ML20207B555

Contract: Technical Assistance for Developing Implementation Guidance for Part 20 Final Rule. Awarded to Scientech,Inc

ML20207B555
Person / Time
Issue date:	07/01/1988
From:	Baker L, Smith P NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), SCIENTECH, INC., SMALL BUSINESS ADMINISTRATION
To:
Shared Package
ML20207B540	List: ML20207B535 ML20207B555
References
CON-FIN-D-2092, CON-NRC-04-88-096, CON-NRC-4-88-96 NUDOCS 8808020373
Download: ML20207B555 (116)

Text

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, TABLE OF CONTENTS PAG _ 4 AWARD /CCNTRACT . . . . . . . . . . . . . . . . . . . . . . . . . . 1 TAB LE OF CONT ENT S . . . . . . . . . . . . . . . . . . . . . . . . . 3 SECTION 0 - SUPPLIES OR SERVICES AND PRICE / COSTS . . . . . . . . . . 5 B.1 BRIEF DESCRIPTION OF WORK (MAR 1987). . . . . . . . . , , . 5 B.2 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE . . . . . 5 (MAR 1987)

SECTION C - DESCRIPTION / SPECIFICATION. . . . . . . . . . . . . . . . 6

/ WORK STATEMENT C,1 STATEMENT OF WORK (MAR 1987). . . . . . . . . . . . . . . . 6 C.2 T RAV E L ( MAR 19 8 7 ) . . . . . . . . . . . . . . . . . . . . . 7 SECTION D - PACKAGING AND MARKING. . . . . . . . . . . . . . . . . .

8 0.1 PACKAGING AND MARKING (MAR 1987). . . . . . . . . . . . . . 8 SECTION E - INSPECTION AND ACCEPTANCE. . . . . . . . . . . . . . . . 9 E.1 CLAUSES INCORPORATED BY REFERENCE . . . . . . . . . . . . . 9 (FAR 52.252-2) ( APR 1984)

SECTION F - DELIVERIES OR PERFORMANCE. . . . . . . . . . . . . . . . 10 F.1 CLAUSES INCORPORATED BY REFERENCE . . . . . . . , , . . . 10 (FAR 52.252-2) (APR 1984)

F.2 PREPARATION OF TECHNICAL REPORTS (MAR 1987) . . . . . . . . 10 F,3 TECHNICAL PROGRESS REPORT (MAR 1987). . . . . . . . . . . . 10 F.4 FINANCIAL STATUS REPORT (MAR 1987). . . . . . . . . . . . . 11 F.5 PLACE OF DELIVERY--REPORTS (MAR 1987) . . . . . . . . . . . 11 F.6 00 RATION OF CONTRACT PERIOD (MAR 1987) . . . , . . . . . . 12 SECTION G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . . 13 G1 INDIRECT RATES (MAR 1987) . . . . . . . . . . . . . . . . . 13 G.2 PROJECT OFFICER AUTHORITY (MAR 1987). . . . . . . . . . . . 13 G.3 TRAVFL REIMBURSEMENT (MAR 1987) . . . . . . . . . . . . . . 15 G.4 METH00 0F PAYMENT (MAR 1987). . . . . . . . . . . . . . . . 16 G.5 PAYMENT 00E DATE (MAR 1987) . . . . . . . . . . . . . . . . 17 G.6 INTEREST ON OVEROUE PAYMENTS (MAR 1987) . . . . . . . . . . 17 G.7 PROMPT PAYMENT (52.232-25) (FEB 1988) . . . . . . . . . . . 18 ALTERNATE II (FEB 1988)

SECTION H - SPECIAL CONTRACT REQUIREMENTS. . . . . . . . . . . . . . 24 H.1 KEY PERSONNEL (MAR 1987) . . . . . . . . . . . . . . . . . . 24 H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987) . . . . . . 25 H,3 OISSEMINATION OF CONTRACT INFORMATION (MAR 1987). . . . . . 25 H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987) . . 25 H.S CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST . . . . . . 25 (OMB CLEARANCE NUMBER 3150-0112) (MAR 1987)

H.6 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDE 0 . . 27 (MAR 1987)

PART II - CONTRACT CLAUSES . . . . . . . . . . . . . . . . . . . . 28 SECTION I - CONTRACT CLAUSES . . . . . . . . , . . . . . . . . . . 28 1.1 CLAUSES' INCORPORATED BY REFERENCE . . . . . . . . . . . . . 28

, TABLE OF CONTENTS PAGE 5

. (FAR 52.252-2) (APR 1984) '

I.2 ANTI-XICKBACK PROCEDURES (FAR 52.203-7) . . . . . . . . . . 29

• 1. 3 STECIAL 8(A) CONTRACT CONDITIONS. . . . . . . . . . . . . . 31 (FAR 52.219-11) ( APR 1984) ,

PART III - LIST OF DOCUMENTS, EXHIBITS . . . . . . . ....... 32 AND OTHER ATTACHMENTS l'

SECTION J - LIST OF ATTACHMENTS. . . . . . . . . . . . . . . . . . . 32 J.1 ATTACHMENTS (MAR 1987). . . . . . . . . . . . . . . . . . . 32  ;

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,, NRC-04-88-096 Section B SECTION 3 - SUPPLIES OR SERVICES AND ,$ RICE / COSTS 1

B.1 BRIEF DESCRIPTION OF WORK (MAR 1987)

The contractor shall. provide technical assistance to the staff by preparing background material for use l in preparation of implementation guidance for thi final Part 20 regulation.

(End of Clause) i B.2 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE (MAR 1987)

a. It is estimated that the total cost to the Government for full performance of this contract will be $35,083.00, of which the i sum of $32,186.00 represents the estimated reimbursable costs, and l of which $2,897.00 represents the fixed fee. l

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

c. The amount presently obligated by the Government with respect to this contract is $35,083.00 (End of Clause)

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'. NRC-04-88-096 PAGE 6 Section C 1

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! SECTION C - DESCRIPTION / SPECIFICATION e

! / WORK STATEMENT i.

1 C.1 STATEMENT OF WORK (MAR 1987)

C.

1.1 BACKGROUND

I In December, 1985, the NRC issued a proposed major revision of its regulation specifying the basic radiation protection provisions to I be followed by its licensees, 10 CFR 20 This is the first major l change in the basic radiation protection standards of the NRC in almost 30 years. Also, this proposed revision represents a dramatic l

change in both the dose assessment methodology and the units used. l l

l The. intent of the revision is to improve NRC radiation protection

! standards by reflecting developments in the principles that underlie i radiation protection and advances in related sciences that have occurred since Part 20 was issued nearly 30 years ago In particular, the revision would put into practice many of.the more  !

recent recommendations of the International Commission on Radiological Protection, which have been incorporated into recent ,

Presidential guidance. l As part of the development effort associated with the proposed rule (

and the preparation of the final rule for consideration by the  ;

Commission, the NRC staff held a series of meetings in the different regions of the country. In addition, 813 public comments were [

received on the proposed rule, many of which addressed various aspects of implementation. [

f At the present time, the final rule is being prepared for Commission  !

consideration. It is espected that the approved final rule will be  :

issued in the fall of 1988, with a three-year time period before ['

becoming effective. It is necessary that NRC guidance on the implementation of Part 20 be prepared prior to the effective date i for the rule.

C.1.2 OEk1ECTIVE .

I The task to be accomplished under this scope e' work is to provide i technical assistance to the staff by preparing background material i for use in preparation of implementation guidance for the final Part l 20 regulation.  !

C.1.3 STATEMENT OF WORK ,

Tha guidance for implementing Part 20, Standards For Radiation i I

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,, NRC-04-88-096 Section C Protection, will consist cf the revision, as appropriate, of the existing Regula.ory Guides and the identification of a number of new Regulatory Guides. This work will be conducted as follows:

The contractor shall review the Regulatory Guides in Divisions 1 through 10 and identify necessary changes as follows:

(a) make changes to chapter notations so that they agree with the organization of the final Part 20; (b) Specify which Regulatory Guides require substantive modification necessary to conform to the new dose assessment methodology:

(c) identify a list of proposed new Regulatory Guides which ~

should be prepared, including a brief abstract of the contents. In support of this requirement, the NRC staff will provide the contractor access to the available information collected from the 813 comments on the proposed rule.

C.1.4 FINAL REPORT The contractor shall provide a final report identifying specific changes needed in existing regulatory guides, including outline of new sections needed to make existing guides consistent with new Part

20. This report will also identify and outline as many as 10 new regulatory guides which will require development. THE FINAL REPORT SHALL BE DUE SEPTEMBER 21,1988.

(End of Clause)

C.2 TRAVEL (MAR 1987)

a. All comestic travel requires the prior approval of the Project Officer,

b. All foreign travel must be approved in advance by the NRC on NRC Form 445 and shall be in compliance with 52,247-63 Preference For U S. Flag Air Carriers.

(End of Clause) t

• PAGE 8

.. . NRC-04-88-096 Section 0 1 ,

SECTION D - PACKAGING AND MARKING l

0.1 PACKAGING AND MARKING (MAR 1987)

The Contractor shall package material for shipment to the NRC in such a manner that will insure acceptance by common carrier and safe delivery at destination. Containers and closures shall comply -

with the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or regulation ~. of other carriers as applicable to the mode of transport 3 tion. On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided.

(End of Clause)

'. PAGE 9

.- NRC-04-88-096 Section E SECTION E - INSPECTION AND ACCEPTANCE [

E.1 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (APR 1984) i This contract ine.orporates the following clauses by reference, '

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

I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES  ;

CLAUSE '

NUMBER DATE TITLE 52.246-5 APR 1984 INSPECTION OF SERVICES-- i COST-REIMBURSEMENT l

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.. NRC-04-88-096 Section F SECTICN F - DEllVERIES OR PERFORMANCE F.1 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) ( APR 1984) l This centract incorporates the following clauses by reference.

These clauses nave the same force and effect as if they were given in full text. Upcn request, the Contracting Officer will make their full text available.

I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUM8ER DATE TITLE 52.212-13 APR 1994 STOP WORK ORDER ALTERNATE I (APR 1984)

F.2 PREPARATION 0F TECHNICAL REPORTS (MAR 1987)

All technical reports required by Section C and all Technical Progress Reports required by Section F are to be prepared in recordance with the attached NRC Manual Chapter 3202. NRC Manual Chapter 3202 is not applicable to the financial Status Report.

(End of Clause)

F.3 TECHNICAL PROGRESS REPORT (MAR 1987)  ;

The Contractor shall provide a monthly Technical Progress l Report to the Project Officer and the Contracting Officer. The  !

report is due within 15 calendar days after the end of the report  :

period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract r period of performance, and the period covered by the report. Each  !

report shall include the following:

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

f

b. Any problems or delays encountered or anticipated and i recommendations for resolution; (if the recommended resolution i involves a contrict modifin tion, e.g., change in work requirements, j level of effort (cost) or schedule delay, the Contractor shall (

submit a separate letter to the Contracting Officer indentifying the  ;

required change and estimated cost impact).  :

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. NRC-04-88-096 Section F

- c. A summary of progress to date; and

d. Plans for the next reporting period.

(End of Clause)

F.4 FINANCIAL STATUS REPORT (MAR 1987)

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

a. Provide total estimated cost (value) of the project as ,

reflected in the contract, the arnount of funds available in the  ;

contract to date, and the balance of funds required to complete the work as follows:

1) Total Estimated Contract Amount. l

2) Total Funds Obligated To Date. <

3) Total Costs Incurred This Reporting Period. l

4) Total Costs Incurred To Date.

5) Balance of Obligations Remaining.

6) Balance of Funds Required To Complete Contract,

b. Detail of all direct and indirect costs incurred during  ;

the reporting period for each task. ,

i (End of Clause) i F.5 PLACE OF DELIVERY--REPORTS (MAR 1987)

The items to be furnished hereunder shall be delivered, with ,

all charges paid by the Contractor, to- '

I

a. Project Of ficer (2 copies)

U.S. Nuclear Regulatory Commission Contract Number: NRC-04-88-096 Office of Nuclear Regulatory Research Division of Regulatory Analysis Mail Stop: NLS-139 Washington, D.C. 20555

b. Contractinq Officer (1 copy)

U.S. Nuclear Regulatory Commission Contract Number: NPC-04-88-096 Division of Contracts Contract Administration Branch

, PAGE 12 ,

,. NRC-04-88-096 Section F  !

l Mail Stop: AR-2223 l Washington, D.C. 20555 ,

(End of Clause)  !

l F.6 DURATION OF CONTRACT PERIOD (MAR 1987)  :

This contract shall commence on 07/01/88 and will expire on  !

09/2'./88. l (End of Clause)

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,. NRC-04-88-096 Section G f

SECTION G - CONTRACT ACMINISTRATIOri DATA G.1 INDIRECT RATES (MAR 1987)

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

CATEGORY RATE (%) COST BASE APPLICABLE PERICO Overhead Otreet Labor Fringe Benefits N/A GM Tot. Dir. Costs I

b. The Contracting Officer may adjust the above rates as appropriate during the term of the contract upon acceptance of any revisions proposed by the Contractor. It is the Contractor's responsiblitty to notify the Contracting Officer in accordance with 52.232 Limitation of Cost or 52.232 Limitation of Funds ,

as applicable, if such change (s) af fect(s) performance of work within the estabitsbed cost or funding limitations.

1 (End of Clause)

G.2 PROJECT OFFICER AUTHORITY (MAR 1987)

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

Name: Mr. Alan Roecklein Address: U.S. Nuclear Regulatory Commission Nuclear Regulatory Research NLS-139 Telephone Number: (301) 492-3740

b. Performance of the work under this contract :bal'l be subject to the technical direction of the NRC Project Officer. The term "Technical Direction" is defined to include the following:

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

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PAGE 14 NRC-04-88-096 Section G ,

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

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

c. Technical direction must be with8 n the general statement of work stated in the contract. The Project Officer does not have the authority to and may not issue any technical direction which:

1) Constitutes an assignment of 4dditional work outside the general scope of the contrat?..

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

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

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

5) Terminates the contract or settles any claim or dispute arising under the contract, or issue any untiateral directive whatever,

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

e. The Contractor shall proceed prw ptly with the performance of technical directions duly issued by the project Officer in the j

manner prescribed by this clause and within s'Jch person's authority under the previsions of this clause.

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f. If, in the opinion of the Contractor, any instruction or direction issued by the Project Officer is within one of the categories at defined in c above, the Contractor shall not prot.eed 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 s'Jch 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.

g. Any unauthorized comitme,t or direction issued by the l

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NRC-04-88-096- Section G l

, Project Officer may result in an unnecessary deiay in the i Contractor's performance, and may even result in the Contractor expending funds for unallowab'e costs under the contract.

h, A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken with respect thereto shall be subject to 52.233 Disputes.

1. In addit:on to providing technical direction as defined above, the Project Officer is responsible for: l

, 1) Monitoring the Contractor's technical progress, including surveillance and assessment of performance, and recommending to the Contracting Officer cha aes in requirements. _

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

3) Reviewing all costs requested for reimbursement by ,

ractor and submitting to the Contracting Officer recommendations  ;

r approval,.ddsapproval, or suspension of payment fnr supplies and services required under this contract. ,

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(End of Clause) l G.3 TRAVEL REIMBURSEMENT (MAR 1987)  :

1 1 a. Total expenditure for domestic travel shall not exceed  :

i $300 .without tne prior approval of the Contracting Officer.

!. 5. The Contractor will be reimbursed for reasonable domestic travel costs incurred directly and specifically in the performance of this contract. The cost limitations for travel costs are determined by the Federal Travel Regulations that are in effect on the date of the trip. These Regulations specify the daily maximum i t per diem rites for specific localities within the Conterminous  :

( United States (CONUS), the standard CONUS rate, the allowance for  !

meals and incidental expenses (M&IE), the cost of travel by privately owned automobile, and the items which require receipts.

The Contractor can obtain the Regulations from the Superintenden? of 4 Documents, Government Print.ing Office, Washington, DC 20402, l 4

c. When the Govarnm(qt changes the Federal Travel Regulations, it is the responsibility of tha Contractor to notify the Contracting Officer in accordance with the Limitation of Cost clause of this contract if the Contractor will be unable to make all ,

o' the approved trips and remti.i within the cost and fae limitations  !

of this contract.

I d. The rates for foreign travel are estab'ished by the U.S.

Department of State and a 3 listed in a publication antitled "Maximum Travel Per Olem ~.ilowances For Foreign Areas". Copies of >

this publication may be obtained from U.S. Government Frinting .

Office, Washington, D.C. 20402.  !

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.- NRC-04-88-096 . Section G (End of Clause)

G.4 METHOD OF PAYMENT (MAR 1987)

I- a. Payment under this contract will be made by wire transfer through the Treasury Financial Communications System for each individua! payment in excess of $25,000 and by Treasury check for each 'ndividual nayment of $25,000 or less. l

b. ..ie event that the Contractor's financial inst.tution i has access to the Federal Reserve Communications System, the l Contractor shall forward the following information in writing to the l Contracting Officer within seven days after the 9ffective cate of the contract. -

1) Name and address of organization.

2) Contact person and telephone number.

3) Name and address of financial instituti,on.

4) Contractor's financial institution's 9-digit ABA .

identifying number for routing transfer of funds. '

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5) Telegraphic abbreviation of Contractor's financial institution. ,

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6) Account number at Contractor's financial institution.

7) Signature and title of person supplying this in forsa tion. l

c. In the event the Contractor's financial institution does  :

not have access to the Federal Reserve Communication System, the Contractor shall forward the following information with regard to a l correspondent or alternate financial institution. The information.

l sh311 be in writing and submitted to the Contracting Officer within seven days after the effective d3te of the contract.

1) Name and address of organization.

2) Contact person and telephone number.  ;

3) Name and address of financial institution. j

4) Telegraphic abbreviation of Co,itractor's finan'cial (

j. institution. .

j 5) Account number at Contractor's financial institution. j f

6) Name and address of the correspondant financitl f

institution thit has access to the Federal Reserve' Communications t I

i System.

