranty, empressed or implied, or assumes any legal liability of re-sponsibility for any third party's use, or the results of such use, of any information, apperetus, product or process disclosed in this report, or represents that its use by such third party would not infringe pnvately owned rights.

i l .

l NOTICE Availability of Reference Materials Cited in NRC Publications Most documents cited in NRC pubhcations will be available from orm of the following sources:

1, The NRC Pubhc Document Room,1717 H Street, N.W.

Washington, DC 20555

2. The NRC/GPO Sales Program, U.S. Nuclear Regulatory Commission, Washington, DC 20555

3. The National Technical Information Servke, Springfield, VA 22161 Al though the listing that follows represents the majority of docurnents cited in NRC publications, it is not intended to be exhaustive.

Referenced documents available for inspection and copying for a fee 8 rom the NRC Public Docu.

ment Room include NRC correspondence and internal NRC mornreentfm NRC Office of inspection and Enforcement bulletins, circulars, information notices, inspection and investigation noticas; Licensee Event Reports; vendor reports and correspondence, Com:nission papers; and applicant and licensee documents and correspondence.

[

The following documents in the NUREG senes are available for purchese from the NRC/GPO Sales Program: formal NRC staff and contractor reports, NRC-sponeured conference proceedings, and N RC booklets and brochures. Also available are Regulatory Guides, NRC regulations in the Code of federal Regulations, and Nucerar Regulatory Commrssion issuancn Documents available from the Natioral Techmcal Informatioi Service include NUREG series reports and technical reports prepared by other federal egencies and reports prepared by the Atomic Energy Commission, forerunner agency to the Nucteer Regulatory Commission.

Documents available from public and special technical libranet include all open literature items, such at books, joumal and periodical articles, and transactions. feders/ Reprster notices, federal and state logrstation, and congressional reports can usually be obtainej from these librenes.

Documents such as theses, dissertations. foreign reports and tra alations, and non NRC conference proceedings are available for purchase from the organitation sponsoring the publication cited.

Single copies of NRC draft reports are available free, te the extent of supply, upon written request to the Division of Techmcai information and Document Comrol U S. Nuclear Regulatory Com mission, Washington, DC 20555 Copies of industry codes and standards used in a substantive ma nner in the NRC regulatory process are maintained at the NRC Library, 7920 Norfolk Avenue, Bethesda, Maryland, and are available there for reference use by the pubhc. Codes and standards sie usually copynghted and may os purchased from the originating organization or, if they are American National Standards, from the Amencan National Standards institute,1430 Broadway, New York, NY 10018.

GPO Phmmf copy pnte _

A pp roved - Aiigtist "O, 1981 18

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSUANT TO INTERAGFNCY AGREEMENTS Part II

( NRC FORM 336 - BIBLIOGRAPHIC DATA SHEET EXHIBIT 7

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I 19 Approved : August 29 1984

o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCI UDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 7 (Continued)

BACK OF NRC FORM 335 DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT INSTRUCTIONS NRC FORM 336, BIBLIOGRAPHIC DATA SHEET, IS 8ASED ON GUIDELINES FOR FORMAT AND PRODUCTION OF SCIENTIFIC AND TECHNICAL REPORTS, ANSI 239.18-1974 AVAILABLE FROM AMERICAN NATIONAL STANDARDS INSTITUTE,1430 8 ROADWAY, NEW YORK, NY 10018. EACH SEPARATELY 80VND REPORT-FOR EX AMPLE, E ACH VOLUME IN A MULTiv0LUME SET-SHALL HAVE ITS UNIQUE 818LIOGR APHIC DATA SHEET.

1. REPORT NUMBER. E ach individually bound report shall 10. SPONSORING CRGANIZ ATION. List NRC Division, Of fice, carry a uniowe alphan umeric desegnation (NUREG) assigned U S Nweiser Regwlstory Commission, Washington, DC 20555 by the Division of Technical information and Document Control, ADM, in accordance with American National 11. a. TYPE OF REPORT. State drett. final, prehmineiy, topical, Standard ANSI 239 23-1974 Technical Report Number technical, regwiatory, awarterly, etc., and, it e.whceble, (STRN). Use uppercase letters, Arabic numerois, slashes, and inclusive dates hyphens only, as in the following examples. NUREG-0100, NUREG/CP-0010 NUREG/CR-0100, and NUR EG/8R-0010. b. PERIOD COVERED.

