Text

Contract: Integrated Library Sys, Awarded to On-Line Computer Sys,Inc
	ML20245G844
Person / Time
Issue date:	05/11/1989
From:	Lynn D, Smith P; NRC OFFICE OF ADMINISTRATION (ADM), ON-LINE COMPUTER SYSTEMS, INC.
To:	;
Shared Package
ML20245G840	List: ML20245G837; ML20245G844;
References
	CON-FIN-D-4189, CON-NRC-33-89-145 NUDOCS 8906290280
	Download: ML20245G844 (135)
	v • d • e

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CONT A T'$^ " RA T aNG PAGE UF P AG ta

.. , AWARD / CONTRACT Q'Ogn p i5CFR 03

2. CON T R AC T (Proc. Jnst. 4de n t. A NO. J. EF F ECTIVE DAT E 1l 9

4. REQua51T SON / PURCHASE AEQUEST/ PROJECT NU.

! NRC-33-89-145 April 1, 1989 RS-ARM-89-145 S. SucO ev 6. ADMINISTERED BY ft/ other then 4sem 6)

CODEI ._

CODE l I

U.S. Nuclear Regulatory Commission Division of Contracts and Property Mgmt.

Washington DC 20555

7. N AME AND ADDRESS OF CONT R ACTOR (No , stre-rf. carv. countv State and ZIP Codel 8. DELivE R Y Online Computer Systems, Inc. foe ORIGIN gOTHeR,s,,t,ow, 20251 Century Boulevard 9. DiSCOU~ T rO R pROMg1 p Av MENT Germantown. MD 20874 N/A

10. SUBMIT INVOICES l'T EM (4 topses unless other.

wise specified) TO THE l2 CODE F ACILITY CODE ADDRESS SHOW!! IN umm TO/MARn EOR , ,, p, v o , , , ,, c, ,, y ,0 c ,, ,

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U.S. Nuclear Regulatory Commission See Section F.3 Div. of Accounting and Finance Gov /Com Section

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Washinaton DC 20555

13. UTHORITY FOR USING OTdRMAN FULL AND OPEIfCOM6E'rl7

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14.

B&R ACCOUNTING No. 9402( AN$0925A PP ROPMlf D OATSo. 31X0 i , FIN No. D14189 Obligated: $83,713.08 C t o u S C 23%cu O 41 u S C 253<en ,

15A. ITEM NO. 158. SUPP LIES /SE RVICES i 15C. QU AN TIT Y 150. UNIT ISE. UNIT PRICE 15F. AMOUNT The U.S. Nuclear Regulatory Commissio'n hereby accepts Online Computer bystems, inc's

) proposal dated February 8,1989 Ltr dated March 9, .1989 and Best and Final Offer dated March 23, 1989, all of which are incorporated into th is contract by reference, to perform this effort as specified h'erein. See attached El ages forl incor poration administrative changes. I 8906290280 890511 ?

This is a fixed price requirements ccntract. @~3 -145 PNU -!

! I 15G. TOTAL AMOUNT OF CONTRACT > $ A3,713,OR

16. TABLE OF CONTENTS 8/) ISEC. l DESCRIPTION lPAGE15) V) lSEC l DESCRIPTION lPAGE(S)

PART I - THE SCHEDULE PART il- CONTR ACT CLAUSES y A SOLICITATION /CONTR ACT FORM 1 Xl l l CONTRACT CLAUSES } 7-8 X B SUPPLIES OR SE RVICES AND PRICES / COSTS 2-3 PART m - uST Or DOCUMENTS, EXHIBITS AND OTHE R ATTACH.

lC DESCRIPTION / SPECS] WORK STATEMENT XlJ l LIST OF ATTACHMENTS l9 0 PACKAGING AND MARKING PART IV - REPRESENTATIONS ANO INSTRUCTIONS E INSPECTION AND ACCEPTANCE K REPRESENTATIONS CERTIFICATIONS AND y F OELIVE PIES OR PERFORMANCE 4 OTHER STATEMENT 9 OF OFFERORS yl G CONTR ACT ADMINISTR ATION OAT A 6 L INSTRS . CONOS . AND NOTICES TO OFFERORS yi H SPECI AL CONTR ACT REQUIREMENTS 6 M EVALUATION F ACTORS FOR AWARO CONTRACTING OFFICER WIL L COMPLETEITEM 17 OR 18 AS APPllCABL E

17. CONT RACTOR'S NEGOTIATED AGRE EMENT (Contractor as re. 18. AWARD (Contractor as not regusred do sign this document.) Your CDn f actOf r 10 W M in and 00 e e atMm5 Or De or el t ele veces

.m=. ==,m.,:,= ===,:". =

Cintract shall be SuDiett to and governed Dy the followen4 OOCufnentit (a) thil

'm =:a'==s===,em=:=== l n e 40 tO 10 Chan9el made Oy you wnsch additions or Cnanges in5tl Of the followen9 OOCuments: qa) the Government'$ 1088C8tation and your '

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,xtenCe nere.n. ,

19A. NAME AND T IT LE OF SIGNE R tType or prants 20A. NAME OF CONT R ACTING OF FICER Donna L. Lynn Executive Vice President & General Manager Patricia A. Smith 198 NAME OE CONTR ACTOR, . g 19C. OATE SaGN*D 20s. UNITED ST ATES OF AME RICA 20C. DATE SIGNED BY db -7 tstaneture of pereen oushorued o% - BY Sd$ b-M D N- h l v basens f(fM tstaneture of Contractsne Otticerr _ _ _ _ _ _ _ _ _ _ _ ________l

NRC-33-89-145 PAGE 2 SECTION B-SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS i

B.2 CONSIDERATION AND OBLIGATION--TASK ORDERS (MAR 1987)

(MAR 1987)

a. The total estimated amount of this contract (ceiling) for the products / services ordered, delivered, and accepted under this contract is S83.713.08. The Contracting Officer or other individual specifically authorized under this contract may unilaterally increase this amount as necessary for completion of orders placed with the contractor during the contract period provided such orders are within any maximum ordering limitation prescribed under this contract.