4

7) Correspondent financial institution 9-digit ABA l

l

_ . - . ---___,_______._..,__-_______.,--_-__m._,._-- , _... _

PAGE 17 i;RC-04-88-096 Section G ,

identifying number for routing transfer of funds.

8) Telegraphic abbreviation of correspondent financial institution.

9) Signature and title of person supplying this information.

d. Any changes to the information furnished under 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.

(End of Clause)

G.5 PAYMENT DVE DATE (MAR 1987)

a. Progress payments, if authorized under this contract, will be due thirty (30) calendar days after receipt of a proper invoice in accordance with the attached "Billing Instructions" (See Section J for List of Attachments). Such paymente are solely for financing purposes and shall not accrue interest under the Prompt Payment Act.

b. Payments subject to the Prompt Payment Act under this contract will be due 30 calendar days after the later of:

1. The date of actual receipt of a proper invoice in accordance with the attached "Oilling Instructions", or .

2. The date the final deliverable products / services are accepted by the Government, or

3. The date the contract expires.

c. For the purpose of dete. mining the due date f c payment and for no other purpose, acceptance will be deemed to occur 30 calendar days after receipt of the final deliverable produe' or completion of performance of all services in accordance with the terms of the contract.

d. If the final product / service is rejected for failure to conform to the technical requiremer ts of the contract, the provisions in paragraph c of this clause will apply to the new delivery of the final product / service.

(End of Clause)

G.6 INTEREST ON OVEROUE PAYMENTS (MAR 1987)

a. The Prompt Payment Act, Public Law 97-177 (SG STAT. 85, 31 USC 1801) is applicabia to payrent of the expiration invoice under this sontract and requires the payment of interest to Contractors on overdue payments of the expiration invoice or improperly taken discounts.

, PAGE 18

.- . NRC-04-88-096 Section G

b. Determinations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of Management and Budget C.rcular A-125, Vol. 47 Federal Register 37321, August 25, 1982. Among other considerations, OMB Circular A-125 provides th3t:

1) Interest penalties are not required when payment is delayed because of a disagreement over the amor,c of payment or other issues concerning compliance with the terms of the contract.

2) Whenever a proper invoice is paid after the due date plus 15 days, interest will be included with the payment at the interest rate applicable on the payment date. Interest will be computed from the day :fter 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 evntract.

(End of Clause)

G.7 PROMPT PAYMENT (52.232-25) (FEB 1988)

ALTERNATE II (FEB 1988)

Notwithstanding any other payment clause in this contract, the Government will make fnvoi e payments and contract financing payments under the terms and conditions specificd in this clause.

Payment sha.11 be considered as being made on the day a check is dated or an electronic funds transfer is made. Definitions of pertinent terms are set forth in 32.902. All days referred to in this clause are calendar days, unless otherwise specified.

(a) Invoice Payments (1) For purposes of this clause, "invoice payment" means a Government disbursement of monies to a Contractor under a contract or other authorization for supplies or services accepted by the Government. This includes payments for partial deliveries that have been accepted by the Governn.ent and final cost or fee payments where amounts owed have been settled between the Government and the Contractor.

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

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

(11) The 30th dip aiter Government acceptance of supplies ,

delivered or services performed by the Contractor. On a final .

invoice where the payment amount is subject to contract settlement actions, acceptance shall be deemed to have occurred on the ef fective date of the contract settlement.

f

PAGE 19 NRC-04-88-096 . Section G

'(3) The due date on contracts for meat and meat food products, contracts for perishable agricultural commodities, .nd contracts not requiring submission of an invoice shall be as follows:

(i) The due date for meat and meat food products, as defined in Section 2(a)(3) of the Packers and Stockyard Act of 1921 (7 U.S.C.

182(3)) and further defined in h b. L.98-181 to incirvie poultry, poultry products, eggs, and egg products, will be as close as possible to, but not later than, the 7th day af ter product delivery.

(ii) The due date for perishabic agricultural cot.modities, as defined in Section 1(4) of the Perishable Agricultural Commoditias Act of 1930 (7 U.S.C. 499a(44)), will be as close as possible to, but not later than, the 10th day after product delivery, unless n.

another date is specified in the contract.

(1.1) If the contract dcas not require submission of an invoice for payment (e.g., periodic lease payments), the due date will be as specified in the contract.

(4) An invoice is the Contractor's bill 'or written request for payment under the contract for supplies delivered or services performed. An invoice shall be prepared and submitted to the designated billing officer specified in the contract. A proper invoice must include the items listed in subdivisions (a)(4)(1) through (a)(4)(viii) of this clause. If the invoice does not comply with these requirements, then the Contractor will be notified of the defect within 15 days atter receipt of the invoice at the designated

~

billing office (3 days for meat and meat food products and 5 days for perishable agricultural commodities). Untimely notification will be taken into account in the cc:nputation of any interest penalty owed the Contractor in the manner de:cribed in subparagrpah (a)(6) of this cicuse.

(i) Name and address of the Contractor.

(11) Invoice date.

(iii) Contract number or other authorization for supplies delivered or services performed (including order number and contract line item number). (iv) Description, quantity, unit of measure, unit price, and extended price of supplies delivered or services performed.

(v) Shippiag and payment terms (e.g. , shipment number and date of shipment, prompt payment discount terms). Bill of lading numbe. and weight of shipment util be shown.for shipments on Government bills of lading.

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

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

( address of person to be notified in event of a defective invoice.

PAGE 20 NRC-04-88-096 Section G

~

(viii) Any other information or documentation required by other '

requirements of the contract (such as evidence of shipment).

(5) An interest penalty shall be paid automatically by the

. Government, without request from the Contractor, if payment is not made within 15 days after the due date (3 days for meat and meat food products and 5 days for perishable agricuhural commodities) and the following conditions are met, if applicable: (1) A proper invoice was received by the designated billing office.

(ii) A receiving report or other Government documentation authorizing payment was processed and there was no disagreement over quantity, quality, or contractor compliance with any contract term -

or candluon.

(iii) In the case of a final invoice for any balance of funds due the Contractor for supplies delivered or services performed, the amount was not subject to further contract settlement actions between the Government and the Contractor.

(6) The interest penalty shall be the rate established by the Secretary of th; Treasury under Section 12 of the Contract Disputes Act of 1978 (41 U.S.C. 611) that is in effect on the payment date,

< except where the interest penalty is prescribed by other governmental authority. This rate is referred to as the

. "Renegotiation Board Interest Rate," and it is published in the Federal Register semiannually on or about January 1 and July 1. The 4

interest penalty shall accrue daily on the invoice payment amount approved by the Government and be compounded in 30-day increments inclusive from the first day after the due date through the payment date. That is, interest accrued at the end of any 30-day period will be added to the approved invoice payment amcunt and be subject to

. Interest penalties if not paid in the succeeding 30-day period. If the designated billing office failed to notify the contractor of a defective invoice within the periods prescribed in paragraph (a)(4) of this clause, then the due date on the corrected invoice will be ,

adjusted by subtracting the number of days taken beyond the

prescribed notification of defects period. Any interest penalty owed the Contracter will be based on this adjusted due date. Adjustments will be made by the designated payment office for errors in calculating interest penalties, if requested by the Contractor.

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

, to have occurred constructively on the 5th working day after the Contractor delivered the supplies or performed the services in accordance with the terms and condition 1 of the contract, un hss there is a disagreement over quantity, quality, or contractor compliance with a contract provision. In the event that actual acceptance occurs within the constructive acceptance period, the determination of an interest punalty shall be based on the actual date of acceptance. The constructive acceptance requiremont does not, however, compel Government officials to accept supplies or services, parform contract administration functions, or make payment

~_ - _ . - - .. .

1 PAGE 21

.. NRC-04-88-096 Section G prio~r to fulfilling their responsibilities.

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

(A) The period taken to notify the Contractor af defects in invoices submitted to the Government, but this may not exceed 15 .

days (3 days for meat and meat food products and 5 days for l perishable agricultural commodities). l (B) Th,c period between the defects notice and resubmission of the corrected invoice by the Contractor.

(iii) Interest penalties will not continue to accrue af ter the _.

filing of a claim for such penalties under the Disputes clause or

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

(iv) Interest penalties are not required on payment delays due to disagreement between the Government and Contractor over the payment

, amount or other issues involving contract compliance or on amounts temporarily withheld or retained in accordance with the terms of the '

contract. Claims involving disputes, and any interest that may be payable, will be resolved in accordance with the Disputes clause.

l (7) An interest penal . shall also be paid automatically by the designated payment offi without request from the contractor, if l an improperly taken F Jnt for prompt payment was not corrected i within 15 days after s e."piration of the discount period (3 days for meat and meat food products and 5 days for perishable agricultural commodities). The interest penalty will be calculated as described in paragraph (a)(6) of this clause on the amount of discount taken for the period beginning with the first day af ter the '

end of the discount period through the date when the contractor is paid.

(b) Contract Financing Payments

, (1) For purposes of this clause, "contract financing payment" i means a Government disbursement of monies to a Contractor under a contract clause or other authorization prior to acceptance of t supplies or services by the Government. Contract financing payments include advance payments, progress payments based on co:t under the  ;

clause at 52.232-16, Progress Payments, progress payments based on a

. percentage or stage of completion (32.102(e)(1)) other than those made under the ci tuse at 52.232-5, Payments Under Fixed-Price Construction Contracts, or the clause at 52.232-10, Payments Under  ;

Fixed-Price Architect-Engineer Contracts, and interim payments on i cost type contracts, j L

(2) For contracts that provide for contract financing, requests for payment shall be submitted to the designated billing office as t specified in this contract or as directed by the Contracting i Officer. Contract financing payments shall be made on the (insert l

day as prescribed by Agency head; if not prescribed, insert 30th  ;

i b .

m, .

PAGE 22 NRC-04-88-096- Section G day) day af ter receipt of a proper contract financing request by the designated billing office. In the event that an audit or other review of a specific financing request is required to ensure compliance with the terms and conditions of the contract, the designated payment office is not compelled to make payment by the due date specified.

(3) For advance payments, loans, or other arrangements that do not involve recurrent submissions of contract financing requests, payment shall be made in accordance with the corresponding contract terms or as directed by the Contracting Officer.

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

(c) Electronic Funds Transfer.

Payments under this contract will be made by the Gove iment either by check or electronic funds transfer (through the Treasury Financial Communications System (TFCS) or the Automated Clearing House (ACH)), at the option of the Government. After award, but no later than 14 days before an invoice or contract financing request is submitted, the contractor shall designate a financial institution for receipt of electronic funds transfer payments. The Contractor shall submit this designation to the Contracting Officer or other 6 Government official, as directed.

(1) For payment through TFCS, the Contractor shall provide the following information:

(i) Name, address, and telegraphic abbreviation of the financial institution receiving payment.

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

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

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

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

(1) Routing transit numbers of the financial institution l receiving payment (sarre as American Bankers Association identifying l l

number used for TFCS).

l

PAGE 23 NRC-06-88-096 -

3ection G  !

i (11) Number of account to which funds are to be deposited.

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

(iv) If the Contractor is a new enrollee to tFe ACil system, a "Payment Ir. formation Form," TFS 3881, must be completed before payment can be processed.

(3) In the event the Contractor, during the performance of this contract, elects to designate a different financial institution for the receipt of any payment made using electronic funds transfer procedures, notification of such change and the required informatio,1 specified above must be received by the appropriate Government official 30 days prior to the date such change is to become effective.

(4) The documents furnishing the information required in this paragraph (c) must be dated and contain the signature, title, and telephone number of the Contractor official authorized tc, provide it, as well as the Contractor's name and contract number.

(5) Centractor failure to properly designate a financial ,

institution or to provide appropriate payee bank account information may delay payments of amounts otherwise properly due.

(End of clause)

.. PAGE 24 NRC-04-88-096 Section H SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 KEY PERSONNEL (MAR 1987)

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

~

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

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

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

d. If the Contracting Officer determines that:

1) Sultable and timely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming; or

2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the Contracting Officer f,r default or for the convenience of the Government, as appropriate. If the Contracting Officer finds the Contractor at fault for the condition, the contract price or fixed

PAGE 25 NRC-04-88-096 Section H fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.

(End of Clause)

H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987)

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

to comply with said regulations or requirements, the Contracting Of ficer, may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the work; thereaf ter, a start order for resumption of work may be issued at the discretion of the Contracting Officer. The Contractor shall make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage.

(End of Clause)

H.3 DISSEMINATION OF CONTRACT INFGRMATION (MAR 1987)

The Contractor shall comply with the attached requirement of NRC Manual Chapter M02 and 3206 (See Section J for List of Attachments) ragarding publications or any information, oral or written, concerning the work performed under this contract. Failure to comply with this clause shall be grounds for termination of this contract.

(End of Clause).

H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987)

Except as specifically authorized by this contract, or as otherwise approved by the Contracting Of ficer, information and other data developed or acquired by or furnished the Contractor in the performance uf this contract, shall be used only in connection with the work under this contract.

(End of Clause)

H.S CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (OMB CLEARANCE NUMBER 3150-0112) (MAR 1987)

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

1) Is not placed on a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and

PAGE 26 NRC-04-88-096 Section H

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 20-1.5402(f) in the activities covered by this clause.  ;

c. Work for Others. Notwithstanding any other provision of [

this contract, during the term of this contract, the Contractor agrees to forgo entering into consulting or other contractual -

arrangements with any firm or organization, the result of which may give rise to 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 n.

employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting .

Officer prior to execution of such contractual arrangement. l

d. Disclosure after award. o

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 organizationel conflicts of interest, as defined in 41 CFR 20-1.5402(a). ,

2) The Contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer. This statement 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 interest of the Government.

e. Access to and use of information. ,

1) If the Contractor in the performance of this contract '

obtalas access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act i of 1974 (Pub. L.93-579), or data which has not been released to the l public, the Contractor agrees not to:

[

(1) Use such information for any private purpose [

until the information has been released to the public; f

(11) Cor.ipete for work for the Commission based on  !

such information fo* a period of six (6) months after either the [

completion of this contract or the release of such information to  !

the public, whichever is first;

(

(iii) Submit an unsolicited proposal to the

. pAGE 27 NRC-04-88-096 Section H Government based on such information until one year af ter the release of such information to the public, or (iv) Release the informatfor wi'.hout 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.

l

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

the Contractor shall include this clause, including this paragraph, in subcontracts.of any tier. The terms "contract," "Contractor,"

and "Contracting Officer," shall be appropriately modified to preserve tFe Government's rights.

l

g. Remedies. For breach of any of the above prescriptions or )

for intentional nondisclosure or misrepresentation of any relevant l 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 (E00) in accordance with the procedures

- outilned in 20-1.5411.

f (End of Clause)

H.6 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED (MAR 1987)

The Government will not provide any equipment / property, notwithstanding any provisions of the specification (s) to the contrary.

(End of Clause)

~

PAGE 28 NRC-04-88-096 Section I PART II - CONTRACT CLAUSES SECTION I -

CONTRACT CLAUSES I.1 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (APR 1984)

This contract incorporates the following clauses by reference.

These clauses have the same force and effect as if they wers given in full text. Upon request, the Contracting Officer will make their full text available.

I. FEDERAL ACQUISITION RtGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS 52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES l 52.203-5 APR 1984 COVENANT AGAINST CONTINGENT FEES 52.203-6 JUL 1985 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT 52.215-1 APR 1984 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL 52.215-2 APR 1984 AUDIT -- NEGOTIATION 52.215-31 APR 1984 WAIVER OF FACILITIES CAPITAL COST OF MONEY 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.216-7 APR 1984 ALLOWABLE COST AND PAYMENT 52.216-8 APR 1984 FIXE 0 FEE 52.219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL O!SADVANTAGED BUSINESS CONCERNS 52.219-13 AUG 1986 UTILIZATION OF WOMEN- ,

DWNED SHALL BUSINESSES ,

52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS 52.220-4 APR 1984 LABOR SURPLUS AREA SUBCONTRACTING PROGRAM 52.222-1 APR 1984 NOTICE TO THE GOVERNMENT OF LABOR O!SPUTES 52.219-14 OCT 1937 L!ft!TATION OF SUBCONTRACTING

- - - - - - - t -

v- - -

. PAGE 29 NRC-04-88-096 Section I 52.222-3 APR 1984 CONVICT LABOR 52.222-26 APR 1984 EQUAL OPPORTUNITY 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS 52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 52.227-1 APR 1984 AUTHORIZATION AND CONSENT 52.227-2 APR 1984 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT 52.228-7 APR 1984 INSURANCE -- LIABILITY TO THIRD PERSONS 52.232-17 APR 1984 INTEREST 52.232-20 APR 1984 LIMITATION OF COST 52.232-23 JAN 1986 ASSIGNMENT OF CLAIMS 52.233-1 APR 1984 DISPUTES ALTERNATE I (APR 1984) 52.233-3 JUN 1985 PROTEST AFTER AWARD

, ALTERNATE I (JUN 1985) 52.242-1 APR 1984 NOTICE OF INTENT TO DISALLOW COSTS 52.243-2 AUG 1987 CHANGES -- COST-REIMBURSEMENT .

ALTERNATE I (APR 1984) )

52.244-2 JUL 1985 SUBCONTRACTS UNDER COST-REIMBURSEMENT I AND LETTER CONTRACTS  !

( JUL 1985) 52.244-5 APR 1984 COMPETITION IN SUBCONTRACTING l 52.249-6 MAY 1986 TERMINATION (COST-REIMBURSEMENT) 1 52.249-14 APR 1984 EXCUSABLE DELAYS

!.2 ANTI-KICKBACK PROCEDURES (FAR 52.203-7)

(a) Definitions. "Kickback," as used in this clause, means any money, fee, commission, credit, gift, gratuity, thing of value, or i

compensation of an'y kind which is provided, directly or indirectly, l to any prime Contractor, prime Contractor employee, subcontractor, or subcontractor employee for the purpose of improperly obtaining or rewarding favorable treatment in connection with a primo contract or in connection with a subcontract relating to a prime contract.