For reports in a series add Vol., Supp, Revision, and Addendum, when necessary. Add contractor cross-reference 12. SUPPLEMENT ARY NOTES. Enter information not included identification number (if any) below NUREG number, e g , eisewhere but useful, such as Prepared in cooperation with .

PN L.X X X X, S ANOX X.X X X X, S Al.X X X X. Presented at conference of To be pubbshed . Docket No . When a report is revised, indicate whether the new

2. TITLE AND SU8 TITLE, Title should indicate clearly or , report supersedes or suppiaments the older report briefly the subsect (coverage) of the report, including a y subtitle to the main titfe. When a report is prepared m more it. ASSTR ACT, lactwde a brief (200 words or lessi f actuse sum-than one volume, repeat the primary title, add volume number mary of the most sign.f ecent information contained m the and include subtitle for the specific volume Use wpper and report if the report contains a signdicant bibbography or lower case letters, but capitalize computer code rismes Do hterature survey or muit ple volumes. mention it here Abstrect not use acronyms and initiansms in tittes. may be added m is to be prepared by author or project manager parenthesis.

14. DOCUMENT ANALYSIS

3. LE AVE BLANK.

a. KEY WORDS/DESCRIPTORS. Seiece from the Energy

4. DATE REPORT COMPLETED, Each report sheil carry a date Data Base Subiect Thesaurus DOEITIC 700R R -5, the indicating month and year proiect/tesk completed proper authorised terms that identif y the me:or concept of the research and sie sufficreatty speedic and precise to

5. AUTHOR (S), Give namets) m conventional order lee. John be used as mden entries for cataiog ng R. Doe, J. Robert Doel List author's of f shetion d it is d.ffer.

ent from the performing organization b. IDENTIFIERS AND OPEN ENDED TERMS. Use idente fiers for prolect names. code names, eavipment designators,

8. DATE REPORT ISSUED, Each report she:I carry a date etc Use open ended (keywords) terms written .6 descriptor indicating month and vear published form (laa l for those sublects for which no descriptor exists m the thesaurus

7. PERFORMING O RG ANIZ ATION NAME AND MAILING ADD R E SS. Give name, street, city, state, and ZIP code 15. AVAIL ABILITY ST ATEMENT. Denote pubhc reiessabihty, List no more than two levels of an organizational hierarchy. for emample "wnhmited '. or hmita tion for reasons other Display the name of the organization enactly as follows then security Division, Of fice, Organisation or Government agency, and address 16. SECURITY CLASSIFICATION. Enter u 5 Security Ciassai-cation m accordance with US Security Regsstions b e ,

8. PROJECT / TASK / WORK UNIT NUMBER. Use the proiect, uncia ssdied t task end work unit eumbers under which the report was prepared Of anyl 17. NUMBE R OF PAGES. Leave biank. ( Added by NilSI

9. FIN OR GR ANT NUMBER. lasert the FIN or grant number 18. PRICE. Leave blank I Added by NTIS) under which report was prepared Approved : August 29, 1984 20 9

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~ PUBLICATION OF TECHNICAL REPORTS PREPARED BY-NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART III UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT

1. Applicability

a. The requirements of this part apply t'o unclassified contractor technical letter reports. (See Part I. A for definition.)

b. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory commit-tees which report directly to the Commission.

2. Requirements Technical letter reports are prepared, duplicated and distributed in accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the project. The number of copies to be prepared and the distribution of those copies will be specified by the project manager. If unclas-sified and non-sensitive, the NRC project manager is responsible for making such reports available in the NRC Public Document Room (PDR) by sending them to the PDR through the NRC Document Control System.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC. If the work' being reported is contractually managed through another government agency (e.g. , DOE labors-tories), that government agency should be requested by the con-tractor to perform the patent review, if NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications.

If there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.

(

21 Approved: August 29, 1984

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part III UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

2. Security Review In most cases, contractor technical letter reports will be unclassi-fied . Should a report of sensitive unclassified or classified work be required , however, the project manager must work with the Division of Security to establish the appropriate security procedures and inform the contractor of such procedures. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.

O i

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O Approved : August 29, 1981 22

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

\v)

PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS A. DOCUMENTATION

1. Applicability

a. The requirements of this part apply to NRC staff who are responsible for agreements with DOE Laboratories and their contractors who print regulatory and technical reports re-quired by NRC. (See also Chapter NRC-1102).

b. With respect to sensitive unclassified and classified reports the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.

c. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels and advisory committees which report directly to the Commission.