b. The amount presently obligated with respect to this contract is $83.713.08. The Contracting Officer may issue orders for work up to amount presently obligated. This obligated amount may be unilaterally increased from time to time by the Contracting Officer by written modification to this contract. The obligated amount shall, at no time, exceed the contract ceiling as specified in paragraph A above. When and if the amount (s) paid and payable to the Contractor hereunder shall equal the obligated amount,-the Contractor shall not be obligated to continue performance of the work unless and until the Contracting Officer shall increase the amount obligated with respect to this contract. Any work undertaken by the Contractor in excess of the obligated amount specified above is done so at the Contractor's sole risk.

c. The Firm Fixed Prices for the computer facilities and ILS maintenance and support are as follows:

Item No. Item f1onthl y Annual

1. Unlimited CPU Usage and Unlimited 12 M0 $ 3 A72.00 $ 44.064.00 Connect Time (9 Ports @$408.00)

2. Sufficient Megabytes of Storage 12 MO $ 1,083.60 $ 13.003.20 (43 MB Additional Disk @$25.20)

3. ILS Software Maintenance Support 12 MO $ 2.220.49 $ 26.645.88 J

TOTAL AMOUNT (BASIC) $6.976.09 $83.713.08

+

flRC-33-89-145 PAGE 3 SECTION 8 OPTION YEAR Monthly Annual __

Item No. Item

1. Unlimited CPU Usage and Unlimited 12 M0 $4.039.20 $48.470.40 Connect Time (9 Ports @$448.80)

2. Sufficient Megabytes of Storage 12 MO $1.186.80 $14.241.60 (43 MB Additional Disk @$27.60)

3. ILS Scftware Maintenance Support 12 MO $2.442.54 $29.310.48

$7,668.54 $92.022 48_

TOTAL AMOUNT (OPTION YEAR) 1969 1990 ADDITIONAL PORT OPTION ,

$4.896.00 $5.395.60 Charge of Additional Ports (Per Port)

($408.00 Per Mo./1989; $448.80 Per Mo./1990)

CD-ROM CATALOG CPTION

$23.000.00

1. Initial Developing and Premastering 6.000.00

2. Per Update Premastering and Mastering Charges 275.00

3. Software Per Workstation (Quantities 1 to 10) 25.00

4. CD-ROMS Per Disc (Quantities 1 to 10)

NOTE: NRC will specify the number of updates, workstations, and discs when exercising the option.

Listed below are what these items include:

1. Includes up to 40 hours4.62963e-4 days 0.0111 hours 6.613757e-5 weeks 1.522e-5 months of programmer time to customize user interface.

2. Assumes no changes in retrieval or load software between updates with a maximun growth in file size of 10% over one year. Should growth exceed this, or should to be desirable to modify the record, index, or load software to accommodate client-requested changes, update changes will be re-negotiated. Initial file size assumed to be 20,000 records.

3. License for per non-networked user workstation for up to 10 workstations. License fee renegotiated for over 10 workstations or for networked access.

4. Includes 10 deliverables,10 for demonstration replacements, and 5 for Online testing.

5. Local travel and shipping costs charges as incurred.

Other Assumptions:

1

1. NRC is responsible for supplying label art; it is understood that there will be a $300.00 charge for custom labels.

2. Discs supplied in jewel cases; it is understood that there will be an

_ _ _ _ _ _ _ -- -_ ~ ~ _ ma nasw

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j NRC-33-89-145 .PAGE'4 SECTION F-5-

F.3 PLACE OF DELIVERY--REPORTS.(MAR 1987)

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

i a. Project Officer (3 copies)-

U.S. Nuclear Regulatory Commission Contract Number: NRC-33-89-145 Office of Information Resources Management Division of Information Support Services Mail Stop: P-160 Washington, DC 20555

b. Contracting Officer (1 copy)

U.S. Nuclear Regulatory Commission Contract Number: NRC-33-89-145 Division of Contracts.and Property Management Contract Administration Branch-Mail Stop: P-902 Washington, DC 20555 (End of Clause)

F.4 DURATION OF CONTRACT PERIOD (MAR'1987)

ALTERNATE I (MAR 1987)

The ordering period for this contract shall commence on April 1, 1989 and will expire on March 31, 1990. Any orders issued during this period shall be completed within the time specified in the order unless otherwise specified herein. (See 52.216 Ordering).

(End of Clause)

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NRC-33-89-145' PAGE 5 SECTION G SECTION G - CONTRACT ADMINISTRATION DATA G.1 PROJECT OFFICER AUTHORITY (MAR 1987)

ALTERNATE II (MAR 1987)

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

Name: John 0. Redmond (Mail Stop P-160)

Address: U.S. Nuclear Regulatory Commission t

Office of Information Resources Management Division of Information Support Services Washin 20555 Telephone Number:gton, DC (301) 492-7151

b. The Project Officer is responsible for:

.1) Monitoring Contractor performance and recommending to

- the Contracting 0fficer changes in requirements.

2) Inspecting and accepting products / services provided under the contract.

3) Reviewing all Contractor invoices / vouchers requesting I payment for products / services provided under the contract and making recommendations for approval, disapproval, or suspension.

c. The Project Officer is not authorized to make changes to the express terms and conditions of this contract.

(End of Clause)

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NRC-33-89-145 PAGE 6 SECTION H l;

L 1

SECTION H - SPECIAL CONTRACT REQUIREMENTS i

H.1 KEYPERSONNEL(MAR 1987)

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

Ronald J. Mitchell, Consultant / Technical Liaison Spencer C.S. Hines, Project Manager Stephen E. Carton, Project Officer The Contractor agrees that such personnel shall not be removed from the contract work or replaced without como11ance 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) Suitable and timely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming; or

2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract or the.servic2 order, the centract may be terminated by the Contracting Officer for 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 fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.

(End of Clause)

NRC-33-87-145 PAGE 7' SECTION 1-Add the following Full Text Clause:

52.223-6 MAR 1989 DRUG-FREE WORKPLACE (a) Definitions. As used in this clause,

" Controlled substance" means a controlled substance in schedules I through V of section 202 of the Controlled Substances Act (21 U.S.C. 812) and as further defined in regulation at 21 CFR 1308.11-1308.15.

" Conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of the Federal or State criminal drug statutes.

" Criminal drug statute" means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, possession or use of any controlled substance.