I "Person," as used in this clause, means a corporation, partnership, business association of any kind, trust, joint-stock company, or individual.

"Prime contract," as used in this clause, means a contract or contractual action entered into by the United States for the purposes of obtaining supplies, materials, equipment, or services of any kind.

1 I "Prime Contractor employee," as used in this clause, means any l

officer, partner, employee, or agent of a prime Contractor.

"Subcontract," as used in this clause, means a contract or contractual action entered into by a prime Contractor or sulcontractor for the purpose of obtaining supplies, materials, equipment, or services of any kind inder a prime contract.

i t

. PAGE 30 NRC-04-88-096 Section I "Subcontractor," as used in this clause, (1) means any person, other than the prime Contractor, who offers to furnish or furnishes any supplies, materials, equipment, or services of any kind under a prime contract or subcontract entered into in connection with any such prime contract, and (2) includes any person who offers to furnish or furnishes supplies to the prime Contractor or a higher tier subcontractor.

"Subcontractor employee," as used in this clause, means any of ficer, partt;er, exployee, or agent of a subcontractor.

(b) The Anti-kickback Act of 1986 (41 U.S.C. 51-58) (the Act),

prohibits any person from-- _

(1) Providing or attempting to provide or offering to provide any kickback; or (2) Soliciting, accepting, or attempting to accept any kickback; or (3) Including, directly or indirectly the amount of any kickback in the contract price charged by the prime Contractor to the United States or in the contract price charged by a subcontractor to a prime Contractor or a higher tier subcontractor.

(c)(1) The Contractor shall have in place and follow reasonable procedures designed to prevent and detect possible violations described in paragraph (b) of this clause in its own operations and direct business relationships.

(2) When the Contractor has reasonable grounds to believe that a violation described in paragraph (b) of this clause may have occurred, the Contractor shall promptly report in writing the possible violation. Such reports shall be made to the inspector general of the contracting agency, the head of the contracting agency if the agency does not have an inspector general, or the Department of Justice.

(3) The Contractor shall cooperate fully with any Federal -

agency investigating a possible violation described in paragraph (b) of this clause.

(4) Regardless of the contract tier at which a kickback was provided, accepted or charged under the contract in violation of paragraph (b) of this clause, the Contracting Of ficer may--

(1) Offset the amount of the kickback againist any monies owed by the bnited States under this contract and/or (ii) direct that the Centractor withhold from sums owed the subcontractor, the amount of kickbac'. The Contracting Officer may order that monies withheld under subdivision (c)(4)(fi) of this clause be paid over to the Government unless the Government has already offset those monies under subdivision (c)(4)(1) of this clause. In the latter case, the contractor shall notify the Contracting Officer when moaies are

'. PAGE 31 NRC-04-88-096 Section I withold.

(5) The Contractor agrees to incorporate the substance of this clause, including this subparagraph (c)(5), in all subcontracts under this contract. ,

(End of Clause)

I.3 SPECIAL 8(A) CONTRACT CONDITIONS (FAR 52.219-11) ( APR 1984)

The Small Business Administrattun (SBA) agrees to the following:

(a) To furnish the supplies or services set forth in this contract according to the specifications and the terms and conditions hereof by subcontracting with an eligible concern pursuant to the provisions of section 8(a) of the Small Business Act, as amended (15 U.S.C. 637(a)).

(b) That in the event SBA does not award a subcontract for all or a part of the work hereunde:', this contract may be terminated either in whole or in part without cost to either party.

(c) Delegates to the Nuclear RegulatoryCommission the responsibility for administering the subcontract to be awarded hereunder with complete authority to take any action on behalf of the Government under the terms and conditions of the subcontract; provided, however, that the Nuclear RegulatoryCommission shall give advance notice to the SBA before it issues a final notice terminating the right of a subcontractor to proceed with further performance, either in whole er in part, under the subcontract for default or for the convenience of the Government.

(d) That payments to be made under any subcontract awarded under this contract will be made directly to the subcontractor by the Nuclear RegulatoryCommission.

(e) That the subcontractor awarded a subcontract hereunder shall have the right of appeal from decisions of the Contra: ting Officer cognizable under the "Disputes" clause of said subcontract.

(End of Clause)

• PAGE 32 NRC-04-88-096 Section J PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS J,1 ATTACHMENTS (MAR 1987)

Attachment Number Title 1 NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) 2 . Billing Instructions 3 NRC Manual Chapter 3202 O

---

u...~.-,w u . . . n. ..

8 Aft:Amed /

PART 20-1 -- GENERAL Subpart 20-1.54--Contractor Organi:ational Conflicts of Interest Sec. '

20-1.5401 Scope and policy. -

20-1.5402 De.fini tions.

20-1.54.03 Criteria for recognizing contractor organizational sonflicts of interest.

20-1.5404 Representation.

20-1.5405 Contract clauses. ~

20-1.5405 1 General contract clause. -

20-1.5406-2 Special contract provisions.

20-1.5406 Evaluation, findings, and contract award, 20-1.5407 Conflicts identified af ter award, i 20-1.5408 (Reserved) 20-1.5409 (Reserved)

, 20-1.5410 Subcontractors. '

20-1.5411 Waiver.

20-1.5412 Remedies.

AtJTHORITY: Sec. 8. Pub. L.95-601, adding Sec.170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 120-1.5401 Scope and Policy (NRC)(a) It is the policy of the U.S. Nuclear Regulatory Comissionto avoid, e of interest. The NRC achieves this objective by requiring all prospective contractors to submit infonnation describing relationships, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of

] contract award.

(b) Contractor conflict of interest detennination cannot be made ,

autometically 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 l in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor ccnflict of interest situations t which might arise; however, examples are provided in these regulations to guide application of the policy. NRC contracting and program officials l must be alert to other situations which may warrant application of this l policy guidance. The ultimate test is: Hight the contractor, if awarded l the con;,ract, be placed in a position where its judgment may be biased, '

or where it may have an unfair competitive advantage?

1 (c) .The conflict of interest rule contained in this subpart applies l l . ter contractors and offerers only. Individuals or finns who have other

! relatfonships with NRC (e.g., parties to a licensing proceeding) are not i s covered by this regulation. This rule does not apply to the accuisition ,

of consulting services through the personnel appointment crocess, NRC.

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7590-01 s

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

120-1.5402 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.

r (d) ' Technical consulting and management support services" means internal assistance to a component of the NRC in the formulation or acministration of its programs, projects, or policies which normally re:;uire 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, unincorprated association, joint venture, co-sponsor, partnership, corocration, affiliates thereof, or their successors in interest, including their chief a:ecutives, directors, key personnel (identified in the contract), proposed consultants l or subcontractors, which is a party to a contract with the NRC.

(g) "Affiliates

• menns 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 part controls or has the power to control both (41 CFR I1-1.606-1(e)). y (h) "Subcontractor" means any subcontractor of any tier which l

performs supplies and work under a in subcontracts contract amountswith of $10,000 the NRC except or less. ' subcontracts for l (i) "Prospective contractor" or "offeror' means any person, firm, unincorporated association, joint venture, partnership, corporation, or i affiliates thereof, including its chief executive, directors, key personnel (icentified 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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• 759N01 (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.

I20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in detemining whether actual or potential organizational conflicts of interest exist: (1) Ara there conflicting roles which might bias a contractor's judgment in relation to its work 'or the NRC7 (2) May the contractor be given an unfair competitive advantage based on the performance of the contract?

l The ultimate detennination by NRC as to whether organizational conflicts of interest exist will be made in light of coninon sense and good business judgment based upon the relevant facts disclosed and the work to be perfonned. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel. will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or 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:

(1) Where the offeror or contractor provides advice and recomendations to the NRC in a technical area in which it is also providing consulting assistance in the same a'ree to any organization regulated by tr,e 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 offaror or contractor evaluates its own products or services, or the products or services of another ent'ity where the offerer or contractor has been substantially involved in their development or marketing.

l (iv) Where the award of a contract would otherwise result in i .

placing the offeror or contractor in a conflicting role in which its

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

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

3

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 120-1.5405-2 in the following circumstances:

(1) Where the offeror or contractor prepares specifications which .

are to be used in competitive procurements of products ~or' services -

covered by such specifications, j (ii) Where the offeror or contractor prepares plans for specific  !

approaches or methodologies that are to be incorporated into competitive i procurements using such approaches or methodologies.

(iii) Where the offeror or contractor is granted access to inferination  !

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

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

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 j may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor.

(c) Polley application guidance. The following examples are

,' illustrative only and are not intended to identify and. resolve all i

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 i RFP. The XYZ Corp. is one of several companies considered to be technically  ;

j well qualified. In response to the inquiry ir, the RTP, the XYZ Corp.  ;

l advises that it is currently performing similar analyses for the reactor l manufacturer.

Guidance. An NRC contract for that particular work norpally,would  !

I not be awarded to the XYZ Corp. because it would be placed in a position l in which its judgment could be biased in relationship to its work for >

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

(2) Example. The A8C Corp., in response to a RFP, proposes te l perfors certain ar,alyses of a reactor component which are unique to one ,

type of advanced reactor. As is the case with other technically qualified -  !

companies respor, ding to the RFP, the ABC Corp. is performing various  !

projects for sr.veral different Utility clients. None of the ABC Corp.  !

projects have any relationship to the work called for in the RFP. Based l on the NRC evaluation, the ABC Corp is considered to be the best qualified  ;

company to perforin the work outlined in the RFP. l 4

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7590 01 Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC 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 comercial 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 pr'otection of the public. Only ee manufacturer has extensive experience wit.h that type of plant. Consequently, that compani is the only one with whom NRC can contract which can develop and conduct the testing programs required to cbtain the data in reasonable time. That company has a definite interest in any NRC decisions that might result from the data produced because those deciitons affect the reacter's design and thus the company's costs.

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

Since the nature of the work required is vitally important in tems of NRC's responsibilitics and no reasonable siternative exists, a waiver of the plicy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attantion to the establishment of protective mechanisms to gesed against bias.

(4) Example. The ABC Co. submits a proposa'l for a new system for evaluaitag 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 practiasility has been dernonstrated. Other companies in this business art using older systems for evaluation of the gecific reactor component.

Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulatet thAt no information produced under the Contract will be used in the contractor'1 private activities unless such infomation has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to otners so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes infomation to the contractor for the perfomance 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 infom the NRC contracting officer of all situations in which the infomation developed under the

. contract is proposed to be used.

5-

I 759'0-01 (5) Example. The ABC Corp., in response to a RFP propoAes to assemble a map showing certain seismological features of the Appalachian fold belt. In accordance with the representation in the RFP and  !

120-1.5403(b)(1)(i), ABC Corp. infoms the NRC that it is presently doing seistrolog'ical studies for several utilities in the Eastern United i States but none of the sites are within the geographic area contemplated )

by the NRC stucy. l Guidance. The contracting officer would normally conclude that ,

award of a contract would r.ot place ABC Corp. in a conflicting role '

where its udgment might be biased. The work for others clause of $ 20-1.5405-1(c would preclude ABC Corp. from accepting work during the tem of the NRC contract w'11ch 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 perforwnee of s contract is not relevant to a detemination 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 compet'itive or a sole source basis.

120-1.6404 Representation

(a) The following procedures are designed to assist'the NRC contracting

, officer in detemining whether situations or relationships exist which r,"dy 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)Evaluationservicesor

. activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest provision art noted in the solicitation and would

- be included in tile resulting con; tract. This representation requirement shall also apply to all eedifications for additional effort under the contract except thote issued under the "changes' clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.

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75h0-01 m.

l

' ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION

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

The award to of a contract or the tredification of an

'. existing. contract does ( ) or does not ( ) involve situations or relationships r of the type set forth in 41 CFR'120-1.5403(b)(1).

ball(c) Instructions to offerors. The following shall be included in NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 120-1.5403(b)(1) are involved, or the contracting officer otherwise detennines that potential organizational conflicts exist, the offerer 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 detennines that crganizational (1) Impose appropriata conflicts exist, the following actions may)be taken:

conditions which avoid such conflicts. (ii disqualify the offerer, or (iii) detennine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provi: ions of 120-1.5411.

(2) The re'fusal to provide the representation required by 120-1.5404(b) (r upon request of the contracting officer the facts required by 120-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentstion of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminatad. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law cr the resulting contract.

(d) The offerer may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exc1'usion. Any such proposed exclusto9 by an offeror will be considered by the NRC in the evaluation of proposals. If the l NRC considers the proposed excluded work to be an essential or integral i part of the required work and its exclusion would work to the detriment I of the competitive posture of the other offerers, the proposal must be

! rejected as unacceptable.

(a) .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 offerer will be pennitted to corract the omission.

5 20-1.5405 Contract clauses l

's 20-1.5405-1 General contract clause l

7590 01 All contracts of the types set forth in i 20-1.5404(b) shall include the following clauses:

(a) Purpose.

The primary (purpose of this clause is to aid in1) 1s not placed in a con ensuring that the contractor:

because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not ootain an unfair competitive advantage over other parties by virtue of its performance of this contract.

(b) Scope. The restrictions described herein shall apply to .

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

(c) Vork 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 fim or organization, the result of which may give rise to a conflict of interest with respect to the work being perfomed under this contract.

The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the ,

contractor believes with respect to itself or any such employwe 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 af ter award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of 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 im.ediate and full disclosure in writing to the contracting officer.

This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigat.a such .

conflicts. The NRC may, however, teminate the contract for convenience if it deems such temination to be in the best interests of the government.

(e) Access to and use of information. (1)Ifthecontractorin the perfomance of this. contract obtains access to infomation, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the contractor agrees not jo: (1) Use such released infomation for any(private to the public; purpose ii) compete until for work forthe the infomation Comission based has been

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7590-01 on such information for a period of six (6) months af ter either the completion of this contract or the release of such information to the public, whichever is first, (iii) submit an unsolicited proposal to the  !

government based on such information until one year af ter 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 3 20-1.5402(h), the contractor shall include this clause, including this paragraph, in ,

subcontracts of any tier. The terms "contract," "r.ontractor," and "contracting officer,"*shall be appropriately modified to preserve the goverrunent'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 f aith, the government my  ;

terminate the contract for default, disqualify the contractor from '

subsequent contractaal efforts, and pursue other remedies as may be .

permitted by law or this contract. l (h) Waiver. .A request for waiver under this clause shall be l directed in writing through the contracting officer to the Executive L Director for Operations (E00) in accordance with the procedures outlined in i20 1.5411.  :

l20 1.5405-2 5pecial contract provisions, t

!! it is determined from the nature of the proposed contract  !

(a) that organizational conflicts of inte.est exist, the contracting officer  ;

N y determine that such conflict can be avoided or after cotaining a j waiver in accordance with 120 1.5411. neutralized through the use of an (

appropriate special contract provision, if appropriate, the offeror may  !

negotiate tne. terms and conditions of these clauses, including the s

extent and time period of any suen restriction. These provisions incluce but are nat limited to:

.g.

i

7590-01 (1) Hardware exclusion clauses which prohibit the acceptance of orocuction contracts following a related nonproduction contract previously performed by the contractor; (2) Software exclusion clauses; (3) Clauses wnich require the contractor (and certain of his key personnel) to avoid certain organizational conflicts of interest; and (4) Clauses wnich provide for protection of confidential data and  !

guard against its unautnorizac use, ,

(b) The following additional contract clause may be included as section (i) in tne clause set forth in 1201.5405-1 when it is determinee tnat 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, suocontracts, or proposals therefor (solicited or unsolicited} which stem cirectly from the contractor's perfomance of work under this contract. Furthermore, unless so directed in writing by tne contracting officer, the contractor shall not perfom any technical consulting or management suppcrt services work or evaluation activities uncer this contract on any of its products or services or the products or services of anotner firm if'tne 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 i

shall be ineligible to perform or participate in the initial contractual

! effort wnich 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 50 directed in writing by the contracting officer, in which case tne restriction in tnis subparagraph shall not apply.

l (3) Nothing in this otragraph shall creclude the contractor from offering or selling its standard comercial items to the government.

1 20-1.5406 Evaluation, findings, and contract award l The contracting officer will evaluate all relevant facts submitted f by an offeror pursuant to the representation. requirements of 1201.5404(b) and other relevant infomation. After evaluating this information agains't tne criteria ofJ20 1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror. If it has oeen detemined tnat conflicts of interest exist, ther. the contracting of ficer shall ettner

(4) Disqualify,tne offeror from award,

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7590-01 1

(b) Avoid or eliminate such conflicts by appropriate measures; or 4

(c) Award the contract under the waiver provision of I20-l'.5411.

. L 4

l20-1.5'407 Conflicts identified af ter award.

If potential organizational conflicts of interest are identified af tar award with respect to a particular contractor, thi centracting ~

ofricer 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 clayses required by 120-1.5405, the contracting  ;

4 officer will take every reasenable action to avoid, eliminate, or, after obtaining a waiver in accordance with 120-1.5411, neutralize the effects ,

of the identif;td coni 5ict.

520-i 5108 (Reserved)  !

i l

! 570 1.5409 (Reserved) i 120-1.5410 Subcontracts J

. The contracting officer shall require offerors and contractors to  !

4 submit'a representation statement in accordance with 120-1.5404(b) from

! subcontractor: and consultants. The contracting officer shall require

] the contractor to include contract clauses in accordance with 120-1.5405 i

in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection, i

120-1.5411 Va i, a r  !

In the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made ey the contracting l officer with tne advice and concurrence of the prograra office director and the Office of Executive Legal Director. Upon se recommendation of (

the contracting officer, and af ter consultation - the 0ffice 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 j 1*. , l

'. action shall be strictly limites to th'ese situations in whic'u I

.) ee <cck to iu cerformed under contract is vital to the NRC program; (f* t work cc as i satisfactorily performed except by a contractor

• , 'ise'to a question of 'conflict of interes?t and (3) l i

< to 'i.

t. t s chnical review and suotryision methods can be  !'

pu s~ - i- . > ' utrali:e the conflict. For any such waivers, the j.is s ., o ra .groval occuments shall be placed in the Public  !