'v' 2. Front Cover and Title Page

a. Separate covers (of different paper than that of the text) and title page are required.*

b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-p ria te . ** While layouts and typefaces need not be exactly the i same as in Exhibits 3 and 4, the items shall appear in approxi-mately the locations indicated and with the same relative prominence.

(1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that document. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may The cover stock of the performing organization may be used; however it must include the data elements shown in Exhibit 3.

O These requirements meet the specifications of American National Standard

/ ANSI Z39.18-1974, " Guidelines for Format and Production of Scientific and Technical Reports," and ANSI Z39.23-1974, " Technical Report Numbers."

23 Approved: August 29, 1984

i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS be obtained by calling the Division of Technical Informa-O tion and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.

The NRC identification number will have the form:

NUREG/CR-XXXX or NUREG/CP-XXXX The contractor's report number, if any, will be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4, if desired by the contractor.

When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume , supplement, part, or revision designation 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 subiect 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 appropriate, show the type of report (e.g.,

annual report, final report, etc.) and the period covered as part of the subtitle.

(3 Personal Author (s)' Name(s)

(a) Authors' names should be given on the title page and 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 bound volumes.

(4) Organization Identification (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 . "

Approved: August 29, 1984 24

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part E (b) On the title page, provide information of the type illustrated in Exhibit 4.

(5) Basis for Report Dates (s)

(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date report completed, date reviews completed , date published, date distributed, etc.

(b) More than one date, with the basis for each, may be shown where this is necessary.

3. Availability and Price Information All. formal reports will be made available for sale by NRC and NTIS.

The statement shown in Exhibit 6 is required on the inside of the front cover.

4. Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government.

Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus ,

product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow-ing additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part I.C.,

Requirements for Draft Reports).

5. Previous Reports in Series if the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.

G. Abstract An abstract of 200 words or less shall be prepared for each formal report . Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*

This preferred positioning of the abstract in the document need not be fol-s lowed if the style manual of the originating organization requires a different location .

25 Approved: August 29, 1984

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 Bibliographies 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 not be made to personal communications and in terviews , unpublished information and information with restricted distribution (e.g.,

proprietary , national secu rity , 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 collectively for all entries (see Exhibit 6).

Guidelines for developing and presenting reference material are provided in N U R EG-0650, " Technical Writing Style G uide ," pub-lished in November 1979 (see Appendix A, pp. 19-23, for specific guidance) and Supplement I dated February 1982.

8. Bibliograpic 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

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 responsible for the contractor should perform the patent review .

The results of such review shall be reported by the contractor on NRC Form 426A in item 11 (Exhibit 5).

2. Security Review in most cases, reports will be unclassified. Should a report of sen-sitive unclassified or classified war k he 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.

1 O Approved : August 29, 1984 26 m

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV i

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C. PROCEDURES FOR PRINTING AND DISTRIBUTING

1. Printing Contractor reports may be printed only by a JCP-authorized print-ing plant and then only if prepared for the NRC Office of Nuclear Regulatory Research. Reports printed by the contractor and one reproducible master shall be submitted to the Division of Technical Information and Document Control, with completed NRC Form 426A.

The number of copies specified by the Statement of Work for stand-ard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR _) may be obtained as discussed in Section A .2.b. (1) .

2. Reprinting Requests for reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of Technical Information and Document Control. The request shall include a written justification and the project managers approval for the re-printing, along with address labels for the recipients.

3. Distribution of Reports

[m All copies of unclassified formal contractor reports will be distrib-x uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5).

NRC Form 426A must be signed by a contractor official authorized by the project manager. Such authorization shall be reported in writing to the Division of Technical Information and Document Con trol .

if any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control . Address labels for the additional distribution must be supplied.

The Division of Technical Information and Document Control will arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.

Distribution of sensitive (unclassified) and classified reports will be made by the NRC project manager on a case-by-case basis.

J l 27 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 A

/ \

V PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION A. APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi-fied and classified rep >rts prepared by NRC contractors . These reports include those designated:

Official Use Only Limited Official Use 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 Appendix 2101.

(O]

The reports covered are defined as sensitive unclassified or classified.