" Drug-free workplace" means a site for the performance of work done in connection with a specific contract at which employees of the contractor are prohibited from engaging in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance.

" Employee" means an employee of a contractor directly engaged in the performance of work under a Government contract.

" Individual" means an offeror / contractor that has no more than one employee including the offeror / contractor.

(b) The Contractor, if other than an it.dividual, shall --

(1) Publish a statement notifying its employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violations of such prohibition; (2) Establish a drug-free awareness program to inform such employees about--

(1) The dange. s o' drug abuse in the workplace; (ii) The contractor's policy of maintaining a drug-free workplace; (iii) Any available drug counseling, rehabilitation, and employee i

assistance programs; ar.d (iv) The penalties that may be imposed upon employees for drug abuse violations oc::urring in the workplace.

PAGE 8 SECTION ! l NRC-33-89-145 l

1 (3) Provide all employees engaged in performance of the contract f l

with a copy of the statement required by subparagraph (b)(1) of this j

r,Iause; (4) Notify such employees in the statement required by f J

subparagraph (b)(1) of this clause, that as a condition of continued employment on this contract, the employee will --

(1) Abide by the terms of the statement; and (ii) Notify the employer of any criminal drug statute conviction for a violation' occurring in the workplace no later than five (5) i I

days after such conviction.

(5) Notify the contracting officer within ten (10) days after receiving notice under subdivision (a)(4)(ii) of this clause, from an employee or otherwise receiving actual notice of such conviction; (6) Within 30 days after. receiving notice under subparagraph (a)(4) of this clause of a conviction, impose the following sanctions or remedial measures on any employee who is convicted of drug abuse violations occurring in the workplace:

(1) Taking appropriate personnel action against such employee, up to and including termination; or (ii) Require such employee to satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency.

(7) Make a good faith effort to maintain a drug-free workplace through implementation of subparagraphs (b)(1) through (b)(6) of this clause.

(c) The Contractor, if an individual, agrees by award of the contract or acceptance of a purchase order, not to engage in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in the performance of this contract.

(d) In addition to etner remedies available to the Government, the Contractor's failure to comply with the requirements of paragraphs (b) and (c) of this clause may, pursuant to FAR 23.506, rencer the contractor subject to suspension of contract payments, termination of the contract for def ault, and suspension or deoarment.

(End of Clause)

i .. ,,.

NRC'-33-89-145 PAGE 9 SECTION 0-L Delete Attachment 4 " Standard Form 1411 with Instructions."

1 f

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1. CONTR AGT AD CQDE' L AMENDMENT OF SOLICITATION /MOOlFICATION OF CONTRACT ; .;

2. AMENOMENT, moo.F CAT.ON NO. 4. uruCuvE DATE 4. REaussiT ON,,vRCHAsE REa. NO. s. ,RoaECT NO. af e,,s.eeen, d f' way 1/26/89- RS-ADM-89 la5 ij -

>! ts.assusO av p i. AOM NisTEREo sv rif orner enen 4:eni es_ g k U.S. Nuclear Regulatory Commission

,i Division of. Contracts &' Property. Management

. Mail Stop P-1042. ^

Washington, DC' 20555 j a.NAME AND ADDRESS OF CONT R ACTOR (No..stroes coasney.#tess ene 41P Cosas y) oA. AMENC' MENT OF SOLICITATION NO. -

" RS-ADM-89-145 x

38. DAT ED (SEE ITEnt i 2 o

.70.ALL OFFER 0RS 4,3n,,,

10A. MODIFICATION OF CONT R ACT/ ORDER -

NO.

I loo. oATED tsEE ITEnt isa .

CODE lFACILITY CODE

11. THIS ITEM ONLY APPLIES TO AMENDMENTS.0F SOLICITATIONS T The above numbered solicitation is emenced as rat i.irth in item 14 The hour and date soscified for remipt of Offers is extenaed. b is not ex-tonosd.

' Otters must acknour6eces receipt of this amendment ior to the hour ano cate specifiggggr as amended.by one of the following methods:

' (s) By compietmg items 8 and 15. and returning ' copies of the amendment: (b) By acknoerisoging receipt of this amenoment on seen copy of the offer submettee: or Ic) By seperate letter or toisorem wnich ircludes e reference to the solicitation and amendment numeers. FAILURE OF YOUR ACKNOWLEDG4 MENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFE R. If by virtue of this amenoment you cosire to change en offer already submitted.such change mov be made by 1stegram or -

letter, provised sech telegram or letter maties reference to the solicitation and this amendment. and is received oraor to the openmg hour ano cate specified.

12, ACCOUNTING AND APPROPRIAT6ON DATA (Itargessueds

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS / ORDERS, IT MODIFIES THE CONTRACT / ORDER NO. AS DESCRIBED IN ITEM 14.

A. TMan CHAisGE ORDER 85 i&5UED PURSUANT TO: (Specsty emanorsty) THE CHANGES SET FORTH 4N ITEM 14 ARE MADE IN THE CON-

'g TR ACT ORDER NO. IN ITEM 10A.

S. THE ASOVE NUMSEREO CONTR ACT/OROER IS MOOlFIED TO REFLECT THE ADMINISTR ATIVE CHANGES fasen as e4seise. sn persne office.

approprestsen esse. etc J 5ET FORTH IN ITEM 14. PURSUANT TO THE AUTHORITY OF FAR 43:103(D).

C, THt$ Su8 ELEMENTAL AGREEMENT t$ ENTERED INTO PUR$uANT.TO AUTHOR 6TY OF D. O T HE R ispecafy type of moe4facesson and euanorstyp

~

is required to sign this document and return ~ copies to the issuing office.

tL IMPORTANT: Contractor j_.l is not, le# DESCRIPTION OF AMENOMENT /MOOiF 6 CATION (Oreensaed by (lCF archon naasange, ancsudane sonestofsonicontruca sutreci mester tanere fessasse.s

1. 'Section B. Supplies or Services and Prices / Costs is deleted in its entirely and is '

replaced with Attachment 1.

2. Section F - Deliveries or Performance F.4 Duration of Contract Period is hereby revised as follows:

"The ordering period for this contract shall commence on the effective date of this contract and shall expire 12 months thereafter. In accordance with Sect N I, FAR

'52.217-9 the term of the contract may be extended at the option of the bovernment for one additional year. If the Government exercises such option, the total duration of l- - this contract, including the option period shall not exceed two years."