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7590 01 s

$ 20- 1. 5412 Remedies In addition to such other remedies as may be oemitted by law or contract for a Dreach 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 r.

may debar the contractor from subsequent NRC contracts.

Dated at,yufiineten. 0.Cthis 27th _ day of Ma'rch _ 1979.

For the Nuclear Regulatory Comission CftuuSamuel M "(. ' G ~C nil k uk. '

Secretary of the Comission e

) .

A? k 4 .:.

(REVISED 4/47)

!!LLlHG INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS General.

The contractor shall submit vouchers for cost-reimburseeent -

in the manner sample souchtr. and forrat described herein and as illustrated in the Number of Cooies. . An original and two copies should be railed to the NRL office identified below.

Frequency.

The contractor shall submit claims for reimbursenent once each month unless Otherwihe Suthorized by the Contracting Officer.

Form.-

Claims shall be submitted on the Form DC-3

• Voucher fer Purchases anc Services Contracting Officer. Otter Than Personal.' These foras are available frem the (The instructions for preparation and itemization of the voucher are shown on the form.)

Silline of Costs Afte'r_ Exciration of Contract. If cetts are incurred curing the contract perico and claimeo af ter the costract has expired, the period during which these costs were incerred must be cited.

Currency.

Billings may be expressed in the currency norvally used by the contractor in maintaining his accoun'ing recordst payments will be i

made in that currency. However, the U $. dollar equivalent for all invoices paid under the contract may not exceed the total U. 5. dollars authorized in the contract.

Superse s sion.

75ese instructions supersede all previous billing instructions. -

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(h) Direct Cog . Insert the major cost elementa.

(1)

Otreet Lshe - This consists of salaries and weget peld (e.-

accrued) for direct performance of the contract itaatted as follows:

Lnber Labor br Ceteeorg neset'dted Cumulattwe pours 3111ed g g  % gig 1,4 (2)~ fetreel' enefita - This represente fringe beneff ts applicable to ladicato directthe later anottled as a dimet coat. Where a rate is used, rets. Fria noti be identifted here. ge benefite iac19(ed in direet 13her sheuld '

(3) Otreet Jeut ment tiens itst etch ' tem costin . - Per edwestional institu-ancy of moreithen ene year.g' 55GQ er more, and having a life espect-institutions Itst each ites costinPer centractere other than educattenal aspectancy of more then one veer. g $200 er more, and having a life i

List only these itses of equipseet Mr which retabursement is rw r.ated. A reference shall be made to the following (as applicable): (1) the ites number for the spectftc stece of equipment listed in the property sche 641e of the centratti (2) the Centracting Officer's opprovat letter if the aquipan', is not covered by the property schedulet er (3) be preceded by en ast.

ertsk (*) if the eeutpoent is below the soproval level. Furthee Iteatretten of vouchers shall only be required for items having specific 11mitatten6 tot forth in the contract.

(4) 14s terte) l. fvositesmand Other Empeadable ! tees consumable me ,ertals And supe 11es and equipment sthar than . These are describee in (3) abeyc. that i

(5) Premius nourly rate, NF = This is remuneretten in 4 Cels of t'-a beste sRequires written approval of Contracting Officer.)

i (4)

Consultants' Fee . The supporting inforwetton must incivde the neee. hourly or daily rate of tM censultant and reference the NRC 499 revel (if nat specifically approved 1n the ortgtnel Contract).

I (7)

Its territirtes, Travel . tomestic possessions, traveland ts travel re sda twithto it skuldthe beUe.ited htlled States.

separately free forett e travel. Travel costs titiled will provide i.

i fer individual per Otan. and all supporting inforsatten for eect; trip tattn.

t' 1

I 2

l g

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

n_. - - - - - , _ , - . - - . . . _ - .-- - --- _ ,. ,-c.--.,n..

. o All costs associated with each trip must be shown in the following format: (unless the organtaattee's travel peltcy has been wegotiated and approved by NRC)

Os te T_raveler Des tine t ten pwesese Cast trea 3 Free 3

1. Airfare

2. Rental Car Z

3. Lacal Tvesus -

4 per Dies Days 9

5. Meal :

• 4 h treakfast lunch Dinner

• If not included in per Dieu.

6. Tips. Misc.

(!temize if more than 510.00)

(8) Subcontracts - Include all costs peld to approved subcontractors durtns billing period. This includes the details of the subc'entract terms (i.e.,

cost-;:lus. fixed-fee, direct labor, indirect costs travel, profit, etc.)

(9) Other - List s11 other direct costs by cost elements and dollar amount s e pa ra tely.

. (1) Indirect Casts--Overhead - Cite the Termula (rate and base) in effect durinc Be time the cost was incurred and for which retsbursement is clateed.

(j) Fited-Fee - If the centract provides for a fined-fee it must be claimed as provided for by the contract. Cite the formula er method of computation.

Centractor may btil for fhed fee only up to 855 of total fee.

(t) 6unt Billed for Current perted . Insert the assunt billed for the major rsst elements, adjustment, and adjusted assunts for the period.

3

\ ,-

(1)

Cumulative Amou .t from Inception to Date of this 84111re . Insert the etmulative amounts billed for the major cost elements and adjusted amounts clateed during this contract.

(s) Total Amounts Claimed - Insert the total amounts claimed for the current and cumulative pertois.

(n) Mjustments - This includes amou.. conceded by the ccntractor, outstand.

Ing suspensions, and disapprovals subject to appeal.

(o) Grand Total _s_

4

.4.

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WCHCR5 TOW fUKCILASLS AAD 5Luv!Ct5 01HER llLAN PERSONA!.

P SWLC VCUCHCR Pavor s Mase and Address T .'5. Auckar Regulatory Comission (a) Contract Nweer NRC.10-81-624 Olvision of Accounting and Finance (b) Title of Project "Study of Nuclear waste Office of Resource Management concepts

• Attention: GOV /COM Acets Section Washington. 0.C. 20555 (c) Voucher Mober 003 Payee's Maar and Address

• NW W The National Bank (d) Date Voucher Pr% pared 10/18/62 -

100 Main Street or Anywhere. U.S. A. ,

Anywhere. U.S.A. Assignee for ACC CORP, (e) Total Esties"wd Cost of Contract Anywhe re . U.S. A. 5350.000.00 laditvidual to Cont (f) Total Flad-Fee Aegarding This Voucher: 517.500.00 t

hame: Harry Murphy Tel. No.: 215 321 8654 l(g) This itucher represents retreurseable costs from 3/1/82 thru 3/30/P?

Ascunt Billed (k) Current Period (1) Inception to Date (1) Direct Labor * $2,400 $6.800 ~

(2) Fringe Benef tts p 16.5 ' --

i (if computed as percentace) 600 1.200 _

(3) Of rec t ft.000 (qutpaent

• 5.000 l

(4) heterials. Supplies and '

Other (apendable ' Itees

• 2.000 4.000 ~ ~'

150 (5) freanum Pav .' 100 l,

(6) Consultants

• 100 100 (7) Travel . Do estie

• 200 PM i Foreton *

~

~

200 20P

! (8) -Subcontract

• 9,0M

~

! (9) Other costs

• J.000

• 'I'

l(t) IWOIRECT C05T5

' A) Overhead 00

• of Total Direct Costs

' 513.600 $2n.Mo (IndtcateT4Ie) , _ , _

i 5vbtotal 527.200 559.vm

8) General A Assinistrative Espense ' d64** - ~'

J .

(i . 4 w I? *. of Cott (1ewnts hos.19. A Total Costs $30.464 S M .7tal (j) FIIt0.F([ ( AAA(0 (Formula) 1.513 1.4tm (m) Total Apovnts Claimed 531.987 $H.lv _

l (n) Adjustments

'etstanding Suspensions

• 1.700 1. 7M (n) r. rand Totals $30.?HI $ 8' ? . 4 '

(kliAllRES SurrtiR1thri thf ormfloa.)

( *.C C A111.Cil(0. )

If . 3 . / t:.*

5

SAMPLE SUPPORTING INFORMATION

1) Direct Labor $2400 t,aber Laber Hours Nours Ca tegory Negotia ted Cumulative Billed Rate Total Hours Billed sentor Engineer ! 2400 100 $14.00 $1400 Engineer 975 1500 50 $10.00 $500 445 Computer Analyst 700

, 100 $5.00 g 320 _

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

4) Materials, Supplies & Other Escencable Item 10 Rador. Tubes 9 $110.00 =

$1100.00 6 Pairs Electrostatte Gloves 0 $150.00 =

$900.00 370 6

5) Premium Pay waiter Murphy - 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br />.9 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.)

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

?) Travel I Cate 7 31er Des tina tion Purpo se Costs reem g From &

3/1/82 3/6/82 William King Chicago. Wash., Meeting with 1 Il DC Project 2)1 Rental Atrfare CarL80.00 315.00 Officer 4) Per Otee . 2 Days' 9 $50.00 = $100.00 ~

6 ) Ti ps , Mt sc. 5 5.00 TOTAL: $200 s

8) Subeentracts XYZ CORP. (CPFF)

Of rect t. abor: - 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> 9 $20,00 per hour = $1600.00 0/H 0 505 = $800.00 Travel - 2 Trips - Wash. DC 9 $200 = $400.00 to 80ston, MA Profit 0 75 = $200.00 TOTAL: 33000.00 (j) Fixed-Fee (Formula)

(55)

$350,000 I $5 = $17.500 Total Fixed fee for this contract

$27,200 I 51 = $1360 Fee Stiled for this Period (n) Mjust=nts

$1700 - Indicates secunt withheld fran voucher f001, now approved by Contracting Officer letter 3/10/82.

t 4

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- _ - . _ _ ~ - - .-

ArVachm en d 3

• s  ;

Form NRC.489 (1 76)

U. 5. NUCLEAR REGULATORY COMMIS$1ON NRC MANUAL TRAN5MITTAL NOTICE C..A.P;7F. i;?.;-3202 F'.:Li AC ; CF EC:i? CAL FIPO.5CS FEFA*.D BY NE;  !

i .

CC GA28.S.

e. . .=.e.t fr. m. w. . .w. _wA INC'CI?C.~.v.PEPC.*TS

,r_.i.

a1w_w w_.-e u P."PA.*ED L'h~.EE c

$UPERSEDED: TRAN5MITTED: _.

Number Date Number Date TN 1200- 21 Cha pte, E -3202 h/29/22 Chapter NRC-?202 6/29/b 1

Page Page -

.. - :.< ,,.c.

" ~ ,3n. -'  ;- / #..* , c.- -

4 Appendia k / c. -- . . c. e. Appendia REMARK 5:

1

'~his revisi

n Of Cha;ter 32:2 ex;ards the :ha;ter fr:n :: vers e :f un:;assif,ied

...,a a rep

.. .e. .,.-.a....

r:s :: in:1,.de . ,. .the,,rarkir,s

, ,.. . .se .. ).ar.d a a.h, r,dlir.g

... cf,,,, sensitive i

. . . .... ... . . . . . . .......t. .s e .

g Inte:-ati:n, Safeguards Ir.f:rati:n, Proprietary Infe:- ation) ar.d i classified ir.fT . a-1:n (7:; Seent, Secret, and Confidential). A se::i:r has als: :eer added :: set f:r:n pn::edums f r the hr.diir.c-(

t Of ur.:;a.:1.#ief re;;rts :n !.":: ::c;trative pr:p a. s with f:reir- f i g:ve.v. .er.:s ar.d :rga .i:sticr.: ar.d with 'J.S. indust:i.

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U.S. hTCLEAR REGULATORY CO.WilSSION NRC MAhTAL voluee: 3000 Infomation and Foreign Activities Part ; 3200 ' Technical Infomation and Document Control ADM CN APTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PUR5UANT TO INTERAGENCY AGREEMENTS 2000 COVIRAGE This chapter and its appenda handbook establish responsibilities , basic requ2 rem ents . standards and procedures fer the documentation, production and disseminatten of technical reports prepared by NRC consultants and grantees and by NRC contractors and thest subcontractors, includ:.ng reports prepared under er Tursuant to materagency agreements or memorandums of u.n d ers tan du:g. The.se reports are .bereafter referred to as centractor re-port s . This chapter dets not cover NRC staff-generated documents. NRC docket material. or the documents generated by NRC boards. pan els .

[ advisory committees and Offices that report to the Commission.

\ '

3:03-02 OBJECTIVES 01 to assure production .rnd dissemination of technical reports as requ: red by tae .E.nergy Rearg=nt% Act of 1974 and the Freed:m cf Infc'r-mution Act 002 to assure that disseminat2on of technical reports is consistent with requirements for public availability of .information.

013 to assure that national . security, patent rights, copyrights, proprie -

!ary raghts and nghts in other sensstave unclas sified information are not comproratsed by the inhese, distr h"*, or . dissemination of technical reports from RRC.

04 to assure that formal NRC contractor reports will carry the regis-se:rvd NRC designation EHard/CR or KUREC/CP as the prime identification.

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

.3200-03 AISPONSIBILITIES AND AUTHORITIES C31 The Director. Offier of Administration:

a. deveJops and samtains, in consultation with Directors of Offices and Divisicas and RegionaJ AdmLnistrators. NRC standards, proce-(e dures and guides for the production and dissemination of technical contractor reports.

Approved: August 29. 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED N F C 2 202 C 3:' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

. periodically surveys report activities throughout NRC to ascertam tha' the provisions of this chapter are adequate and are bemg implemen'.ed, makes any changes needed.

033 The Direeter. Dwision of Technical Information and Document C on t re) .

a develops and administers a central report control system for identi-fymg. prmtmg and distributing contractor reports and respondmg to requests for unclassified reports.

b. develeps and maintains guides and standards for the documentation, formatting , prmtmg, dis s emina tion ', and pubhc sale of unclassified contractor reports, e assures that a system exists for review of unclassified contractor reperts fer adherence to patent, copyright and disclosure policies prier te dissemmation d estathshes and admmisters interagency agreements necessary for the dissemination and pubhe sale of unclassified contractor reports anc centrols dupheation and prmtmg of contractor reports to assure adherence to the Government Prmting and Bindmr Regulations issued by the Jemt Committee on Prmtmg (JCP), Congress of the United States .

e in respense te requests of Directors of Offices and Regional Ad:.mistraters , estabhshes distributien data banks, maintains official standard distribution bsts for automatic distribution of unclassified contractor reports. and controls distribution to assure adherence to the Gove rnmer,t Prmitng and Bmdtng Regulations, the Privacy Act.

and the Freedom of Infermation Act.

033 Directors of Offsees and Repenal Ad=tnistrators:

a estabbsh the contract or Standard Order for Work

• provisions, meluding those required by this chapter and its appendn; Chapter NRC 3203, Distribution of Unclassified NRC Staff- and Contractor-Generated Documents and its appendix: Chapter NRC-0260 Prmt-mg, Copymg, Graphics and Ps.otography and its appendix; and Chapter NRC 1102, Procedures for Placement of Work with the Drpartment of Energy. In the Statement of Work:

(1) specify what reports wW be reviewed for policy, management, and legal issues by NRC staff in draft prior to printing and distribution . If the .eport is to be reviewed by NRC staff, give the conditions under which the contractor may pubbsh documents in the event of unresolvable differences relative to the draf t, including the type of disclaimer to be used in addi-tien te the standard gove, nment disclaimer (see Ixhibit 6).

ln the case of DOE work, this is NRC Form 173, Standard Order for DOE Werk. See Chapter NRC Il02.

., Approved : August 29, 1954

l r

PUBLICATION OF TECHNICAL REPORTS PREPARED BI  !

s NRC CONTRACTORS, INCLUDING REPORTS PREPARED l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202 034 {

(2) provide for the reviews necessary to insure that the national security , patent rights , copyrights, proprietary rights and .

nghts in other sensitive unclassified information are not l compromised by the release or dissemination of the reports.  !

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

~

Appendix, Part V). .

(3) specify that all fomal reports carry NUREG/CR or NUREG/CP f numbers as the prune identification, as illustrated in the i appendix.

(4) specify whether formal reports shall be printed by NRC or 'ne contractor if the contractor has a JCP authorized federal print-ing plant (see Appendix. Parts 11 and IV).

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

(6) establish the number of copies the contractor may retain er request for internal and external distribution and charge

( against NRC. Written justification must be provided, and' approval obtained of the NRC JCP representative (the Director.

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

(7) assure the protection of classified and sensitive unclassified infonnation , if a r.y . 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 (les) for contractor reports to the Division of Technical Infomation 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 Cfrice er the I.xecutive w Directer provides legal review and advice to NRC staff on questions regsrding anventions, patents, proprietary information, use of copyrighted matenal, national secunty, and other sansitive unclassified and classified information.

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

Approved: August 29. 1964 .

s

Pl*BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONThACTORS. INCLUDING REPORTS PREPARED NRC 3207 036 1*NDER OR PURSl' ANT TO INTER AGENCY AGREEMENTS 03t The D: rector. Division of Security:

a administers the overall infomation security program which includes ,

management of the security classification program and other programs

.for the protection of sensitive unclassified infor nation.

t. advises staff cf NRC Offices and Regions on the preparation and i handhng of reports containing classified, proprietary and other sen-4 sitive unclassified mfomation.

037 The Directer. 0 vision of Contreets:

a coordmates the flow of au reports to and from contractors (other thar. DOE contractors) where such reports may result in alterations e the terms and conditions of applicable contracts as they pertam te report producticn and distribution.

t advises the contractor as to the source and method for cbtainmg  ;

reperts required frem the government for performance of the ,

centract. i

c. previces contracter with copies of NRC Chapters 0260, 3202, 3203.