Sensitive unclassified information refers to information designated Official Use Only , Limited Official Use, and Proprietary Information .

Sensitive unclassified information also includes Safeguards Information that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1954, as amended, information withheld from public dissemination under the Freedom of Information Act or Privacy Act, and information not to be exported to or disclosed to foreign countries.

Classified information as used in this part includes Restricted Data, Formerly Restricted Data or National Security Information that requires protection in one of the three classification categories described in Executive Order 12356: Top Secret, Secret or Confidential.

The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and exhibited in the following sections. All sensitive unclassified and classified reports are to be sent directly to the project manager.

II . OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.

NRC regulations require an Official Use only marking to be placed on a report only when the originator or other holder believes the marking is 29 Approved: August 29, 1984

PUBLICATION OF TECllNICAL REPORTS PREPARED BY NRC Appendix 3202 MRC 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 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 tP 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 information is information originated by the U.S.

Department of State. A report originated by an NRC contractor that contains Limited Official Use information shall be marked as shown in Exhibits 11 through 13.

Procedures for reproducing , transmitting, p rotecting, and handling 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 Proprietary information is a specific type of Official Use Only informa-tion . Proprietary information includes:

1. trade secrets.

2. privileged or confidential rescarch, developmen t , commercial or financial information exempt from mandatory disclosure under 10 CFR Part 2, "Itules of Practice for Domestic Licensing Proceed-ings , " Sections 2.710 and 2.790 and under 10 CFR Part 9, "Public Records," Section 9.5, " Exemptions."

3. information submitted in confidence to NRC by a foreign sou rce ,

which has been determined by NRC to be unclassified.

Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 11 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 information and proprietary information , the front cover shall be marked as proprietary information and may also be marked as Official Use Only information, if necessary.

Pages in the report that contain proprietary information may be marked accordingly , including, marginal or other indicators of the specific wording that is proprietary . Similarily, the pages that contain Official Use Only information without proprietary information may be marked Official Use Only Approved : August 29, 1981 30

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V t}

t

\ Procedures for reproducing, transmitting, protecting and handling pro-prietary information reports and removing them from the proprietary information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 19) is to be placed on each hard copy of a report containing proprietary information.

D. SAFEGUARDS INFORMATION Safeguards information may be of three types : (1) classified informa-tion , which is marked and handled as indicated in Section E, (2) un-classified information restricted under Section 147 of the Atomic Energy Act, which is marked and handled as described in this Section, and (3) unclassified information , which is publicly available and handled as indicated in Parts I through IV.

The safeguards information that is to be protected as described here is unclassuicd 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

2. security measures for the physical protection and location of certain plant equipment vital to the safety of production or utilization facilities .

ks Unclassified NRC contractor reports containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through 22.

Procedures for reproducing, transmitting, protecting, and handling safe-guards information reports and removing them from the safeguards information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to be placed on each hard copy of a report containing safeguards information.

E. CLASSIFIED INFORMATION Classified information is limited to Restricted Data, Formerly Restricted Data and National Security Information . The procedures for making classification determinations and for marking, reproducing, transmitting, protecting, and handling reports containing classified information and removing such reports from classified categories are detailed in NRC Appendix 2101. These procedures are too complex for summarizing here.

Classification determinations regarding NRC information may be made solely by authorized classifiers designated by NRC or DOE. Authorized classifiers are responsible for insuring that reports they determine to be classified are marked and protected in accordance with the provisions of NRC Appendix 2101.

O v

31 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS It is important to note that information may not be classified in order to prevent or delay the release of information that does not require protection in the interest of national security. Basic scientific research information not clearly related to national security may not be classified.

O i

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l Approved : August 29, 1981 32 I

I

I PUBLICATION OF TECHNICAL REPORTS PREPARED BY l NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION l i

OFFICIAL USE ONLY NUREGlCR-XXXX (S)

Title Subtitle and Type of Report

$ 37,.' 1 " "

N clear Regulatory Commission O

WlIMHOLD FROM PUBLIC DISCLOSURE 1

l OFFICIAL USE ONLY 33 Approved: August 29, 1984

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS O

EXHIBIT 9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG /CR-XXXX (S)

Title Subtitle and Type of Report u.nu.cnot cowted. < dates Date Published. (month, yearl Authorisi. Editorial contractor name end add' ens is n Office U.S. Nuclear Regulatory Commission Washington, D.C. 20565 NRC FIN No.