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!: isA. uA.E A~O m u Oe 3 or.ER < rye, or ,,iar, i A. NA-E ANo TITLE OF CONT a ACTINO OF FiCER iTya. or er.an, Patricia A. Smith

&SC. OATE biutvtO 168. uN4 T ED 5T ATES OF AMERICA 16G. QATE blGNLQ 130s. CON T R Ab t O H/QF F E RO R mM o $2~ s a ____ _ I C /M:T/(J)(a

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Amendment No. One RS-ARM-89-145 Page 2 of 2

3. Part II - Section I - Contract Clauses. Add " Option to Extend the Term of the Contract Services (FAR 52.217-9) ( APR 1984)

(a) The Government may extend the term of this contract by written notice to the Contractor within the time specified in the Schedule; provided, that the Government shall give the Contractor a' preliminary

' written notice of its intent to extend at least 60 days before the' contract expires. The preliminary notice does not commit the Government to an extension.

(b) If the' Government exercises this option, the extended contract shall .be considered to include this option provision.

(c) The total duration of this contract, including the exercise of any options.under this clause, shall not exceed two (2) years.

(End of clause)

(7-104.27(c))

R 1-1.1508-2(d))"

4. Section L - Instructions, Conditions, and Notices to Offerors. L.2 Type of Contract (FAR 52.216-1) (APR 1984) is hereby revised as.follows:

"The Government contemplates award of a fixed price requirements contract resulting from this solicitation.

(End of Provision)"

5. L.11 Level of Effort (Mar 1987)

"The NRC's estimate of the total of professional and clerical effort for this project is approximately one (1) staff year for the duration of this contract. This information is advisory and is not to be considered as the sole basis for the development of the i staffing plans. For the purposes of the Government estimate, 2080 hours0.0241 days 0.578 hours 0.00344 weeks 7.9144e-4 months constitutes a staff year.

(End of Provision)"

a i ,

Attachment 1 fB.3 SUPPLIES OR SERVICES ANO PRICES / COSTS Unit Item- ~ Supplies / Services Quantity Unit Price Amount-ESTIMATED (Monthly Recurring Prices)

1. Unlimited CPU Usage and Unlimited 12 MO $ $'

Connect Time (Approx 9 ports)

2. Sufficient Megabytes of Storage 12 M0 $ $

i. '(Approx 120 MB)

3. ILS Software Maintenance Support 12 M0 $ $

4. Charge of Extra Parts as Necessary 12 M0 $ $

(Approx 2 ports)

TOTAL AMOUNT (BASIC). S $

OPTION YEAR ESTIMATED (Monthly Recurring Prices)

1. Unlimited CPU Usage and Unlimited 12 MO $ $

Connect Time (Approx 9 ports)

2. Sufficient Megabytes of Storage 12 M0 $ $

.(Approx 120 MB)

3. ILS Software Maintenance Susport 12 M0 $ $

4. Charge of Extra Ports as Necessary 12 M0 $ $

(Approx 2 ports)'

TOTAL AMOUNT (OPTION YEAR) $ $

, '

T+: ,.

L OPTION SERVICE Developmentof-CD-ROMCatalog(SeeC.1.3.E) $ $-

TOTAL AMOUNT (OPTION SERVICE) $ $

The above' items shall be priced on a fixed price basis and shall therefore remain unchanged throughout the term of'the contract. Prices should include software maintenance, support services, charges for recurring printouts and other support described under paragraph C.1.3.A, as well as-work performed' under paragraphs C.I.3.C and C.I.3.0.

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. ~. SOLICITATION, OFFER AND AWARD-OMB No.'0505-0005 1; TITLE: Integrated Library System

2. CONTRACT NO. 3. SOLICITATION NO. ,4. TYPE OF: SOLICITATION W. RS-ARM-89-145 Negotiated (RFP)

5. DATE ISSUED 6. REQUISITION / PURCHASE NO.

.- 01/10/89 ARM-89-145 L

7. ISSUED BY 8. ADDRESS OFFER TO-

.U.S. Nuclear Regulatory Commission U.S. Nuclear Regulatory Commission Div. of Contracts & Property Mgmt.

Div. of Contracts and Property Mgmt. Contract' Admin. Branch, MS P-902 Mail Stop: P-1042 Weshington, D.C. 20555 Washington, D.C. 20555-NOTE::In sealed bid solicitations, " offer and offeror" mean " bid and bidder".

SOLICITATION .

9. Sealed offers in original and 5 copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 7, or if handcarried, in the depository located in Room 1011, Tenth Floor, 7920 Norfolk' Ave., Betnesda,-Maryland 20814, until 2:00 P.M. local time on 02/09/89 CAUTION-LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-10. All offers are subject to all tarms and conditions contained in this solicitation.

10. FOR INFORMATION CALL: A. NAME: Donna M. Umbel - . .

B. TELEPHONE NO.: (301) 492-4281 (No Collect Calls)

11. TABLE OF CONTENTS

_ PART/SECTION DESCRIPTION PART I - THE SCHEDULE A SOLICITATION / CONTRACT FORM B SUPPLIES OR SERVICES AND PRICES / COSTS C DESCRIPTION / SPECIFICATIONS / WORK STATEMENT j- 0 PACKAGING AND MARKING E INSPECTION AND ACCEPTANCE F DELIVERIES OR PERFORMANCE G CONTRACT ADMINISTRATION DATA H SPECIAL CONTRACT REQUIREMENTS

'PART II - CONTRACT CLAUSES I CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS K REPRESENTATIONS ' CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFER 0RS M EVALUATION FACTORS FOR AWARD EXCEPTION TO STANDARD FORM 33 STANDARD FORM 33(REV-4-85)

' APPROVED BY GSA/0IRM 6/85 FAR(48 CFR) 23.214(C)

PAGE 2 SOLICITATION, OFFER AND AWARD OFFER (Must be fully completed by offeror)

,- NOTE: Item 12 does not apply if the solicitation includes the provisions at

! 52.214-16, Minimum Bid Acceptance Period.