30 *. and 3210 when appropriate.

d detemmes when requests for proposals and invitations for bids, as wet as subsequent contracts, should melude statements requiring-contractor compliance with Chapters NRC-3202. 3201, and 3210 and the Government Prmtmg and Dmding Regulations.

i i e ensures that appropriate clauses are included m contracts regardmg the private use and protection of classified, proprietary and other

• sensitive un:lassified information.

3202 04 DEFINITIONS * {

04) camera ready copv - pages ready for printing by the offset prmting  !

4 process. Tnis is a echoquial tem used even though the printmg process may not involve the so caUed copy camera (see also reproducible masters). j 042 central report control system - means for developing and maintaming the policies, procedures and gundes needed to identify and produce regulatory -

and technical reports and to assure adherence to requirements and standards for documentation. formatting printing and dis,tribution.

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

accordance with the provisions of a contract or under or pursuant to an mteragency agreement, l i

Words underscored in defmitions are also defmed in Ust.

Approved: August 29, 1984

l f

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

. NRC CONTRACTORS, INCLUDING REPORTS PREPARED ,

UNDER OR PI'HSU ANT TO INTER AGENCY AGREEMENTS NRC 3202-044 044 copyright - a form of protection provided by the laws of the United States (Title 17 U.S. Code) to the authors rf "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 mate-fal riay not be reproduced without the permission of the auther or publisher, t

045 disseminate - to dancunce the publication of reports and make them ~

available for free distribution, sale or copying. ~

l 046 distribute to dispense reports to specific organizstions and tndi-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 mnin-tained by the Division of Technical Information and Document Control based on the requests of he originating Office or Region.

04T 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), organtration identification and contract number (or FIN number), date and availabtlity.  ;

048 draf t or f!nal material for inclusien in "Safetv Evaluation Reports"  !

f,,- or "Environmental statem=nts" (ES) - written matertal requested for mput to 5TRs or E5s to be ist.ned as NUREGs. Such material may be edited or modi- L fled at the discretion of the NRC staff.

049 formal technteal reports - the final product of research, an original i

investiga tion . or a signthcant ecmpilation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive long term protects. formal monthly, quarterly or semiannual and annual peri- t odic technical reports may be required. A draf t of the final or periodic report i may be requested for comment prior to preparation of the camera ready cop.". ,

1 l

0410 NRC profeet manarer - the NRC staff member responsible for the l work perfonned by consultants or contractors and their subcontractors, or l 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 L

- research, development, commercial or financial information, exempt from manda-  !

l tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under f

10 CFR Part 9 (Section 9.5)t and other inforination submitted m confidence to the NRC by a foreign source and determined to be unclassified by the NRC.

- 0413 publicly available documents information (reports and references) l which is avatlable m the NRC Pubbe Document Room (PDR) for public mspec-( tion and copytng or available in the pub' Lie domain. l l

l Approved: August 29, 1984 f l

~

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED '

NRC 3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS e

0414 reproducible masters es nera readv eepy which includes (1) cragi-nals of hne crawmts ter prmts tnat can be copied), (2) glossy prmts cf bla ck and white photographs (colored photographs cannot be reproduced).

(3) origmal typed or prmted text, tables, cover, title page contents and abstract, or (4) other forms of the materials hated in (1). (2) and (3) that a prmter can reproduce. '

0415 technical reports information on the technical aspeits of centract work. These ony be mterim or fmal technical letter reports, draf t or fmal formal technical reports for pubhcation m the NUREG/CR or NUREC/CP series, or draf t er ftnal maternal for inclusion in SERs or ESs.

0416 technical letter reports (also caUed technical evaluation reports) intera r. or fmal letters that provide information c 6 the technical aspects of [

contract work. Interim technical letter reports may be required at various stages of a project. These reports usuaUy are foDowed by a final technical letter report or a formal technical report. Final technical letter reports are usuaUy specified m situations where the technical work is review and eval- l untion of work of others or work to be used by the staff in the Ucensing and regulation process. Interim letter reports may include, but are not hmited to, mformal (interim) progress reports , quick look reports, data reports. '

sthtus summary reports, project descriptions, pre tested predictions, model verifications , experiment safety analyses, experiment operating procedures, facibty certification reports, and test result reports.

0417 unicue identification - NRC identification used on a report and its attachments, re vision s , and supplements that is not used on any other report .

3202-05 B ASIC REQt'!REMENTS .

05! Appheabihty . The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those .

werking under interagency agreements, whose contracts require the prepara-  ;

tien of technical reports. Because of the unique requireteents of NRC boards, p anels , advisory committees and Offices which report directly to the .

Commission, the handhng of reports prepared by consultants and contractors  ;

to them are governed by the Board or Panel Chairman and, in tht case of advisory committees, by the Advisory Committee Management Officer, or the  !

Commission. These exceptions do not pre;;1ude the use of the NUREG/CR t series designation on reports prepared for these satities that are to be given wide pubbe dassemination; 052 Torus. NRC Form 426A, 'Pubucation Release for Unclassified NRC t Contractor and Consultant Reports * (Exhibit 5), NRC Form 335, 'Bibbo-  ;

graphie Data Sheet (Exhibit 7), and NRC Form IM,

• Cover Sheet for Reports i Contaming Proprietary Information" (Exhibit 19), shad be used as provided in the appendix.

053 Appendix 3202. This appendix contains standards and procedures

,I 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, 1964

. i

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPAhED NRC 3202 0414 l'NDER OR PURSUANT TO INTER AGENCY AGREEMENTS N14 reproducible masters - camera-ready eepy which includes (1) engi-nals cf bne crawmgs ter prmts that can be copied), (2) glossy prmis cf black and white photographs (colorec photographs cannot be reproduced).

(3) origmal typed or prmted text, tables, cover, title page, contents and abstract, or (4) other foms of the materials hated in (1), (2) and (3) that a prmter can reproduce.

N15 technical reports infomation on the technical aspects of contract work These cay be mterim or fmal technical letter reports, draf t or fmal femal technical reports for pubbcation m the NUREG/CR or NUREG/CP senes, or draf t er fmal material for inclusion in SERs or ESs.

NIE tiehnical letter reports (also caUed technical evaluation reports) mterut or fmal letters that provide information on the technical aspects of contract work. Interun technical letter reports may be required at vanous stages of a project. These reports usuaUy are foUowed by a final technical letter report or a fennal techr.ical report. Final tecnnical letter reports are usuaUy specified m situations where the technical work is review and eval-untien of work of others or work to be used by the staff in the beensing and regulation process. Interim letter reports may include, but are not lunited te, mformal (mterim) progress reports, quick look reports, data reports, status summery reports, project descriptions, pre tested predictions, model verifications , experiment safety analyses, experiment operating procedures, f acibty certification reports , and test resu'.t reports.

N17 unique identification - NRC identification used on a report and its at tachments , revision s , and supplements that is not used on any other report 3202 05 B ASIC REQl'!REMENTS ,

05) A pplicabibt y . 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 ,

Commissien, the handhng of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory evaucittees, by the Advisory Committee Management Officer, or the i Commission. These exceptions do not preclude the use of the NUREG/CR series desigTintion on reports prepared for these antities that are to be given ,

wide pubbe dissemination.

052 Forms. NRC Form 42GA, "Pubhcation Release for Unclassified NRC [

Contractor and Consultant Reports * (Exhibit 5), NRC Form 333, 'Biblio-graphie Data Sheet" (Exhibit 7), and NRC Form 190. "Cover 3heet for Reports Contaming Proprietary Information" (Exhibit 19), shall be used as provided in the appendix.

053 Appendix 3202. This appendix contains standards and procedures

,I for the preparation of reporting requirement portions of Statements of Work, .

i and for the documentation, production, and dissemination of technical reports i prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements.

Approved : August 29, 1954

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED '

' ,. UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NF C 3002 054 I 1

('

054 Pre::aration Requirements

a. Reports to be Printed bv NRC. All contractor reports to be printed by NRC shall ce prepared according to Appendix 3202. The repre-ducible masters for the requisite distribution shall be transmitted to the Division of Technical information and Document Control acccm-panied by completed NRC Form 426A and NRC Form 335.

b. Reports Printed bv Authorized Federal Primtnr Plants. All contrac-tor reports to be printed by the contractor (as specified by the contract, agreement, or standard order for work) chall be prepared according to Appendix 3202, and a reproducible master and suffi-cient copies for standard and incidental distribution shall be sup-plied to the Division cf Technical Information and Document Centrol, accompanied by completed NRC Form 426A signed by the authrented contractor official. Each such report shall include, as the last p...,e, a completed NRC Form 335.

055 References. The NRC chapters referenced and NUREG 0794 tref j) and NUREC Oc50 tref. :) are avatlable from the lhvisien of Technical Informa-tion and Document Control . The other publications are available frem the Government Printing Office.

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

'\ b. Chapter and Appendix NRC 2101, "NRC Security Program."

c.

• Cr.a p t e r NRC-3203. 'Distributton of Unclassified NRC Staff- and Centractor Generated Docur. tents."

d. Chi.pte r N R C I l 0'.' . "Procedures for Placement of Work witn the Department of Energy."

e Chapter NRC-3206. "NRC Contractor Speeches, Papers and Journal Artteles on Regulatory and Technical Sublects."

f. Chapter NRC-3207, "Conferences and Conference Procee dtn g s . "

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 Employee s ,"

Government Printing Office, c

Approved: August 29, 1984

... ...c...

e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC.30M.CE! UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS a

i j "Technica! Writing Style Guide." A. W. Savolainen et al. , compilers.

U $. NRC Report NUREG 0650, November 1979, and Supplement 1.

February 19b2.

K "Protection of Unclassified Safeguards Infomation,"

• D. J. Kasun.

11SNRC Report NVREG 07H October 1Hl.

1 Chapter NRC 0255, "Mai] Management," aaf. Appendix 0555, Part V.

Annex A.

1 l

l i

j j

i 1

1 l

1 i

l j

i i

4 i

! l Approvec: August 29,13H

PUBLICATION OF TECHNICAL REPORTS FREFARED BY 3 NRC CONTRACTORS. INCLUDING REPORTS PREPARED L'NDER OR PURSUANT TO INTER AGENCY AGREEMENTS NRC Appendix 320,2 CONTENTS PAGE PART ! . PREPARATION OF REPORTING REQUIREMENTS PORTION! 0F STATEMENTS OF WORK FOR CONTRACTS. GRANTS AND STANDARD ORDERS FOR 00E WORK A. L15T OF TECHNICAL REPORT REQUIREMENTS......................... 1 2

B. REQUIREMENTS FOR FORMAL REP 0RTS...............................

2 C. REQUIREMENTS FOR ORAFT REPORT 5................................

0. . PUBL!$HING UNCLA551Fl[0, NON-SEN51TlvE INFORMATION 3

IN QPEN LITERATURE AND PRESENTING PAPERS......................

4 E. TvP0 GRAPHY....................................................

F. REPCRTS CCNTAINING $EN5!TlvE UNCLA551FIED AND 4

CLA151FIED INFORMATION........................................

G. PUBLliHING UND.A551FIED PROCEEDINGS OF CONFERENCES 4

AND WORKSHOPS......... .......................................

(

g H. WRITIN* ANC PUBLISHING UNCLASSIFIED 800K5............... ..... 5 5

1. 015TRIBUT10N OF REPORTS 10 CONTRACTOR 5........................

J. C00R0!NAT10N OF PRESS OR OTHER ME01A RELEASES OF UNCLA551FIED INFORMATION.......................... ... .. 5 7

PART !! UNCLA551FIED FORMAL CONTRACTOR REPORT 5 TO BE PRINTED BY NRC...

7 A. 00CLv!NTAT10N.................................................

7

1. ACD1icatility............................................

7

2. Front Cover and Title Page............................. .

Availability Information................................. 9 3.

9

4. 01 s c l a i me r . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5. Previous Reports in 5eries............................... 9 9

6. Abstract.................................................

9

7. References and Bibliographies............................

Bibliograpnic Data Sheet................................. 10 8.

10 B. PATENT AND SECURITY RF',1EV5...................................

10

1. Patent Revie ............................................

Security Revie.................................... ...... 10 2.

lF L i Approved: August 29. 1984 en

4 PL*BLICATlON OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTOhS. INCLUDINC REPORTS PREPARED NRC Appenda 3200 l'NDER OR Pt1R$1' ANT TO INTER AGENCY AGREEMENTS CONTENTS (Continued)

PA"!

C. PRO EDURES FOR PRINT!NS AND 015TR18UTING...................... 11 I. Printing................................................, 11

2. Reprinting................................................ 11

3. Distriowt. ion of Reports.................................. 11 EulBIT5

1. $ ample Cover for Unclassified Formal Contractor Prepared Reports.

Encluding inose Printec by ODE Laboratories with JCP Authorized Feoeral Ortnting P1 ants........................................... 13

2. Sa-cle Title Page for Unclossified Formal Contractor Prepared Repo'ts. Eac19eing Those Frintee by DOE Laboratories with JCP Authe 12eg Feoeral Printing F14nt5................................ la 3 Settle Cove' for Unclassifiec Fors.a1 Reports Printee by DOE Laoc-ste tes wit.n J:P Autherited Feceral Printing Plant,s. . . . . . . . . . 15 4 Sea:1e Title Page for Unclassified Formal Reports Printed ,

ty DOE Laceratories with J:P Authoritee Feoeral Printing Plant.s.................. ......................................... 1B

5. d: Fere 426A. Puelications Release............................... 17

6. Disclaine anc Asailability $1,atements............................ 16

7. ht: Fo*r. 335. Bibliographic Data 5heet............................ 19 PART !!! UN:LAS$1FIED 1ECHNICAL LETTER REP 0RTS........................ 21 A. FOR'4AT................................................... ... 21

1. Applicability........................................... 21

2. Requirements............................................ 21 E. P AT E NT AND S E CU?.! T Y RE VI EW5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

1. P4 tent Review.......................................... 21

2. Security Revie.......................................... 22 PART ]V UN LAS$1FIED FORMRL REPORTS T0 SE PRINTED FOR THE OFFICE OF NU: LEAR REGULA10RY RESEARCH BY 00E LABORATORIES WITH J:P AUTFORIZED FEDERAL PRINT!k3 PLANT 5...................... 23 A. 00:UM E N T AT ! 0 N . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 j

1. Applicability.......................................... 23

2. F ront Cove r a nd T i tl e Pa ge. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Approved: August 29. 1984 11

i

.o l PUBLICATION OF TECHNICAL REPORTS PREPARED BY  !

NRC CONTRACTORS. INCLUDING REPORTS PREPARED  !

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3000 l

CONTENT 5 (Continued)

PAGE

3. Availatility and Price 'nformation..................... 25 4 Disclaimer............................................. 25

5. Previ ous Reports i n Serie s. . . . . . . . . . . . . . . . . . . . . . . . . . . .. 25 .

6. Abstract.......................................'....... 25 l

7. References and Bibliographies,......................... 26 l

8. Bibliographic Data 5heet............................... 26 l

~

8. PATENT AND SECURITY REVIEW 5................................. 26

1. Patent Review.......................................... 26 ,

2. Security Review........................................ 25 l

l C. PROCEDURES FOR PRINTING AND 0151R!80 TING.................. . 27  !

I

1. Printing .............................................. 27 l

'2. Reprinting............................................. 27 [

3. Distribution of Reports..... .......................... 17 PART v REPCRT5 CONTAINING SEN51T!vE UNCLA551FIED AND l CLA551FIED INFORMAT10N...................................... 29 i

( A. A P u C4al u iv............................................... 29 I

8. OFFICIAL USE ONLY ANO U MITED OFr'!CIAL USE INFORMATION...... 29 l

C. PROPRIETARY INFORMATION.... . .............................. 30 i D. SAFEGUARD 5 INr0RMAT10N....... ........................... .. 31 .

i t

E. CLAb51FIED INFORMAT10N...................................... 31

[AHIB175

8. Sample Cover for a Contractor Report Containing Official use o n l y I n f o rm a . i c n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 I

9. Sample Title Page for a Contractor Report Containing Official Use Only Information.............................................. L8

10. Sample Back Cover for a Centractor Report Containing Official }

Use Only Information.............................................. 35 j

11. Samole Cover for a Contractor Report Containing 1.inited Official Use Infersation.......................................... 36  ;

12. Sample Title Page for a Contractor Report Containing Limitea O f f i c i a i Us e i nf m a 1i o n. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 l

(.  !

I t

lii Approved: August 29, 1964 i

i

PI'BLICATION OP TECHNICAL REPORTS PREPARID By NRC CO.\'TR ACTORS. INCLt' DING REPOETS PREPARED

..RC

.. Appenda 320* l'NDER OR Pt'RSt1 ANT TO INTER AGENCY . AGREEMg CONTENTS (Continued)

CA*t

13. Sar: 1e Sa:6 Cever fer a Contra: tor Report Containing Limited Official use Informatio........................................... 3E 14 Sample Cover for a Contra: tor Report Containing Proprietary InfoPEation 0: taint: free a U.S. Organization................'..... 29

15. Sae: 1e Cover Fage fc a Contra: tor Report Containing Proprietary inferr.ation Octainee from a Foreign Source............ 40 2E, Sae:1e litie Page for a Contra: tor Report Containing F

• o:

• i e t s ") Inf erration Obtainee f ree a U.S. Organization. . . . . . . . 42

17. Saeple 11tle Page foe a Co*aratter Report Containing F r c;'i e t a ') Information Octaine: from a Foreign Source....... 42

16. Sa*:le 64:6 Ceve fe a Contra: tor Repert Containing E r :p'i e t e r) Infcrmaticn.... .. .................. ......... ..... 43

15. Cover Sheet fc Reports Containing Preprietary Informatien........ 44 2*. Sar: 1e Cover fe* a Contra:to* Re::rt Containing Um:iassifie: Safeguares Interestien............. ............ ... 45 21 Sa ple Title Fage fe* a Centra: tor Report Containing Un:laisifie: Safegwa es Information............... ............... 46 22 Sa :lt Ba:k Cove

• fer a Co Tratter Repcrt Containing U+:las: 4fie: Safeguarcs inferration......... ...... ........ .. .. 47 23 C ver Sheet fee a Ccate.itter Report Containing Un:lassified S a f e g u a r e s l n f o re s t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 PART v!. HANDL!h3 CT UN*L A551FIED INFORMATI0h ON NRC COOPERATIVE PRC5 TAMS W11m FOREIGN GOVERNM!h15 AND OSGANIZATIONS AND WITH INDU5TRY..................................................... 49 A. PREP AR ATION OF DRAr1 PRELlHINARY REPORTS FOR C044ENT. . . . . . . . . 49

6. DISTRJBUTION BY NRC PROJEC1 KANAGER5......................... 50 C. COMMENT PER100 AND 155UANCE OF N'JREGICR REPORT............... 50 D. R E P O R T I D E NT I F I E R S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 E. M A I L! h 5 T O P ROG R AM J ART I C I P ANT 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 F. SECURITT.. ... .... ......................................., 51 Appro ted . Au gu s t 29. 1954 iv 6

• PL'BLICATION OP TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED

(*NDER OR Pl'RSt' ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3002 CCNTENT! (Continued)

P t.G!