l OFFICIAL USE ONLY 1

O Approved : August 29, 1981 31 l

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r PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS P9rt V s

EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY OFFICIAL USE ONLY 35 Approved : August 29, 1984

PUBLICATION OF TECilNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS O

EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREGICR-XXXX (S)

Title Subtitle and Type of Report Author (s), Editor (s) e oro for U.S. Nuclear Regulatory Commission O

WITHHOLD FROM PUBLIC DISCLOSURE LIMITED OFFICIAL USE O

Approved : August 29, 1984 36

PUBLICATION OF TECllNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Part V O EXHIBIT 12 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREG/CR XXXX (S)

Title Subtitle and Type of Report M.nv.cnpt ComgMed. (d.tel

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l LIMITED OFFICIAL USE 37 Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 13 O

SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFlOIAL USE O

LIMITED OFFICIAL USE O

Approved : August 29, 1984 38

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREG/CR-XXXX (P)

Title Subtitle and Type of Report Author (s), Editor (s)

Contractor Propered for U.S. Nuclear Regulatory Commission MME AL OR FINA INFOR AION

==r -

IName of Company and Name of Submineel whch has been determmed (whch is clawned) 2 b R95t F P 21 is em t fr at pubic discbsure pur-WITHHOLD FROM PUBLIC DISCLOSURE tSqnatuee ietie and O*fnes iDate.

PROPRIETARY INFORM ATION 39 Approved : August 29, 1984

a PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 15 O

SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FORElGN SOURCE PROPRIETARY INFORMATION NUREG!CR XXXX (P)

Title Subtitle and Type of Report Author (s). Editor (s)

Contractor Prepared for U.S. Nuclear Regulatory Commission FOREIGN INFORM ATION

= = -

iName of Company and Name of Sutsnineo

! Z:.A'1"a'",3'a"J,51"'Lio .

pursuant to 10CFR Part 9 WITHHOLO FROM PUBUC DISCLOSURE (Signature r.tte anet O't(el (Datei l

PROPRIETARY INFORMATION l

O Approved : August 29, 1984 40 l

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r PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V m.

EXHIBIT 16 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRICTARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREGICR-XXXX (P)

Title Subtitle and Type of Report U*tNu'ESOh.Nr's Authorts). Editor (s)

Contractor name and address Prepared for N Division Office U.S. Nuclear Regulatory Commiselon Weehington, D.C. 20li66 NRC FIN No.

TRADE SECRET OR PRIVILEGED OR CONFIDENTIAL COMMERCIAL OR FINANCIAL INFORMATION The ument contaens enformaton submitted

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• Name of Company wwi Name of Submitter 6 which has been determmed (which a claimed) b R954 F P 21) is e.emP,t

,,,, ,7,;.gtp obi.c di-io-,e o, WITHHOLD FROM PUBLIC DISCLOSURE d5.qnafuee Titie arid OWei (Dat+>'

PROPRIETARY INFORMATION 41 Approved: August 29, 1984

3 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 17 O

SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE l

PROPRIETARY INFORMATION NUREGlCR-XXXX (P)

Title I Subtitle and Type of Report ate Publshed h. yearl Authorfs). Edetoris)

Manuscnpt Completed Idatel Date Published. (month. yearl Author'el. Editortel Contractor name and address Prepared for Division Office U.S. Nuclear Regulatory Commission  !

Washington, D.C. 20666 NRC FIN No.

FOREIGN INFORMATION Th men c n ains enformaton iName of Company and Name of Submitten which es describert m 10CFR 2 790 idu21 and is esempt from mandatory public disclosure pursuant to 10CFR Part 9 WITHHOLD FROM PUBLIC DISCLOSURE is.gnature Titie arx1 O'+<el iDate!

PROPRIETARY INFORM ATION O

Approved: August 29, 1984 42

F. .

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Far' 7 b

. EXHIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING '

PROPRIETARY INFORMATION PROPRIETARY INFORMATION O

PROPRIETARY INFORM ATION O

43 Approved: August 29, 1984

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e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 19 O

COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION l

1 l

l NOTICE THE ATTACHED DOCUMENT CONTAINS " PROPRIETARY INFOR-MATION" AND SHOULD BE HANDLED AS NRC

• OFFICIAL USE ONLY" INFORMATION. IT SHOULD NOT BE DISCUSSED OR MADE AVAILABLE TO ANY PERSON NOT REQUIRING SUCH INFORMA-TION IN THE CONDUCT OF OFFICIAL BUSINESS AND SHOULD BE STORED. TRANSFERRED, AND DISPOSED OF BY EACH RECIPIENT IN A MANNER WHICH WILL ASSURE THAT ITS CONTENTS ARE NOT MADE AVAILABLE TO UNAUTHORIZED PERSONS.