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

'13. DISCOUNT FOR PROMPT-PAYMENT (See Section I, Clause No. 52.232-8) 10 Calendar days 20 Calendar days 30 Calendar days _ Calendar stays

% __._% ~ _% __._%

14. ACKNOWLEDGEMENT.0F AMENDMENTS (The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related documents numbered and dated:

AMENDMENT NO DATE AMENDMENT NO DATE 15A. NAME AND ADDRESS OF OFFEROR 16. NAME AND TITLE OF PERSON DUNS Code: Facility: AUTHORIZED TO SIGN OFFER (Type or Print) .

ISB. TELEPHONE NO. (Include Area Code) 15C. ( ) CHECK IF REMITTANCE AG RESS IS DIFFERENT FROM ABOVE--ENTER SUCH ADDRESS IN SCHEDULE- ,

17. SIGNATURE: 18. OFFER DATE:

AWARD (To be completed by Government)-

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION

22. AUTHORITY FOR U3ING OTHER THAN FULL AND OPEN COMPETITION

( ) 10 U.S.C. 2304(c)( ) ( ) 41.U.L.C. 253(c)( )

~

23.SUBMITINVOICESTOADDRESSSHOWNINITEME5:

(4 copies unless otherwise specified)

24. ADMINISTERED BY 25. PAYMENT WILL BE MADE BY (If other than Item 7) U.S. Nuclear Regulatory Commission Division of Acennnting and Finance GOV /COM Accounting Section l

Washington, DC 20555 1

26. NAME OF CONTRACTING OFFICER 27. UNITED STATES OF AN RICA 28. AWARD DATE ;

L (Type or Print)

(Signature of Contracting Officer)

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

EXCEPTION TO STANDARD FORM 33 i APPROVED BY GSA/0!RM 6/85

\

s TABLE OF CONTENTS PAGE 3-SOLICITATION, OFFER AND AWARD. . . . . . . . . . . . . . . . . . . . 1 3

TABLE OF CONTENTS . . . . . . . . . . . .. . . . . . . . . . . . . . .

7 SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS . . . . . . . . . .

7 B.1 BRIEF DESCRIPTION OF WORK (MAR 1987). . . . . . . . . . . .

ALTERNATE I (MAR 1987)

CONSIDERATION AND OBLIGATION--TASK ORDERS (MAR 1967). . . . 7 B.2 SUPPLIES OR SERVICES AND PRICES / COSTS . . . . . . . . . . . 8 B.3 SECTION C - DESCRIPTION / SPECIFICATION. . . . . . . . . . . . . . . . -9

/ WORK STATEMENT 9

C.1 STATEMENT OF WORK (MAR 1987). . . . . . . . . . . . . . . .

SECTION D - PACKAGING AND MARKING. . . . . . . . . . . . . . . . . . 13 0.1 PACKAGING AND MARKING (MAR 1987). . . . . . . . . . . . . . 13 14 SECTION E - INSPECTION AND ACCEPTANCE. . . . . . . . . . . . . . . .

E.1 CLAUSES INCORPORATED BY REFERENCE . . . . . . . . . . . . . 14 (FAR 52.252-2) (tPR 1984)

E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987) . . . . . . . 14 15 SECTION F - DELIVERIES OR PERFORMANCE. . . . . . . . . . . . . . . .

F.1 CLAUSES INCORPORATED BY REFERENCE , . . . . . . . . . . . . 15 (FAR 52.252-2) ( APR 1984)

F.2 PREPARATION OF TECHNICAL REPORTS (MAR 1987) . . . . . . . . 15 F.3 PLACE OF DELIVERY--REPORTS (MAR 1987) . . . . ...... 15 F.4 DURATION OF CONTRACT PERIOD (MAR 1987). . . . . . . . . . . 16 ALTERNATE I (MAR 1987) 16 F.5 TECHNICAL PROGRESS REPORT (MAR 1987). . . . . . . . . . . .

F.6 FINANCIAL STATUS REPORT (MAR 1987). . ...........16 17 SECTION G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . . 17 G.1 PROJECT OFFICER AUTHORITY (MAR 1987). . . . . . . . . . . .

ALTERNATE'II (MAR 1987) 17 G.2 TASK ORDER PROCEDURES (MAR 1987). . . . . . . . . . . . . .

G.3 ACCELERATED TASK ORDER PROCEDURES (MAR 1987). . . . . . . . 19 19 G.4 PROMPT PAYMENT (52.232-25) (FEB 1938) . . . . . . . . . . .

ALTERNATE II (FEB 1988)

............ 25 SECTION H - SPECIAL CONTRACT REQUIREMENTS. . i H.1 KEY PERSONNEL (MAR 1987). . . . . . . . . . . . . . . . . . 25 26 l H.2 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987) . . '

H.3 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST . . . . . . 26 (OMB CLEARANCE NUMBER 3150-0112) (MAR 1987) 28 H.4 DETERMINATION OF MINIMUM WAGES AND FRINGE BENEFITS. . . . .

(MAR 1987) 28 H.5 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED . .

(MAR 1987)

PART II - CONTRACT CLAUSES. . . . . . . . . . . . . . . . . . . . . 29 CONTRACT CLAUSES . . . . ...... ..... 29 SECTION I - .

...... 29 1.1 CLAUSES INCORPORATED BY REFERENCE . . . . . .

(FAR 52.252-2) ( APR 1984) 30 1.2 ANTI-KICKBACK PROCEDURES (FAR 52.203-7) . . . . . . . . . .