[XHlBITS 24 Sample Cover for a Draft Preliminary Report (Code) for Concent... p

25. Transnittal Letter from Contractor to NRC Project Manager for Oraft Preliminary Report (Coce)............................ ...... 53

26. Trans'Pittal Sheet for Requesting Mailing to Cooperative Program Participants...................................................... 56 fr -

l v Approved: Au gust 29, 1984 i

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• J , ,

PUBLICAT!ON OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 350 PART1 PREPAR ATION OF REPORTING REQUIREMENT PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GR ANTS AND STANDARD ORDERS FOR DOE WCRK A. LIST OF TECHNICAL REPORT REQUIREMENTS List the technical reports required from each project, task or subtask.

as appucable. State when and to whom they should be submitted and what they should contain. Th(.se reports may be unclassified, sensitive unclassified or cla ssified . Standards for each cf these categories are presented in Parts 11 through V The fonowing definitions describe the types of reports that may be specified; technical reports - information on the technical aspects of centract work. These may be interun or final technical letter reports, draft or final formal technical reports for pubbcation in the NURfC/CF er NUREG/dP serie , or draf t or finai material for tnelusion in SERs or ESs (see definitiens below).

technical letter reports (alse caued technical evaluatien repcrts) -

interim or final letters that provide information on the technteal

( aspects of th' contract work. Interim technical letter reports may be required ai 'arious stages of a project. These interun letters usually are followed by a final technical letter report or a formal technical report. Ftnal technical letter reports are usuauy specified in situations where the technical work is review and evaluation cf work cf others or work to be used by the staff in the beensing and regulat;en process. Interim letter reports may include, but are not limited to, informal (interim) p. ogress reports , quick look reports, data reports, status summary reports, project descriptions, pre test prediction s , model verifications, experiment safety anal-yses, experiment operating procedu res , facuity certification reports, and test result reports. These reports must be identtined 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 wul be specified by the project manager.

formal technical reports - the final product of research, an original investigation, or a significant compuation of information. This pro-duct is a formal technical report for pubucation in the NUREG/CR or NUREG/CP serirs. For extensive long-term projects, formal monthly, quarterly or semiannual and annual periodic technical reports may be required. A draf t of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy.

(

i 1 Approved : August OS,1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY, NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Fa rt 1 UNDER OR PURSU ANT TO INTER ACENCY AGREEMENTS draf t or final material for publication or inclusion in SERs. ESs.

ItM <rs er neense amendments - wntten material requested for u6e m ^.ne NF.C licensmg process. Such matenal m .s be (1) abstracted m a NUREG report or attached to a NUREG report. (2) attached te a letter or an amendment to the license , or (3) abstracted and used ,

as necessary by the NRC staff. NRC requires patent review and '

full management review of this material by the performmg Jrganiza-ti?n . This material is to be submitted to NRC as a technical letter report addressed to the project manager and identified by the TlS number.

For purposes of this Part, contractor aseans a private contractor, con-sultant. grantee, another State or Federal Agency working under an

-interagency a greement , or a DOf / facility or National Laboratory (con-tractor) and subcontractors.

b. REQUIREMENTS FOR FOP. MAL REPORTS If the contractor is to prepare a final formal technical report for pubh-catter.. state that it will be printed and distributed by NRC froc camera-  !

r e a d .'. eepy sub=1tted by the contractor, unless the work is Demg done for the Office of Nuclear Regulatory Research by a DOE facihty or Laboratcry with a JCP-authonzed printmg plant. The camera ready ccpy as te be prepared m accordance with the provisions of this appen-dix . Parts !! and V (for contractors ether than D.OE centra: tors). or  !

Parts IV and V of this appendix and Chapter 1102 sfor DOE ccr.trae.

{ tors) A style guide is also available f ree, upon request (NUREG- l l 0 m ). If the report is to be prmted by NRC and it is unclassified, the i

camera ready copy is to be submitted by the contra: tor to the Director. l

, Division of Te:hnical r.fonnation and Do:ument Control, NRC. Washington.

DC 22555. by first class mail. For handling of sensitive unclassified i

and cla:sified reports see Part V of this appendix and NRC Appendtx 2101 Unclasstfied reports prmted for the Office of Nuclear Regulatory Research snould be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102.

C .EQUIREMENTS FOR DRATT REPORTS i i If a draf t is desired prior to completion of a final technical letter report, formal technical report, final matenal for inclusion in an SER or ES, or i 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

, receivmg NRC and/or participant comments on the draf t. State that all l draft material should be submitted to the cognizant project manager. j When the contractor is to submit draft material for comment pri 'o the .

preparation of the fmal report, state that if there are NRC ;... gram t

i and/cr participant comments the contractor will be asked to make changts. .

( If agreement on the changes is reached, the NRC manager will authorue the contractor to prepare the final ecpy and submit it to the project '

manager, if it is a letter report or input to an SER or ES, or to the i

Director. Division of Te:hnical Information and Document Control, if it is l

Approved: August 29, 1954 2 ,

L

. l PUBLICATION OF TECHNICAL REPORTS PREPARED BY l

. NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR Pt'RSU ANT TO INTER AGENCY AGREEMENTS Part 1 camera-ready copy for printing and distribution. This is to be dene 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 th<ir presence, he/she should infom TIDC of that desire.

, in that case, upon receipt of the camera ready copy by T!DC, the project manag2r 'ill be infomed and requested to prepare and sign the NRC Form 426A.

I Also state that if agreement on changes to a formal technical report to (;

be issued in the NUREG/CR series is not reiched, the NRC project manager may request the contractor to pTe~ pare 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 i NRC obiectiens. Such caveats may range from the "The views expressed in this ceport are not necessarily those of the U.S. Nuclear Regulatory ,

Commissien" a the addition of a preface setting forth the NRC opini:n or footnotes 't appropriate locations within the text.

! State that if NRC objections cannot be covered in this manner, NRC can j refuse to p .olish the report, in the case of DOE / National Laboratory 1 reports. the DOE Operations Office Manager responsible for that !abera-i tory should be informed by the NRC Office Director or Regional Adminis-trator of t'ie 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- l 1 larly be informed by the NRC Contracting Officer. The contractor is  !

i then free to publish without NRC identification of the repert. Project '

1 manager or higher level decisions may be appealed to the NRC Executive I Director for Operations.

D. PUBLISHING UNCLASSIFIED INFORMATION !!4 OPEN LITERATURE ANC l 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 i papers at public or association meettngs during the course of the work. r add the following staten ent to the Statement of Work:

, '!he principal investigator (s) may pubbsh the results of this work j in the open literature instead of submitting a final report and/or present papers at public or association meetings at interm stages of l th6 work.

i If the project manager wants to review the paper or journal article p.nor l

to presentation or submission for publication, state this in the Statement i of Werk, as foUows

• i l

The principal investigator (s) may publish the results of this work in L j g the open literature instead of submitting a final report and/or pre-  !

l sent papers at public or asseciation meetings at intertm stages of the  !

{ L. work, if the article or peer hac been reviewed by the NRC project [

j 3 Approved : Au gust 29, 1954 ,

l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3200 NRC CONTR ACTORS. INCLUDING REPORTS PREPARED Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS manager m draf t form and agreement has been reached on the con.

tent The apph:able procedures set forth in Chapters NRC 320? er NhC !!G must ce fouowed lf 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 te ecver NRC objections. If NRC objections cannot be covered m this manner, NRC can refuse to authorize pubbeation in the"open hier.-

ture and/or presentation of papers.

In the latter case. NRC will inform the contrsetor of the decision, as stated above for formal reports (see Section C. paragraphs 3 and 4).

The contractor is then free to pubbsh without NRC identification of the mformation This will not affect payment of the contract work costs Profeet manager or higher level decisions may be appt aled to the NRC Executive Director for Operations.

If the contractor proposes to pubbsh m the open Uterature or present the mformaticn at meetmgs m addition to submitting the required tech-nical reperts approval of the proposed article or presentation should be obtallied from the NRC project manager. The NRC project manager shau 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 pubbeation of papers on infor-mation that is subje:t to Commissioner approval that has not been ruled up n or wht:h has been disapproved.

( S*t Chapter 3206 fer provisions relatmg te payment of page charges and travel costs for presentation of papers.)

E. TYPOGRAPHY The te wt of reports must be smgle spaced on 84 x 11 in, paper, unless i

otherwise spectfacally authorized. O:ca sionally . reports with many syrn-bols and mathematical expressions may require one and one half spa:mg to provide for superscripts and subscripts . This spacing should be allowed where needed, but should be considered an exception, not the standard.

F. REPORTS CONTAINING SENS!TIVE UNCLASSIFIED AND CLASS!FIED I INFORMATION I

Details of the markmg 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 l of this appendix and m NRC Appendix 2101.

G. PUBLISHING UNCLASS!FIED PROCEEDINGS OF CONFERENCES AND WORNSHOPS NRC pubbshes or assists in the pubheation of compuntions of papers presented at meetings . conferences, and symposiums in which NRC l Approved : August 29. 1984 4 .

l .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY '

NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I participates as a sponsor or cospensor. Chapter NRC 3207, "Conferences and Conference Proceedings," provides general infomation and guidance for this. More detailed guidance is avauable 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."

1. DISTRIBUTION OF REPORTS TO CONTRACTORS _ l 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 organi:ations other than the contractor's organization who are not included in the distributien requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justift- i cation, should be addressed to the NRC project manager, with a c:py te -

NRC/TIDC. If the additional di:tribution is approved by the NRC project manager, the contractor shall send these copies (if printing ts done by the contractor) and address labels, even if printing is dene by NRC, to NRC/TIDC, where the distribution will be made along with the standard distributton. Distribution of sensitive unclassified and classi-( J.

fied reports will be made by the project manager en a case-by-case basis.

COORDINATION OF P3ESS OR OTHER MEDIA RELEASES OF USCLASSl-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 infomation or delays in handling by the project manager may be appealed to the NRC Executive Director for Operations.

r 5 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART !! t UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC 3 A. DOCUMENTATION

1. Applicability

a. The requirements of this part apply to contractor and tnter-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 cf Nues. ar i Regulatory Research. I r

b. With respect to sensitive unclassified and classified repcrts.

the requirements set forth in Part V of this appendix shall oe f used tn conjunction with NRC Appendix 2101.  ;

c. The requirements of this part do not apply to censultants a" contractors of. the NRC boards, panels, and advisory conmit- t tees which report directly to the Commission. -

( 2. Front Cover and Title Page I

a. Separate covers and title pages are required (see Exhibits 1 and 2 for contractor reports and Exhibits 3 and 4 for reports l prepared under or pursuant to interagency agreements) *  !

t

b. The items shown in Exhibits 1 through 4 and discussed below  ;

shall appear on the title page and cover, as appropriate.** l (1) NRC Report Number Each report shall be identified by an NRC controlled  :

alpha-numerte designation as the prime designation unique  ;

to that report. The centralised report control system for unique identification is maintained by the Division of i Technical Infonnation and Document Control. Numbers  !

may be obtained by calling the Division of Technical Infer-mation and Document Control or by submitting a copy of  ;

NRC Form 426A (Exhibit 5) with a request for a number. l

/

e Reproducible copy of the cover of the perfonning organization may be sub-  ;

mitted; however, the data elements shown in Exhibit I must be included.  ;

l i

r **These requirements meet the specifications of American Natienal Standard i ANS! 2?9.18 1974 Guidelines for Format and Production of Scient:fic and l

{L Technif 41 Reports, and ANSI 7.39.23 1974. Technical Report Numbers. ,

l 7 Approved: August 29, 1984 f l

i 1

.e.---

NRC Append:N 32;2 Pl*BLICATION OF TECHNICA1. REPORTS PREPARED BY I Par

• 11 NBC CONTR ACTORS. INCLUDING REPORTS PREPARED UNDER OR Pl'RSUANT TO INTER AGENCY AGREDIENTS i

The ShC identification number will have the form:

t NUREG/CP. XXXX or NUREC/CP XXX.\

ll where CP indicates conference proceeding. The contrae.

ter'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- l ing or is :ssued in more than one edition. an appropriate  !

volume. supplement, part or revision designation shall appear immediately below the report number.

(2) Title and Subtitle .

o (a) Use a brief title that indicates clearly the subject

matter covered in the report, l

(b) When a report is prepared in more than one volume.  !

j- repeat the primary title on each volume.

(e) If appropriate , show the type of report (e.g.. l annual report , final report, thesit , etc.) and the

period covered as part of the subtitle.

(5) Personal Author (S P Name(s) f Authors' names should be given on the title page and l cover unless this is impractical, as in the case of annual t

reports which have many contributors. If authors' contri- j i butiens are as editors, compilers, etc. , so indicate on the t title page following the names. In addition, list affiliation t 1

of each author only if affiliated with an organization other i l than the organization rentrating the document. '

bi) Orranization Identification I i

, On the title page and cover, provide information of the (

1 type iljustrated in Exhibite 1 through 4.

) - l j (5) Basis for Report Date(s)

(

) (a) The basis for dating may be shown along with the date on the title page. Various bases for dating are  ;

possible; e.g. , date report completed, date reviews L j completed , date published, date distributed, etc.

• I  !

(b) More than one date, with the basis for each, may be {

shown where this is necessary.  ;

~

1 , !

l  ?

i Approved : Au gu st .29,1984 8

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 320:

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part !!

3. Avauabuity _ Information Au formal reports wiu be made available for sale by NRC and by the National Technical Information Service (NTIS). Exhibit 6 wir be inserted on the inside of the front cover by the Division of Technical Information and Document Control.

j 4.' Disclaimer .

The fouowing notice wiu be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Goverr. ment nor any agency j thereof, or any of their employees, makes any warranty, expressed i

or impled, or assumes any legal liabuity or responsibility for any l

third party's use, or the results cf such use, of any informatien.

apparatus, product or process disclosed in this report, or repre-sents that its use by such third party would not infringe privately j'

owned righ t s . " The fouowing additional statement. "The views expressed m this report are net necessarily those of the U.S Nuclear Regulatory Commission" wiu be printed below the standarc disclaimer, if appropriate . Other qualifying statements may be

] added, if needed (see Part !.C.. Requirements for Draft Reports }

, 5 Previcas Reports in Series -

g If the report being prepared is one in an ongoing series list all 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 atstract of 200 words or less shan be prepared for each formal report. Within the report, the abstract shan appear on a separate I page betwearn the list of previous documents in the series and the -

1 contents page.*

} T. References and Bibliographies l Reports or other documents referenced in text. reference sections.

J bibliographies , and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the pubbe domain (as in a public library, at the Government Printing Office, at the National Ttchnical Information Service , or at other reference or sales outlets) or in the NRC j Public Decument Room . This means that references should not be made to personal communications and interviews , unpubushed

! e J

This preferred positioning of the abstract in the report need not be foUowed 2

f if the style manual of the origmattn g organization requires a different

(4 location .

l .

1 9 Approved: August 29, 1984 I

l

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

NRC Appendix 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY Part 11 NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS mfomation and mfomation with restricted distribution (e.g .

proprietary , national s ecurity , official use only , etc.). If the unretrievable infomation is important and unrestricted. It car be quoted m the text. m footnotes, or m appendixes, if credit is cse l tc mdividuals, they can be mentioned in the text or in an acknow- '

ledgement section . Availabihty may be stated coUectively for all entries (see Exhibit 6).  !

(

GuMehnes for developing and preserting reference , material are provide d m NUREG-0650, "Technical Writing Style Guide . '

pubbshed in November 1979 (see Appendix A, pp.19 23. for '

speelfse gedance) and Supplement I dated February 1982

8. Biblierraphie Data Sheet 4

NRC Torm 335 (Exhibit 7) shau be prepared and included in the i

.l camera ready copy as the final right-hand page. ,

B. PATENT AND SECURITY REVIEWS

1. Patent Review 1

i .

Patent impucations shaU be considered prior to approval of reports for pubbe release so that disclosure wiu not adversely affect the patent rights of NRC or the contractor. If the work bemg reported as contractuaUy 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 shaU be reported on NRC Fom 426A in item II (Exhibit 5). '

If NRC directly ademisters the contract or the contracter is unable to cbtain a patent clearance from the government agency admmister-ing the contract, the responsible NRC contracting officer shat be  :

consulted, and the responsible NRC project manager shan consider  !

the patent impheations . If there is no neto for patent review j i

because of the certamty that the report contains no descr2ption cf  ;

i i

novel technical developments which may be of an inventive nature, j NRC Fem 426A may be completed with the statement "Not Appu-  ;

cable" or "N/A" in the space for the Patent Counsel's signature. If l there is a possibil.ity that there is disenosure of developments of an f i mventive nature, the contracting officer shaU request assistance >

from the NRC Patent Counsel, Office of the Executive Legal I Director.