COPY.

DOCKET NO.

CONTROL.

REPORT.

REC'D W/LTR DTD.

l PROPRIETARY INFORM ATION Approved. December 10. 1980 Approved: August 29, 1984 44

r PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annondiv 3'20'/

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREG!CR XXXX (SG)

Title Subtitle and Type of Report Author (s), Editor (s)

Contractor Prepared for U.S. Nuclear Regulatory Commission a

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SAFEGUARDS INFORMATION N

45 Approved: August 29, 1984

T PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS O

EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREGICR-XXXX (SG)

Title Subtitle and Type of Report

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Approved : August 29, 1984 46 l

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1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY ,

NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION O

SAFEGUARDS INFORMATION O

47 Approved : August 29, 1984

T PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION e %L t s l> <V l

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,' THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM 4 UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147, ATOMIC ENERGY 'L i p' ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO civil OR CRIMINAL PENALTIES. 'M t- 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 NO CONTAINER. V( r.

3 IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS y [

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Approved : August 29, 1984 48 _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ .

f PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 (V )

PART VI HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs that involve either or both U.S. industry and foreign governments and orga-nizations . Such involvement includes monetary contributions , information exchange, and comments on program plans and results. This is authorized in 42 U.S .C. 5801. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified information from NRC to participants. These procedures apply only to NRC-managed work not programatically funded by DOE.

The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment of informa-tion on these programs developed for NRC by NRC contractors. This can be accomplished by distribution of " Draft Preliminary Reports (or Codes)" for comment for a specified period of time, followed by issue as formal NUREG/CR

) reports , with the concurrence of the participants. Specific procedures for

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accomplishing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the following sections. The procedures de-tailed here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers as guidance.

A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of information by a contractor shall be designated

" Draft Preliminary Report (or Code)," and shall include the cover sheet shown in Exhibit 24.

The following notice is to be printed on the bottom of the cover sheet (Exhibit 24):

NOTICE TIIIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action . It has not have received patent review and may con-tain information received in confidence. Therefore , the con-

,m tents of this report should neither be disclosed to others nor reproduced , wholly or partially, unless written permission to (V) do so has been obtained from the appropriate USNRC office.

The recipient is requested to take the necessary action to ensure the protection of this report.

49 Approved: August 29, 1984

S PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This notice has been agreed to by the legal staffs of both NRC and DOE and is not to be added to or changed. Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult with the NRC legal staff.

The " Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of copies specified by the project manager (in most instances this will be fewer than 20 copies).

The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall not distribute copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be designated "Draf t Preliminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report.

"Draf t Preliminary Reports (or Codes )" shall not be identified as NUREG/CR reports or carry any contractor report number or NRC dis-tribution codes.

B. DISTRIBUTION BY NRC PROJECT MANAGERS The NRC project manager will distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know, and (3) o.hers 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 certify to the need on NRC Form 420, " Request for Premium Cost Mail Se 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 will be allowed for comments and resolution of comments . At the end of the comment period, the NRC project manager shall, with the concurrence of the participants, authorize the contractor to issue the information as a NUREG/CR report in accordance with the provisions of this Chapter.

D. REPORT IDENTIFIERS The "D raf t Preliminary Reports (or Codes)" will be uniquely identified only by the Financial Identification Number (FIN) assigned by NRC and Approved: August 29, 1984 50

f.

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI the appropriate periodic notation , if any, included in the title (Ex-hibit 24). They shall not be given standard report nomenclature until the NRC project manager authorizes publication as a NUREG/CR report.

At that time , the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4.

E. MAILING TO PROGRAM PARTICIPANTS The physical transmission of reports from NRC to program participants shall be handled by the Document Management Branch (DMB), Division of Technical Information and Document Control (TIDC), based on address labels of participants supplied by the project manager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.

F. SECURITY If information included in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may not be classified solely for the purpose of limiting distribution to the partici-pants.