1 _ _ _ - _

TABLE OF CONTENTS PAGE 4 I.3 ORDERING (FAR 52.216-18) (APR 1984) . . . . . . . . . . . . 32 1.4. DELIVERY-ORDER LIMITATIONS. . . . . . . ......... 32 (FAR 52.216-19) (APR 1984)

I.5 REQUIREMENTS (FAR 52.216-21) (APR 1984) . . . . . . . . . . 33 ALTERNATE I (APR 1984)

I.6 - - AVAILABILITY OF FUNDS FOR THE NEXT FISCAL . . . . . . . . . 34 YEAR (FAR 52.232-19) ( APR 1984)

I.7 SERVICE CONTRACT ACT OF 1965 (I-FSS-222-41) (APR 1984). . . 34 PART III - LIST OF DOCUMENTS, EXHIBITS . . . . ... . . . . . . .. . . 44 AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS. . . . . . . . . . . . . . . . . . . 44 J.1 ATTACHMENTS (MAR 1987). . . . . . . . . ......... 44 PART IV. - REPRESENTATIONS AND INSTRUCTIONS . . . . . . . . . . . . 45 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND . . . . . . . . . 45 OTHER STATEMENTS OF OFFER 0RS K.1 CONTINGENT FEE REPRESENTATION AND . . . . . . . . . . . . . 45 AGREEMENT (FAR 52.203-4) (APR 1984)

K.2 . TYPE OF BUSINESS ORGANIZATION (FAR 52.215-6) (JUL 1987) . . 45 K.3. AUTHORIZED NEGOTIATORS (FAR 52.215-11) (APR 1984) . . . . . 46 K.4- SMALL BUSINESS CONCERN REPRESENTATION . . . . . . . . . . . 46 (FAR 52.219-1) (MAY 1986)

K.5 SMALL' DISADVANTAGED BUSINESS CONCERN. . . . . . . . . . . . 46 REPRESENTATION (FAR 52.219-2) (APR 1984)

K.6. WOMEN-0WNED SMALL BUSINESS REPRESENTATION . . . . ..... 47 (FAR 52.219-3) ( APR 1984)

K.7 PREFERENCE FOR LABOR SURPLUS AREA C0i!CERNS. . . . . . . . . 47 (FAR 52.220-1) (AFR 1984)

K.8 CERTIFICATION OF NONSEGREGATED FACILITIES . . . . . . . . . 48 (FAR 52.222-21) (APR 1984)

K.9 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS . . . . . . . . . 49 (FAR 52.222-22) (APR 1984)

K.10 AFFIRMATIVE ACTION COMPLIANCE . . . . . . . . . . . . . . . 49 (FAR 52.222-25) (APR 1984)

K.11 CLEAN AIR AND WATER CERTIFICATION . . . . . . . . . . . . . 49-(FAR 52.223-1) (APR 1984)

K.12 COST ACCOUNTING STANDARDS NOTICES AND . . . . . . . . . . . 50 -

CERTIFICATION (NONDEFENSE)

(FAR 52.230-2) (APR 1984)

K.13 ORGANIZATIONAL CONFLICTS OF INTEREST (MAR 1987) . . . . . . 52 K.14 CERTIFICATION REGARDING DEBARMENT STATUS (MAR 1987) . .. 53 K.15 0 QUALIFICATIONS OF CONTRACT ENPLOYEES. . . . . . . . . . . . 53 K116 CURRENT /FORMER AGENCY EMPLOYEE INVOLVEMENT. . . . . . . . . 53

~

SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES. . . . . . . . . . 54 TO OFFER 0RS L.1 SOLICITATION PROVISIONS INCORPORATED BY . . . . . . . . . . 54 REFERENCE (FAR 52.252-1) (APR 1984)

L.2 TYPE OF CONTRACT (FAR 52.216-1) ( APR 1984). . . . . . . . . 54 L.3 SERVICE OF PROTEST (FAR 52.233-2) (JAN 1985). . . . . . . . 55 55 L.4 ACCEPTANCE PERIOD (MAR 1987). . . . . . . . . . . . . . . .

L.5 SMALL BUSINESS SIZE STANDARD AND PRODUCT CLASSIFICATION . . 55 i

(MAR 1987) ALTERNATE I (MAR 1987)

!. L.6 AWARD NOTIFICATION AND COMMITMENT OF PUBLIC FUNDS (MAR 1987) 55

! TABLE OF CONTENTS PAGE 5 L L.7- DISPOSITION OF PROPOSALS (MAR 1987)-. . . . . . . . . . . . 56

! L.8' PROPOSAL PRESENTATION AND FORMAT (MAR 1987).. . . . . . . . 56 ALTERNATE I (MAR 1987)

'L9 NONDISCRIMINATION BECAUSE OF AGE (FAR 22.901) (MAR 1987). . 59 L 10 DATA UNIVERSAL NUMBERING SYSTEM DUNS NUMBER (MAR 1987). . 59 L.11 LEVEL OF EFFORT (MAR 1987 ) . . . (. . . ) . . . . . . . . . . . 5 9 SECTION M - EVALUATION FACTORS FOR AWARD . . . . . . . . . . . . . . 60- i M.1 SOLICITATION PROVISIONS INCORPORATED BY . . . . . . . . . . 16 0 REFERENCE (FAR 52.252-1) (APR 1984)

M.2 CONTRACT AWARD AND EVALUATION OF PROPOSALS. (MAR 1987) . . 60 M.3 EVALUATION-CRITERIA (MAR 1987). . . . . . . . . . .... 61

PAGE 6 OFFER 0RS/ BIDDERS PLEASE NOTE:

An-(*) means the information-is to be incorporated into any resultant contract.

O

. I

o . PAGE'7 L RS-ARM-89-145 Section B SECTION 8 - SUPPLIES OR SERVICES AND PRICE / COSTS B.1 BRIEF DESCRIPTION OF WORK (MAR 1987)

ALTERNATE I (MAR 1987) ,

a. Brief description of-work:

The U.S. Nuclear Regulatory Commission requires U software maintenance, support and timesharing services i for the Integratec' l.ibrary System, ILS(TM), with' demonstrated capability to. install and implement specific future enhancements. Additional related services shall.be provided as required on a task order basis,

b. Orders will be issued for work required by the NRC in accordance with 52.216 Ordering. The NRC reserves the right to withdraw a proposed order at any time prior to its formal award.

Only. Contracting Officers of the NRC or other. individuals specifically authorized under this contract may authorize the ~

initiation of work under this contract. The provisions of this contract shall govern all task orders issued hereunder.

(End of Clause)

B.2 CONSIDERATION AND OBLIGATION--TASK ORDERS (MAR 1987) ,

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

contract is __ * . The Contracting Officer or other individual specifically authorized under this contract may unilaterally increase this amount as necessary for completion of orders placed with the contractor during the contract period provided such orders are within any maximum ordering limitation prescribed under this contract.

b. The amount presently obligated with respect to this contract is _

__.. The Contracting Officer may issue orders for work up to amount presently obligated. This obligated amount may be unilaterally increased from time to time by the Contracting Officer by written modification to this contract. The obligated amount shall, at no time, exceed the contract ceiling as specified in paragraph A above. When and if the amount (s) paid and payable to the Contractor hereunder shall equal the obligated amount, the Contractor shall not be obligated to continue performance of the work unless and until the Contracting Officer shall increase the amount obligated with respect to this contract.