2. Security Review . t 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 l

Division of Security to estabbsh the appropriate procedures and j inform the contractor of such procedures through the contracting i officer. The standards for markmg and handling such reports are  !

i given in Part V of this appendix and NRC Appendix 2101. l t

Approved : August 29, 1984 10

• P

PUBLICATION OF TECHNICAL REPORTS PREPA' RED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3:02 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 C. PROCEDURES FOR PRINTING AND Dl5TRIBUTING

l. Printin g

Reproducible masters ; .*epared in accordance with this append

x shau be transmitted to the Division of Technical Informatten and 1 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 shau be reported in writing to TIDC.

t 4 he Division of Technical Infomation and Document Centre! wiu -

1 review the masters for adherence to the standards set forth m this

! chapter and appendix and wiU arrange for printing and distributing the report. Ur. satisfactory masters wiu' be reported to the NRC project manager for appropriate contractual action by the contract-l ing officer er, in the case of government agency or interagency agreement work, the pubucations mar.ager of the perfommt i organization.

2. R eprintin g I Requests for reprmtmg any report suosequent to the mitial prmt-ing require approval of the Division of Technical Informatten and Document Centrol. Each request shau include a written justification and the project manager's approval for reprmtmg alcng with ad-dress labels fer the recipients.

l i

( ..

1 J 3. Distributien of Reporte AU ceptes cf unclassified fo sal contractor reports wiu be distrit-

]

< used by the Dtvision of Tect.nical Information and Document Contre!

i in accordance with instructions on NRC Form 426A (Exhibit 5). The Division of Technical Information and Do:ument Control wiU also arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC PubUc Document Room, the National Technical Information Service (NTIS), the Government Prmtmg Office and the Depository Library Service.

If any distribution is to be Ede other than, or in addition to, the standard distribution estabushed for the report, written justificatsen and the project manager's approval for prmting additional copies shau accompany the reproducible masters when submitted to the Division of Technical Infomation and Document Control. Address labels for the additional distribution must be supplied.

Distribution of sensitive unclassified and classu~ied reports wu! be made by the NRC project manager on a case-by case basis.

(.

II Approved: August 29, 1984

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY '

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i '  !

EXHIBli1  ;

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PREPARED DOCUMENTS. EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS  ;

NRC R EPORT N.. gy,g. g c.ni .n., R. n 8. ne ..,i 54 m, ,g  ;

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NPC CONTRACTORS. INCLUDING REPORTS PREPARED N R P A nn. div .um '

UNDER OP. PL'RSl' ANT TO INTER AGENCY AGREEMENTS  : 1. '. '.

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. EXHitlT 4 J

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PL'BLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appenda 320: NRC CONTRACTORS. INCLUDING RTPORTR PREPARED Ni t l' UNDER OR Pt'RSUANT 70 INTER AGENCY. AGREE}1ENTS EXHitiT 4 DISCLAIMER AND AVAILABILITY STATEMENTS (SACK OF COVEPU I

sectact .,

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PUBLICATION OF TECHN: CAL REPORTS PREPARED LY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Aonendix 3:00 UNDER OR PURSUANT TO INTER AGTNCY AGREEMENTS En-t I

.. EXHIBIT 7 NRC PCRM 335. BIBLIOGRAPHIC DATA SHEET E.;,;l' eseuoenAPwH: caTA SMarf w.

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NRC Appendix 3202 PUBLICATION OP TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 UNDER OR PUR_S_U ANT TO INTER AGENCY AGREEMENTS EXHIBIT 7 (Continued i BACK OF NRC FORM 32 00 NOT PRINT THESE INSTRUCTIONS A5 A PAQt IN THE NURio REPORT eastaseteens het e0*w 3H gig eogenemit Data l=tti. Il Ballt Den Guitt6*Wil 804 eDLwat aist ee00 vet 0= to EW= tent sist ti estaD.t eiica6 asegets agg' 33e is.igte aeai6as63 espes awanican hat:0=a6 31stoaats e=sHttet test a v. til. vDea ei, ggcit tage ag eamatt ge opsg3 agepet.epe g satseht. lata V06 vest en a ww6tev$6 vast 8tt.8=6 6 me e t its v iigst sig.iggaaenig Data 6atti a

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i Approve d: August 25, 1954 20 f

\ . ,

. (

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY  !

NRC CONTRACTORS. INCLUDING REPORTS PREPARED

, UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC AppendLx 3202

(.

PART !!!

UNCLASSlFIED TECHNICAL LETTER REPORTS A. FORMAT

1. Applicability ,

s. The requirements of this part apply t'o unclassified contracter technical letter reports. (See Part I. A for definition.)

b. The requirements of this part do not apply to consultants and centractors to the NRC boards, panels, and adviscry ccmmit-tees which report directly to the Commis,sion.

2. Recuirements

) Technical letter reports are prepared, duplicated and distributed in acccrdance with the requirer ents of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such repcrt must be identified with the financial number (FIN) assigned to the '

t project . The number of copies to be prepared and the distributien l / of those copies wG be specified by the project msnarer. if unclas-suied and non sensitive, the NRC project manager is respensible l

\ for makmg such reports available in the NRC Public Document Rocm l

(PDR) by sending them to the PDR through the NRC Document Control System. .

B. PATENT AND SECURITY REVIEWS 1 Patent Review ,

Patent implications shan be considered prior to approval of reperts for public release so that disclosure wiu not adversely affect the

,natent rights of NRC. If the work being reportid is contractuauy

) managed through another government agency (e.g., DOE labora-tories), that government agency should be requested by the con-tractor to perfonn the patent review.  ;

If NRC directly ad:sinisters the contract or the contractor is unable I to obtain a patent clearance from the govemment agency administer-l mg the contract, the responsible NRC contracting officer shan be i consulted, and the responsible NRC project manager shall consider j the patent implications.

If there is a possibility that there is disclosure of developments cf l

an inventive nature . the NRC contracting officer shall request I assistance from the NRC Patent Counsel. Office of the Executive Legal Director.

t I

21 Approved: August 29, 1964

l l 4 .

PUBLICATION OT TECHNICAL REPORTS PREPARED BY  !

NPC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED i Part 11: l'NDER OR Pl'R$ltANT TO INTER AGENCY AGREEMENTS  !

I i 2- Security Review l  !

i In most cases, centractor technical letter reports will be unclassi- i fle d . Should a report of sensitive unclassified or classified work a be required, however, the project manager must work with the  !

] Divasten of Security to establish the appropriate security procedures (

!_ and inform the contractor of such procedures. The standards for t 1

marking and handimg such reports are given in Part V of this  :

i appendix and NRC Appendix 2101 I i  :

! c i 4 l l l

1 l

l  !

J I

f i1 I

L I  !

t 1  !

)

i r

l

] f 1

I i

c .

i l

! I I

! l

. i !

1 I

r Approved: August 29, 1964 22 l

\ . -_ . -

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3000 PARTIV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR F.EGULATORY RESEARCH BY DOE LABORATORIES WITH JCP AUTHORIZ.ED FEDERAL PRINTING PLANTS A. DOCUMENTATION .

1. ADD 1icability

a. The requirements of this part apply to NRC staff who are responsible for agreements with DOE Laboratorie= 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.

l c. The requirements of this part do not apply to consultants and I

contractors to the NRC boards, panels and advisory cor mittees l which report directly to the Commission.

- 2. Front Cover and Title Pare.

a. Separate covers (cf different paper than that of the text) and I

title page are required.*

l l

b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-pnate ." While layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the items shau appear in approxi-mately the locations indicated and with the same relative prominence .

(1) NRC Report Numb,g Each report Shall be identified by an NRC contreued 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 organizatier. may he used; however it must include the data elements shown in Exhibit 3.

"These requirements meet the specifications of American National Standard

[6 ANS! 239.181974. "Guidelines for Format and Production of Scientific and Technical Reports.C and ANS! 2.39.23 1974, "Technical Report N umbers . "

\

l 23 Approved: August 29, 1944

k P

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED-Part it UNDER OR PURSU ANT TO INTER AGENC'i AGREEMENTS ,

i be obtained by calhng the Division of Technical Inferna-ti:r. and Document Control or by submitting a copy cf NRC Ferm 426A (Exhibit 5) with a request for a number.

1 The NRC identificatien number wiu have the form:

NUREG/CR XLU cr NUREG/CP XXXX, The centractor's report number, if any, wul be inserted below the NUREG number on the tide page and cover, as shown in Exhibits 3 and 4 it desired by the contractor.

I When a report consists of more than one volume or bind-  !

ing er is issued in :nore than one, edition, an apprcpriate volume , supplement, part , or revision designatten shau appear immedistely below the report number (s) . NRC report numbers on covers and title pages shat be shown entirely on ene hne to facultate computer processing.

(2) Ts'.le and Subtitle (a) Use a brief title, which indicates clearly the subject matter covered in the report.

(t) When a repert is prepared in more than one volun.e, repeat the prunary title on each volume, t (c) If appropriate , show the type of report (e.g..  !

I l

annual report, final report, etc.) and the period covcred as part of the subtitle.  ;

I (3) Persenal Author (s P Name(s)

(a) Authors' names should be given on the title page j l

and cover unless this is impractical, as in the case (

of annual rehrts which have me.ny contributors. If authors' contributions are as editors , compilers ,  ;

etc., so indiests, en tide page and enver fouowing l the names. In addition, het at?ihation of each author only if affuisted with an organisation other than the i organization generating the report.

(b) Authors may be identified

• on backstrips (spines) of .

bound volumes.

! (4) Orranizatien Ident!!iention [

(a) On the cover, provide the na=e of the contractor responsible fer preparing the report, fotowed by i

"Prepared for the U.S. Nuclear Regulatory l Commis sion . ,

4 i

i j r j =. Approved: August 29,1DH 24 i

PUBLICATION OF TECHNICAL REPORTS PREPARED BY i NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendh 3202 UNDER OR PURSUANT TO INTER %CENCY AGREEMENTS Part IV  :

• ( (b) On the title page, provide informatun of the type i

iUustrated in Exhibit 4. ,

(5) Basis t'er Report Datas(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 revteu i completed, date published, date distributed , etc.  ;

I  :

(b) More than one date, with the basis for each, may be  !

shown where this is necessary. l

! 3. Availabuity and Price information i 1 . i

! AU formal reports wiu be made available for sale by NRC and NT!S.  !

The statement shown in Exhibit 6 is required on the inside cf the

• I J front cover. {i j 4 Disclaimer j The foUowing notice shaU be added during the prinung step on the inside frent cover (Exhibit 6): "This report was prepared as an

i .

account of work sponsored by the United States Government . t i / Neither the United States Government nor any agency thereof. or  !

1 1

any of their employees, makes any warranty, expressed or tmphed.  ;

or assumes any legal habiuty or responsibuity 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 foUow.  !

j ing additional staiement. "The views expressed in this report are  ;

not necessarily those of the U.S. Nuclear Regulatory Commission" '

, wiU be printed below the standard disclaimer, if appropriate. Other j qualifying statements may be added, if needed (see Part 1.C.,

) Requirements for Draf t Reports). ,

b. Previous Reports in Series l

1 If the report be!ag prepared is one in an ongobg series. list au

! previous reports in the series. Include report numbers and issuance l

) dates. Place this Ust on the back of the title page. (

t

6. Abstract t An abstract of 200 words or less shau be prepared for each formal l report. Within the report, the abstract shnu appest on a separate j page between the list of previous documents in the strie.s and the contents page.*

I

• This preferred positioning of the abstract in the document need not be fol- l

]

( lowed if the style manual of the ortginating organinuon requires a different i j location . l t

i 1

25 Approved: August 29, 1964 j i

l 1

c PUBLICATION OP TECHNICAL REPORTS PREPARED BY NPC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED

. Part IV UNDER OR PURSUANT TO INTER ACENCY AGREEMENTS P.eferences and Bitberraphies

, Reports er other documents referenced in text, reference sections.

, b!blierraphies , and appendixes of unclassified regulatory and  !

1 technical reports in the NVREC series must be available to the i pubhc either m the public domain (as m a pubbe library at the Government Prmting Office, at the National Technical Informatien Se rvice . or at other reference or sales outlets) or in the NRC Pubbe Decument Room . This means that references should not be  ;

4 made to personal communications and interviews . unpubbshed l mformation and mfonnation with restricted distribution (e.g.. I proprietary, national security, official use only, etc.). If the i

unretrievable information is smportant and unrestricted. It can be qucted m the text, m footnotes, or m appendixes. If credit is due te mdividuals, they can be mentioned in the text or in an acknow*

ledgement stetton. Availabibty may be stated coUectively for a!!

entries (see 7.xhibit 6).

- Cuadehnes for developing and presentmg reference matenal are provided m NURIC 0550, 7eer.icti Writmg Etyle Guide . pu b-hshed in November 1975 (see Appendix A. pp.19 23. fer specifi-gvidance) and Supplement I dated February 1982.  !

, f f BibberraMr Data Sheet NRC Fern 335 (Exhibit i) shall be prepared and included m the i l

camera ready ccpy as the fmal right hand page. L

) 5 PATENT AND SECURITY REVIEWS i i

1 Patent Revie w Patent ur.pbeations shau be censidered prior to approval of reports for pubbe release se that disclosure will not adversely affect the l patent rights of NRC or the contractor. The DOE Operations Office  :

i respensible for the co.itractor should perform the patent review - l The results of such review shall be reported by.the contractor on j

. NRC Forv. 426A in item 11 (Exhibit 5).  ;

l

2. security Review  ;

' t Jn most esses, reports wn! be unclasst ied. Should a repcrt of sen-  :

sitive unclassified or classified wprk be required. however, the '

.! NRC project manager must work with the Division of Security to estabbsh the appropriate classification procedures and infore the contractor. The standards for marking and handhng such reports

! are given in Part V of this appendix and NRC Appendix 2101.

)

I i

! , Approved : August 29.19H 26

i j<[ . . . . . . . . . . . . . i

. j f

PUBLICATION OF TECHNICAL REPORTS PREPARED BY  !

, NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 j i

UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Part IV '

] C. PROCEDURES FOR PRINTING AND DISTRIBUTING l

l. Printin g I

f' Contractor reports.may be printed only by a JCP. authorized print.

i.nr plant ar.d then only if prepared for the NRC Office of Nuclear l' Regulatory Research. Reports prmted by the contracter and ene reproducible master shan be submitted to the Division of Technica!

Information and Document Coatrol, with completed NRC Term 426A.

1 The number of copies specified by the Statesient of Work for stand- i ard and incidental distribution shan be provided. The appropetate  !

j identifying number (NUREG/CR ,,,,,) may be obtained t s discussed in i Section A.2.b.(1).  !

i f s

I 2 .' Reprmting 1  !

J Requests for reprinting of any report at NRC expense subsequent  ;

to the mitial prmtmg requires approval of the Dtvision of Technical Informatien and Document Control. The request shnu include a l

l j

1 wntten justification and the project managers approval for the re- I i pfihtmg. along with address labels for the recipients. E i

l Distribution ef Reports 3 [

I Au copies of unclassified formal contractor reports wul be distnt-  !

uted by the Divisien of Technical Information and Document Contro! (

j  ;

i m accordance with instructions on NRC Torm 426A (Txhibit 5)

NRC Torm 426A must be signed by a contractor official authenced l l  ;

by the project manager. Such authoriaation shau be reported in writm g to the Dtviston of Technical Information and Docu: ent I Contrci.  ;

If any distnbution is to be made other than, or in addition to, the i standard distribution estabushed for the report, written justificatten I and the project manager's approval for prating additional copies shall accompany the reproducible masters when submitted to the l

Division of Technical Informatjen and Document Contrel. Address i labels for the additional distribution must be supplied.

4 I

The Division of Technical Information and Document Control wc!

arrange automatic distribution of these reports to the NRC Docu. l ment Control System, the NRC Pubuc Document Room, the National l

' Technical Information Service (NTIS), the Government Prmtm;

- Office and the Deporttery Library Service.

1 Distributien of sensitive (unclassified) and classified reports wiu be made by the NRC project manager on a case by case basis.

j .

a I i

I

{

~

t

. I' j

) 27 Approved: August 29, 1964 i 1

I t

PUBLICATION OF TECHNICAL REPORTS PREPARED BY i NRC CONTRACTOR 3. INCLUDING REPORTS PREPARED '

i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3:00

(.  !

l PART V l REPORTS CONTAINING SENSITIVE UNCLASSIFIED '

AND CLAS$1FlID INFORMATION A. APPLICABILITY ,

These procedures and exhibits of this part apply to sensitive unclassi- l fled and classified reports prepared by NRC contracters. These l reports include those designatet: t

?

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- L minmg when to use the markings exhibited are centained m NRC l (y Appendix 2101. -

The reports covered are defined as sensitive unclassified or classified.

Sensitive unclas stfled mformation refers to information designated i

Official Use Only. Limited Official Use, and Proprietary Informatten. I I Sensitive unclassdied information also includes Safeguards Informatten }

l that must be protected from unauthorized disclosure pursuant to j 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1954. as t amended, information withheld from pubbe dissemination under the l Freedom of Infonsation Act or Pnvacy Act, and infomatten not to be i exported to or disclosed to foreign countries. I Classif!ed infarmation as used in this part includes Restricted Data, Formerly Restricted Data or National Security Information that requires l protection in one of the three classification categories desenbed m  :

Executive Order 12356: Top Secret, Secret or Confidential. [

The usks of each of the sensitive unclassified ar.d classified categories and the markings required on reports are discussed and exhibited m the followmg sections. Au sensitive unclassified and classified reports are to be sent di-ectly to the project manager.

B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.  !