O o

G 51 Approved: August . 29, 1984

\

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24 O

SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE)

FOR COMMENT DRAFT PRELIMINARY REPORT (C0DE) FOR COMMENT FIN NO.

Title of Program Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1)

O Prepared by (Name of DOE Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action. It has not received patent review and may contain information received in confidence.

Therefore, the contents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report.

Approved : August 29, 1984 52

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202

,. UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT T0: NRC Project Manager

SUBJECT:

DRAFT PRELIMINARY REPORT (C0DE) ON (PROGRAM TITLE) FOR COMMENT The enclosed " Draft Preliminary Report (Code)" is being submitted for comment.

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 comments after that period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202.

DOE Facility or Contractor Representative O

53 Approved: August 29, 1984

\

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI O

EXHIBIT 26 TRANSMITTAL SilEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients : Addresses on attached labels Method of Mailing:

/_/ First Class Postal Service to U. S. addresses

/~/ Express mail to U. S. addresses *

/-/ Air mail to foreign addresses *

/-/ Surface mail to foreign addresses (may require up to three (3) months)

TIIIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTIIER SENSITIVE UNCLASSIFIED INFORMATION Special Instructions:

Individual Requesting Mailing:

Projei t Manager or High Authority Enclosures :

1. Address labels l 2. Documents to be mailed

• If 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 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)

.i .n l 54 Approved: August 29, 1984

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

20-1.5401 Scope and policy.

20-1.5402 Definitions.

1.5403 Criteria for recognizing contractor organizational conflicts of interest.

20-1.5404 Representation. -

20-1.5405 Contract clauses.

20-1.5405-1 General contract clause.

20-1.5405-2 Special contract provisions.

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

20-1.5407 Conflicts identified after award.

20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-l'.5410 Subcontractors.

20-1.5411 Waiver.

20-1.5412 Remedies.

AUTHORITY: Sec. 8, Pub. L.95-601, adding Sec.170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 520-1.5401 Scope and Policy (a) It is the policy of the U.S. Nuclear Regulatory Connission (NRC) to avoid, eliminate or neutralize contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.

(b) Contractor conflict of interest determinations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest. It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations l which might arise; however, examples are provided in these regulations to guide application of the policy. NRC contracting and program officials must be alert to other situations which may warrant application of this policy guidance. The ultimate test is: Might the contractor, if awarded the contract, be placed in a position where its judgment may be biased, '

or where it may have an unfair competitive advantage?

(c) The conflict of interest rule contained in this subpart applies to- contractors and offerors only. Individuals or firms who have other 3 relat'ionships with NRC (e.g., parties to a licensing proceeding) are not -  :

covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC

7590-01 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.

520-1.5402 Definitions (a) " Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which: (1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a ~

biased work product, or (2) may result in its being given an unfair competitive advantage.

(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 formulation or administration of its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available to the public or proprietary information. Such services typically include assistance in the preparation of program plans; 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-spons,or, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC.

(g) " Affiliates" means business concerns which are affiliates of ,

each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR 51-1.606-1(e)).

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

(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.

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7590-01 (j) " Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The term " potential conflict of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract performance.

5 20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist: (1) Are there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC? (2) May the contractor be given an unfair competitive advantage based on the performance of the contract?

The ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of comon sense and good business judgment based upon the relevant facts disclosed and the work to be performed. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel w':1 pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurements, and research programs.

(b) Situations or relationships which may give rise to organizational conflicts of interest. (1) The offeror or contractor shall disclose information concerning relationships which may give rise to organizational conflicts of interest under the following circumstances:

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

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

(iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offeror or contractor has been substantially involved in their development or marketing .

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

7590-01 (2) The contracting officer may request specific information from an offeror or contractor or may require special contract provisions such as provided in 520-1.5405-2 in the following circumstances:

(i) Where the offeror or contractor prepares specifications which are to be used in competitive procurements of products or services covered by such specifications.

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

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

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

(v) Where the award of a contract might 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 othenvise result in an unfair competitive advantage for the offeror or contractor.

(c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example.

The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp.

advises that it is currently performing similar analyses for the reactor manufacturer.

Guidance. An NRC contract for that particular work normally would not be awarded to the XYZ Corp. because it would be placed in a position in which its judgment could be biased in relationship to its work for NRC. Since there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.

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

projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.