Any work undertaken by the Contractor in excess of the obligated amount specified above is done so at the Contractor's sole risk.

PAGE 8 RS-ARM-89-145 Section B

-c. 'A total estimated cost and fee, if any, will be negotiated.for each task order and will be incorporated as a ceiling in the resultant task order. The Contractor shall comply with the

. provisions of 52.232 Limitation of Cost for fully funded task orders and 52.232 Limitation of Funds for incrementally funded

' task orders,. issued nereunder.

(End of Clause) i sveruss/st =viets uwir uun emet m ouwt

Tru wo.

l - l onut:Tv l B.3 SUPPLIES OR SERVICES AND PRICES / COSTS ESTIMAT.EQ (Monthly Recurring Prices)

1. Unlimited CPU Usage and Unlimited Connect Time (Approx 9 ports) 36 M0 5 5

2. Sufficient Megabytes of Storage 36 MO (Approx 120 MB)

3. ILS Software Maintenance Support 36 f10

4. Charge of Extra Ports as Necessary 36 MO (Appror, 2 ports)

TOTAL AMOUNT (BASIC)

$ 5 Optional Service Development of CD-ROM Catalog (See C.1.3.E) S S TOTAL AMOUNT (OPTION)

The above items shall be priced on a fixed price basis and shall therefore remain unchanged throughout the term of the contract. Prices should include i l software maintenance, support services, charges for recurring printouts and other support described under paragraph C.1.3.A.

as well as work performed under para-graphs C.1.3.C and C.1.3.0.

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,. PAGE 9 RS-ARM-89-145- Section C

)

l J

SECTION C - DESCRIPTION / SPECIFICATION

/ WORK STATEMENT C.1 STATEMENT OF WORK (MAR 1987)

C.1.1 -Background ,

y In 1983, the Nuclear Regulatory Commission Library acquired a ,

license for Version 2.2 of the public-domain Integrated Library System, ILS(TM), that had been developed in the late 1970's by the National Library of Medicine. ILS(TM) is a minicomputer-based, fully -integrated library system owned by the Federal government and licensed through the National Technical Information Service.

The system was installed by a contractor on an off-site minicomputer accessible by NRC in a timesharing mode. .All available subsystems were made fully operational arid are now in daily r*e in .the NRC Library. .These subsystems of ILS(TM) are as follows:

administrative, bibliographic control, catalog access, circulation, and seriais control. Because catalog records are input to one Master Bibliographic File, the system is centra 1 to all NRC'11brary operations.

In 1984, the contractor provided special programming to enable the Library to update its ILS(TM) patron file on a regular basis using a current NRC telephone master tape to ensure correct names and addresses of NRC patrons. Refinement of this procedure is now under way through a task order.

In 1985, the NRC Library acquired the M300 Workstation, which includes an IBM Personal Computer, from the Online Computer Library Center (OCLC), Dublin, Ohio, to provide access to the shared cataloging records in the OCLC union catalog. NRC'S contractor provided programming services to implement interface between OCLC and ILS(TM).

In 1986, the NRC Library upgraded the system to Version 3.0 of ILS(TM). This required special programming by the contractor to permit conversion of carts to locations, as well as' expert advice in such matters as reindexing and revised data entry procedures. In 1987 the contractor assisted the NRC in implementing an enhanced serials control subsystem that had been developed n the Pentagon Library.

During the period 1984-1987, the NRC Library was a participant, through the Federal Library and Information Center Committee (FLICC), in a contractual, fully funded, cooperative effort to complete the acquisitions subsystem of ILS(TM). In addition to the Incumbent Contractor is On-line Computer Systems, Inc. Contract Number is NRC-33-86-268 and can be obtained through our Public Document

_-__ __ __ _&aa_nmLa%n36L_.

PAGE 10 .

{

.RS-ARM-89-145 Section C

{

NRC, th'e other Federal' agencies involved were the National Security Agency, Pentagon Library, and Walter Reed Army Institute of Research. The completed acquisitions subsystem was added to the public-domain Version'3.0 of ILS(TM) and is now being installed in the' NRC Library with the careful cooperation of the contractor.

The ILS software is written in the high-level programming-language, MIIS (Meditech Interpretive Information System), a dialect of MUMPS (Massachusetts Utility Multi-Programming System). ILS requires a unique MIIS operating system. . The license holder of MIIS is Meditech, Inc. , Cambridge, Mass. The ILS software will run on three

' types of minicomputer equipment: Data General-Eclipse series, Digital Equipment Corporation PDP-11 series, and IBM series 1.

Because the NRC does not have a minicomputer dedicated to the MIIS operating system, the ILS(TM) is currently operating in a timesharing mode with nine active ports to permit use of seven CRT' terminals, the M300 workstation, and a printer. .The minicomputer now in use is a Data General MV6000. Telecommunications are maintained through paired MICOMBOX Type 2 Enhanced Statistical Multiplexer, with one' set at the contractor's minicomputer site.

The multiplexors are owned by the NRC.

During the first year of the contract it is expected that the NR0 Library will request the' contractor to develop CD-ROM disks as an alternative format for the Library's online catalog. These disks .

will serve as a back-up to the online system and will provide access to the Library's holdings for remote users in One White Flint North, Rockville, Maryland and the five regional libraries. The cont'ractor will take the necessary steps to prepare a tape *of the Library's database, create a CD-ROM master disk, and generate multiple CD-ROM replicas on a periodic basis. Programming tasks will include establishing indexes for browsing and searching, including author, title, subject, and call number. CD-ROM disk development will be an optional service under the contract, as described below.

C.1.2 Contract Objective The Library of the Nuclear Regulatory Commission requires software maintenance and support and timesharing services for the Integrated Library System ILS(TM) as installed in 1983 and subsequently enhanced, with demonstrated capability by the contractor to install and implement specific future enhancements.