NRC regulations require an Official Use Only marking to be placed on a

(*s report only when the origmator or other holder believes the marking is I

i l 29 Approved: August 29, 1964 j

i

I l q NRC Append:A 3200 PUBLICATION OF TECHNICAL REPORTS PREPARED BY i NRC CONTRACTOR $. INCLUDING REPORTS PREPARED -

l Part V UNDER OR PUR$UANT 70 INTER AGENCY ACREEMENTS  ;

i essenttal te ensure proper handling. Reports designated Offs:ial Use i Only w!D contain only unclasstfied mfomation cririnated by or furnishtd i tc an NRC centra: tor which is to be withheld from pubbe dis:losure. Tn, [

i report er. which the markmg appears must be reviewed at the time a ,

request for release is received to deterame its releasabihty. The Offs::a1  !

Use only marking is notice of the origmator's deternmat19n of the appbca. l l . bihty of an esemption under the Freedom of Information Act or Pnvacy t

) A:t er both at the tame of origination. .  !

Offs:141 Use Only NRC contra: tor reports shall be marked as shown m Exhibus a through 10.

Litr,ited Official Use information is information originated by the U.s Department of State. A report origmated by an NRC contracter that contams Ltmited Offsetal Use mformation shsu be marked as shown m l Exhibits 11 through 13.

L I

Procedures fer. reproducing, transmitting, prote:tinr. and handlmg  !

rep rts contammg Offnenal Use only and Limited Official Use mformation  !

&nd removmg such rep: Pts frem those categories are detaDed m NRC l Appendix 2101 g C PROPRIIT ARY INFORMATION Prepnetary infer =ation is a spe:ift: type of Official Use only intema.

tion Prc;;netary mformati:n includes:

! trade secrets. I i

pnvueged or confidential research, development, comme'cial or fmane al tnfc m atten exempt from mandatory dis

losure under  !

10 CTR Part 2, "Rules of Practice for Domestic Licensmg Pro:eed.

ir.gs." Sections 2140 and 0.793 and under 10 CTR Part 9, *Puthe Records." section 9.5. ' Exempt 6ons.

3 information submitted in confidence to NRC by a foreign source. ['

wh h has been deterv.ined by NRC to be unclassifted.

r Unclassified NRC contractor reports containing proprietary information [

shat be marked as shown in Exhibits 14 through it, in each instance.  !

the optional wordmg that describes the material being presented should be seketed.

If a report centsins both Official Use Caly information and proprietary information. the front cover shall be alarked as proprietary information

. and say also be marked as Official Vee Only informadon. if necessary.

Pages in the report that contain proprietary information may be marked accordmgly, inclu dmg. margmal or other indiastors of the specif::

wordmg that is proprietary. SinDarDy. the pages that contain Official Use Oniv inferratien without proprietary information may be sarked }

Official dse only t Approved: August 29, 1964 30

• f l

l PUBLICATION OF TECNN! CAL REPORTS PREPARED BY i NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Apper'd!x 3:00 i UNDER OR PUR$UANT TO INTERAGENCY AGRE! MINTS Part V 1

\ ,

Procedures for reproducing, transmitting, protecting and handling pro-  ;

I prietary information reports and removmg them from the propnetary  !

1 infor=ation category are detaued in NRC Appendix 2101. A cover sheet I (Exhibit 19) is to be placed on each hard copy of a report containing  !

i proprietary information.

D. SATE 0VARDS INFORMA1!ON j Safeguards information may be of three types: (1) classified infer =a- [

j tion, which is marked and handled as indicated in Section E. (2) un- i i classified infomation restricted under Section 147 of the Atomic Energy  !

! Act, which is marked and handled as descr%d in this Section, and (3)  !

! unclassified information, which is publie'y *MQable and handled as i j indicated in Parts I through IV, l The shfeguards informatien that is to be pre,;cted as desenbed here is '

] unclas st:;ed information itsed in a report which spectfacauy identtfies

! certain beenset's er applicant's detaued:

1

! 1 security measures for the physical protection of special nuclear l

matenal 3 1 l i 2 secunty measures for the physical protection and location cf certe j plant equipment vital to the safety of produetten or utth

atton

, f acihtie s .

Unclas sified NRC contractor repcrts containing safegaards mformation (;

j t is to te protected shan be marked as shown in Exhibits 20 through Procedures fer reproducing, transmitting, protectmg. and handhng safe.

guards mfor=atten reports and removmg them from the safeguards I mformatten category are detaued in NRC Appendix 2101. A cover sheet I (Exhibit 23) as to be placed on each hard copy of a report centainmg [

safeguards mforsation. j E. CLAS$! TIED INTORMATION f t

Classified information is halted to Restricted Data. Fomerly Restricted I Data and National Secunty Information. The procedures for makmg l

) classification determinations and for marking, reproducing, transmittmg. *

protectmg. md handhng reports containing classified mformation and f

removmr. such reports from classified estegories are det

0ed in NRC i Appentx 0101. These procedures are too complex for summartzmg here.

i Classification determinations regarding NRC information may be made j

solely by authonzed classifiers designated by NRC or DOE. Authonzed classifiers are responstale for insurmg that reports they deterame to i be classified are marked and protected in accordance with the provisions of NRC Appendix 2101 k

i 31 Approved: August 29,19H

]

1 >

1 -

l i

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 Nhc CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PJ1RSUANT TO INTER AGENCY AGREEMENTS It is important to note that information may ' not be classified in order to prevent or delay th e release of infomation that does not require protectaen m the interest of national security. Basic scientifa: research 2

infomation not clearly relattd to national security may not be classified.

1 .

{

l

, l l

l I

r i

I l

Appro a August 29, 1984 32

! 3 l .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa: t V EXHIBIT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICl#.L USE ONLY NUREG/CR XXXX (Si Title Subtitle and Type of Report g;.g i.i.,,.,

0Z" '.7, a .y.i., c.-. ..,

.., % : ..m.. u u. : ..i l

l QPFICIAL USE ONLY

~

33 Approved: August 29, 1964

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

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V , _ _

l'NDER OR Pl*RS1' ANT TO INTER AGENCY AGREEMENTS EXHIBIT 9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL,USE ONLY NUREG'CR xxxx 15:

Title .x, S ame. .,, w ..

con * ,.

w. w.

c ~.u m ,

E',' *.%'a' ' * '

s ' . fl},' E TM' ""'"""**

j t

OFFICIAL USC ONLY Approved : August 29,19N 34 i

0

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING C? ORTS PREPARED NRC Accendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS csr V EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY t

OFFICIAL U$t ONLY ,

35 Approved . August 29, 1984

1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NBC Appendix 3202 NRC CONTR/.CTORS, INCLUDING REPORTS PREPARED Part V UNDTR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHISIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING

s. LIMITED OFFICIAL USE INFORMATION UMITED OFFICIAL USE NURIG'CR XXXX ($1 Title Subtitle and Type of Report g,,g i., ..:

i U.1"4",,2'. . . . . ., e.. . ...

4.-> . ..~ .a .e a: n-uMirtD onici AL ust I.

Approved ; August 29, 1984 36 ~

e

8

. 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS h- r EXHIBIT 12 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION

~

UMmo ome:AL ust NUREGICR.XXXX (S)

Title sm W Tm ad Recon UMT~

c--

g g e.,

\. g ig:re --

UMmo ometAL use r

i L.

37 Approved: August 29, 1984

PUBLICATION OF TECHNjCAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part Y

, UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION UMfTED OFFICIAL USE l

uurffD OPFICIAL USE Approve d . August 29, 1984 33 4

4

t PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 '.

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Par- V EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPAltTARY INFORM ATION _

NUREG CR XXXX (P)

Title Subtitle and Type Of RepOn 4- . . i .e . ,

wi .n.,

v i ..% ,. . . ,e. - ..

(x = :re. = m . = ~ ~

M .:"T:.'c T ~ "

-...c.-~..~

gregrea 69 eaa I

'}.};,Q'f'*,1'LT,:

w e-o.e e e evwe >setessi sm, e ~ c o+.

4 PROPMIETARY INPORM ATION 39 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPAKED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part Y UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 16 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PP.0PRIETARY INFORM ATION NURIG C5 XXXX (P Title Subtitle and Type of Report e.. . . i ., . -

c ... n. ..........,e.......

v i ..

n. .e7%aE

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,$,m, i .. ~ c . o.,

i l

l PROPRIETARY INFORM AT}ON l

Approved ; Augu st 29, 1984 40 .

i

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

l 1

PUBLICATION OF TECHNICAL REPORTS PREPARED BY '

NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa_~ V '

EXHIBIT 18 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INPCRMATION --

NUREG/CR.XXXX 'Pi Title so.~T e -

E.

c . '.:: = _

o ,... . m. e .,

( ,

OMic e U.S.

w .Nwee, A*2.wie.to.rv Commise*en n . c ,... ..o i ~.

n'!J?.'!"'.i',"n'.i'U!.%'!P-

y,g .~ ~ -

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g g._=... ;.y

........... . . . , , . ~ .

'.'.W,W *** ~' ~

- , ...o. w mout .

w. i . - o .. .o .

PROPRIETARY INNRM ATION 41 Approved: August 29, 1984

_ , _ _ - - _ _ , _ . - _ _ _ _ _ _ _ _ ._._..-___._,_______,_.,_m, , _ . . . . _ . , . - - _ _ - . . . - - _ . , .- __ __c.__ _ - _ - . . . _ . . - - _ _ _ . ___-_

PUBLICATION OF TECHNICAL REPORTS PREPARED BY .

NRC Appendix 3202 NRC CONTRACTORS INCLUDING REPORTS PREPARED

.Pa n \' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPPIETARY INFORMATION NUREGICR XXXX (P Title

.. Ss m .e on: Tne of ,4m CNJ00'.:.::" *'.'

un.. s~.

On:Lt~"3".!

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w i- :.: .>w e si.,: o.sness as

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c PUBLICATION OF TEC".NICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS _  :. -l 1 l

EXHIBIT 18 SAMPLE 8ACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION

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PRO PRIETARY INPCRM ATION I

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l PROPalETARY INPORMATION e-lt 43 Approved: August 29, 1984

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INPOMMATION soot 1CE tal 49& Cut: 000WWie COntianos =9e0*agiaev seses a D wa as I & Ett ava:At.t TC an' MEED 4 h:* agguenig $sca .es0*wa TIO* an 1st C0=DJ0108 0884*A. lslantil ahD g=0V 0 88 StoeI taahlegang; ah3 D'l*0110 08 O ' ta C = et cet =*

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l'UBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annandiv .Un'/ b UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Far* V EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARCS INFORMATION SAP 10UARDS INPORMAT10N NUREGICR XXXX (SGI Title Subtitle and Type of Report w.n. . n u.n.,

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45 Approved: August 29, 1984

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PUBLICATION OF TECHNICAL REPORTS PREPARED EY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEQU ARDS INFORMATION NURIGtR-xxxx (SGi Title

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SAFEGU ARDS INPORM ATION Approved: Augu st 29, 1984 46

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s PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Anoendix 3202

, UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa:- Y EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEQUAR DS INPORM ATION P

SAP 10UA A08 INPORM ATION ,

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47 Approved : August 29, 1984 l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS EXHIBIT 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION

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s " Tm!S DOCUVENT CONT AINS IN80RMATION WHi*H MUST BE PROTECTED FROM

-v UNAUTMon12ED OtSOLOSURE_1C CF3 73.21 AND SECTION 147 ATOMIC ENERGY s'

94y ACT 0819W A* PLY. VIOLATIONS ARE SUBJECT TO CivlL OR CRIMINAL PENALTIES, 5 TN!S 00 VMENT is NOT TO Bt Lif"f UNATTENDEC OR ACCES$1BLE TO UNAUTHORIZED b

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'M PERSONS WHEN NOT IN USE. IT MUST BE STORED IN A LOOKED SECURITY 3TORAGE 1 CON 1 AIN ER A3 IT IS YOUR RESDONSIBILITY TO PROTECT THE INFORMATION COPMAINED IN THt$

DOCUMENT FROM COMPROMISE. THEFT OR UNAUTHORCED DISCLOSURE.

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3200

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PART VI HANDLING OF UNCLASS!FIED 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 orgh-nizations . Such involvement includes monetary con tribu tions , 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 "Draf t Preliminary Reports (or Codes)" for

/' comment for a specified period of time, followed by issue as formal NUREC/CR

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reports, with the concurrence of the participants. Specific procedures for accomplishing these goals and for transmitting information prepared by the t NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the following sections. The procedures de-taued 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 PRELIMINAR" REPORTS FOR COMMENT The first issuance of information by a contractor shau be designated "Draft Prehminary Report (or Code)," and shall include the cover sheet shown in Exhibit 24.

The foUowing nottes is to be printed on the bottom of the cover sheet l (Exhibit 24): l NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action .- It has not have received patent review and may con-tain information received in confidence. Therefore, the con-tents of this report should neither be disclosed to others nor

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, reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. I The recipient is requested to take the necessary action to i ensure 'he protection of this report, 49 Approved: August 29, 1944 l l

NRC Append 2x 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY 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 DOI and is not te be added tr. or changed. Any problem in this regard shall be brcught to the attentien of the NRC project manager, who will consult with the NRC legal staff.

The "Draf t Prehmmary Report (or Code)" shau be submitted by first class or express maU 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 (m most instances this wiD be fewer than 20 copies)

The contractor (DOE facihty, contractor or subcontractor or other coi.-

tractor) may retam copies only for internal use. DOE facihties and contractors and their subcontractors shad not distribute copies of this draf t report to DOE /T!DC. Draft reports may be distributed to interestad DOE program offices Subsequent issues of the information shs also be .

designated "Draf t Prehmmary Report (or Code)" untU the NRC project "

manager authorizes preparation of a NUREG/CR report.

• Draf t Prelu .m a ry Reports (or Codes)" shat not be identified as NUREG/CE reperts or carry any contractor report number or NRC dis-tributler codes. .

B DISTRIBUTION BY NRC PROJECT MANAGERS Tne NRC project manager xiu distribute the copies received only to (1) the participants m the program, (2) the NRC staff with a need to-know, and (3) others authorized by the program or project manager. Trans- i mittal to parts:1 pants shall be by first class or express mail, includmg l air mail to foreign participants. If premium cost mau services are to ,

be used, a Division Director or comparable or higher authority must l certify to the need on NRC Form 420. "Request for Premium Cost Mail  !

Service

• Premium cost mail is:

1 Express Mau, Priority Mau (First Class weighing more than 12 ounces) 2 International Express Mau ( Air Mau weighing more than 10 ounces)

(See Chapter NRC 0255-058 and NRC Appendix 0255, Part V. Annex A)

T 'C . COMMENT PERIOD AND ISSUANCE OF NUREC/CR REPORT ,

A uinimum of six months will be aDowed for comments and resolution of comments . At the end of the comment , period, the NRC project manager shan, with the concurrence of the participants, authorize the contractor i to issue the information as a NUREG/CR report in accordance with the provisions of this Chapter.

D- REPORT IDENTIFIERS The "Draf t Preliminary Reports (or Codes)" wiD be uniquely identified ,

only by the Financial Identificatfor Number (FIN) assigned by NRC and Approved: August 29, 1984 50 s

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e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI i the appropriate periodic notation, if any , included in the title (Ex-hibit 24). They shau 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 _,

shau 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 shau be used to transmit the documents and the labels to DMB.

I F. SECURITY 1

If information included in the report or code has been determined to be

sensitive unclassified or classified information (see statement of work) i the procedures of Part V also apply. The report (or code) may not be classified solely for the purpose of 1.imiting distribution to the partici-pants.

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PUBLICATION OP TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V1 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELtMINARY REPORT (CODES FOR COMMENT l

DRAFT PRELIMINARY REPORT (CODE) FOR COMENT FIN NO. .

Title of Program Subtitle for This' Report, In:1uding ,

Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1) i a

Prepared by (Name of DOE Facility, Contra: tor and/or Sub:entractors, if any) for U.S. Nuclear Regulatory Commission 4

NOTICE (

TH15 DRAFT PRELIMINARY REPORT !$ !$$UED ONLY 10 PARTICIPANTS IN THE DESIGNATED C00PERAT!YE PA0 GRAM This reoort wss prepared in contemplation of Comission action. It has not rectived patent review and may contain information received in confidence. l Therefore, the contents of this report should neither be disclosed to others l nor reprodu:ed, wholiy or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested l to take the ne:essary action to ensure the protection of this report. '

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Approved : August 29, 1984 52 .

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS pm W EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT Tl : NRC Project Manager

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SUBJECT:

ORAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COPNENT The enci9:cd "Oraf t Preliminary Report (Code)" is being submitted for comment.

It is our understanding that the concent period shall extend six months 1 rom the dat1 of malling of the draft to the participants. Upon resolution of the coments af ter that period and with concurrence of the cooperative program participants, the NRC Program >'anager will authorize publication of this 1

( report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202.

DOE Facility or Contractor Representative

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53 Approved: Auguit 29, 1984

Pt*BLICATION OF TECHNICAL 5tEPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED .NRC Appendix 320 UNDER OE PURSt' ANT TO INTER AGENCY AGREEMENTS Part VI EXHIBIT 26 TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS -

R e cipier.t s . Addresses on attached labels Method of Maibng:

C/' First Class Postal Service to t'. S. addresses C/ Express mau to l' S. addresses

• _/ Air mail to foreign addresses

• C/ Surface mail to fereign addresses (may require up te three (3) men'.hs)

THIS MA!L!NG CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENS'T!VE l'NCLASSITIED !NFORMATION Special Instructions:

Individual Requesting Maihng.

Project Manager or Hagn Authority

Enclosures:

1. Address labels .

2. Documents to be maued

'If premium cost mail services are to be used, a Division Director or compar-able or higher authority must certify to'the meed on NRC Form 420, "Request for Premium Cost Mau Service," Premium cost mail is:

1. Express Mau Priority Mau (First Class weishir.g more than 12 ounces)

2. International Express. Mau (Air Mail weighing more than 10 ounces)

(See Chapter NRC 0255 058 and NRC Appendix 0255, Part V Annex A) 9 Approved: August 29, 1964 o.