7590-01 Y'

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

(3) Example. As a result of operating problems in a certain type of commercial nuclear facility, it is imperative that NRC secure specific data on various operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer has extensive experience with that type of plant. Consequently, that company is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable time. That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the reactor's design and thus the company's costs.

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

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

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

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

• component.

' Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors ,

will normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes information to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others. Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the contract is proposed to be used.

l 7590-01 (5) Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian fold belt. In accordance with the representation in the RFP and 5 20-1.5403(b)(1)(i), ABC Corp. informs the NRC that it is presently doing seismological studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study.

Guidance. The contracting officer would normally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. The work for others clause of 520-1.5405-1(c) would preclude ABC Corp. from accepting work during the term of the NRC contract which could create a conflict of interest.

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

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

520-1.5404 Representation

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

(b) Representation procedure. The following organizational conflicts of interest representation provision shall be included in all solicitations and unsolicited proposals for: (1) Evaluation services or activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in toe resulting contract. This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the " changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.

7590-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:

The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR 520-1.5403(b)(1).

(c) Instructions to offerors. The following shall be included in all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 520-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer. If the contracting officer determines that organizational conflicts exist, the following actions may be taken: (i) Impose appropriate conditions which avoid such conflicts, (ii) disqualify the offeror, or (iii) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 520-1.5411.

(2) The refusal to provide the representation required by 520-1.5404(b) or upon request of the contracting officer the facts required by 520-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of ary relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract.

(d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific ads of work from the statements of work contained in a RFP unl e W FP specifically prohibits such exclusion. Any such proposed e:; # by an offerer will be considered by the NRC in the evaluath.o of p.cposals. If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as unacceptable.

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

5 20-1.5405 Contract clauses l 5 20-1.5405-1 General contract clause

7590-01 All contracts of the types set forth in 520-1.5404(b) shall include the following clauses:

(a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor: (1) Is not placed in a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.

(b) Scope. The restrictions described herein shall apply to performance or participation by the contractor as defined in 41 CFR S 20-1.5402(f) in the actitities covered by this clause.

(c) Work for others. Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being 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 itssif or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.

(d) Disclosure after award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a).

(2) The contractor agrees that if after . award it discovers organizational conflicts of interest with respect to this contract, it shall make an imediate and full disclosure in writing to the contracting officer.

This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract for convenience if it deems such termination to be in the best interests of the government.

(e) Access to and use of information. (1) If the contractor in the performance of this contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the contractor agrees not to: (1) Use such information for any private purpose until the information has been released to the public; (ii) compete for work for the Comission based

7590-01 on such information for a period of six (6) months after either the complet. ion 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 Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions placed on use of the information.

(3) The contractor shall have, 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 5 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 preserve the government's rights.

(g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the 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 directed in writing through the contracting officer to the Executive Director for Operations (ED0) in accordance with the procedures outlined in 5 20-1.5411.

5 20-1.5405-2 Special contract provisions.

(a) If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a waiver in accordance with : 20-1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the ,

extent and time period of any such restriction. These provisions include but are not limited to:

7590 -

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

(b) The following additional contract clause may be included as section (i) in the clause set forth ini 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest.

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

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

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

? 20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of !20-1.5404(b) and other relevant information. After evaluating this information against the criteria of i 20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror. If it has been determined that conflicts of interest exist, then tne contracting officer shall either:

(a) Disqualify the offeror from award,

7590-01 (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of 5 20-1.5411.

520-1.5407 Conflicts identified after award.

If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting officer determines that such conflicts do, in fact, exist and that it -

would not be in the best interests of the government to terminate the contract as provided in the clauses required by 520-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after I obtaining a waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict.

520-1.5408 (Reserved) 520-1.5409 (Reserved) 520-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with 520-1.5404(b) from subcontractors and consultants. The contracting officer shall require the contractor to include contract clauses in accordance with 520-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection.

520-1.5411 Waiver In the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and 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 50.

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

(1) The work to be performed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and (3) contractual and/or technical review and supervision methods can be -

employed by NRC to neutralize the conflict. For any such waivers, the justification and approval documents shall be placed in the Public Document Room.

7590-01 920-l. 5412 Remedies In addition to such other remedies as may be permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.

Dated a' nashincton, D.C this 27th day of March 1979.

For the Nuclear Regulatory Commission CCCuud Samuel bCoodk J. Chilk '

Secretary of the Commission

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