C.1.3 Statement of Work j C.1.3.A ILS(TM) Applications Software Support The contractor will provide the necessary personnel, equipment, and facilities to give maintenance and support for the ILS(TM) applications software now installed and implemented for use by the NRC Library.

The contractor wil nerform maintenance services which include problem analysis, error correction, correction of design constraints

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1 I 9

o

, PAGE 11 l RS-ARM-89-145 Section C and bugs,' file backup and retrieval, applic'ation of minor software changes, file sizing adjustments, and user liaison.

TypicalILS(TM)supportservicesmayincludespecialprogramming, ILS-related ca641oging support, training, development of user's manuals, ILS software testing and evaluation, and production of special reports. .

Contractor personnel must be experienced with the MIIS/ MUMPS language'to provide the kind of technical assistance which the'NRC requires for day-to-day operation of IL5(TM) and provide any modifications or additions to the ILS software. The contractor's personnel must have experience with OCLC/ILS interface.

The contractor will assign a library programmer / analyst to be the primary contat with NRC for support services, to provide on-call maintenance ti, support within three working hours of notification by the NRC Project Officer.

.All software and documentation of the ILS(TM) as installed in the NRC Library and any produced under this contract will remain the

- property of the NRC Library. The contractor shall update and maintain the ILS(TM) file documentation and make it available to the NRC on request. All software modified and developed under the contract will be coordinated by the contractor with the Project Officer prior to installation in the NRC ILS(TM) system.

C.I.3.B Task Order Effort The contractor shall provide ILS-related installation advice on NRC-owned equipment at NRC sites as required on a task order basis.

Additional NRC requirements within the scope of this contract will be on the basis of task orders issued by NRC. Tasks will be defined and communicated in writing to the contractor and will specify the services to be provided, schedules, resource allocations, and deliverables. Costs associated with tasks will be negotiated on a task-by-task batis.

Refer to G.6 for Task Order procedures.

C.1.3.C MIIS Operating System 1

The contractor shall provide services to the NRC Library to maintain l and resolve any problems with the MIIS operating s.ystem, including ;

the following: i

1. Diagnose operatirg system problems.

2. Contact operating system vendor to remedy problems, as necessary.

3. Restore operating system after crashes.

4. Follow up with operating system vender on all problems.

l 5. Install any updates to operating system.

6. Serve as liainn for all questions and problems the NRC

PAGE 12 RS-ARM-89-145 Section C Library may have regarding the operating system.

The contractor will ensure correction of system problems within three working days of notification by the Project Officer.

Contractor personnel must be thoroughly experienced with the MIIS operating system to resolve system problems.

C.I.3.D Timesharing Computer Services The _ contracter shall provide services to the NRC in a timesharing mode for access to and operation of ILS(TM) on a minicomputer which will run the MIIS operating system. This minicomputer should have sufficient megabytes of storage available to accommodate the NRC Library's database.

The NRC requires that the ILS(TM) be available between the hours of 7:15 a.m. and 6 p.m., on each of NRC's normal workdays. In addition, computer services shall be made available on Saturday, Sunday, and holidays upon advance notice by the Project Officer.

The standard of computer availability (uptime) of the ILS(TM) system to the NRC library staff has been set at 96% during NRC's normal work days. . The following fomula will be applied by the NRC to assess costs for any motith when unexcused downtime exceeds 4%. The total monthly recurring price for unlimited connect time shall be determined by use of the following formula:

Unlimited connect time = Unlimited connect time charae multiolied by:

E-F E

Definitions A= Hours of service requested by NRC as determined by project officer ledgers B= Hours service not perfomed due to causes beyond the control and without fault or negligence of the contractor. (See paragraph C of the contract clause " Default").

C=A - B = Hours contractor could have performed the service D= 96% = Service uptime standard E=C X D .= Service hours required of contractor F= Hours that service was not available that are not classified as itemBabove(unexcuse,ddownti,mehours)

_ _ _ _ _ . _ _ _ _ _ l

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RS-ARM-89-145 PAGE 12a SECTION C i

l The contractor must provide computer security, back-up and recovery teenniques to minimize the effects of any failures. These include l programs and procedures which protect the NRC Library from loss or damage to its machine readable database. l

- After a camouter failure has caused downtime, periods during which NRC Library does not have access to ILS(TM) because data recovery procedures are being utilized by the contractor,- will be defined as l downtime even though the computer has been repaired and is operating.

The contractor will be required to have the capability of activating as many as 2 additional ports to accommodate dedicated or dial-up access from other NRC sites, if necessary. System response time shall not be more than 6 seconds. Extra ports, if required, will be added by modification to the contract. The contractor will receive a sixty day notice to add additiomi ports.

C.1.3.E Optional Services.

The contractor shall develop a CD-ROM catalog for the Library, as an i alternative format to be used for backup and remote access.

This service is established as a priced option hereunder which may be exercised at the discretion of the NRC through issuance of contract modification citing the authority of this clause.

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l PAGE 13 RS-ARM-89-145 Section'O L

SECTION O - PACKAGING AND MARKING D.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, liniform Freight Classification Rules, or regulations of other carriers as applicable to the mode of transportation. On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided.

(End of Clause) 9 0

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'PAGE 14

[ lRS-ARM-89-145~ Section E p

SECTION E - INSPECTION AND ACCEPTANCE V

L '

E.1 CLAUSES INCORPORATED BY REFERENCE (FAR 52.~252-2) (APR 1984)

This contract incorporates the following clauses by reference.

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

I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER-1) CLAUSES CLAUSE NUMBER DATE TITLE 52.246-4 APR 1984 INSPECTION OF SERVICES -- FIXED-PRICE I

E.2 - PLACE'0F INSPECTION AND ACCEPTANCE (MAR 1987)

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

' destination. ,

(End of Clause) l 1

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x PAGE 15 Section F LRS-ARM-89-145

-l SECTION F - DELIVERIES OR PERFORMANCE F.1 CLAUSES INCORPORATED BY REFERENCE .!

(FAR 52.252-2) (APR 1984)

This contract incorporates the following clauses 'y b 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 52.212-13 APR 1984 STOP-WORK ORDER '

52.212-15 APR 1984 GOVERNMENT DELAY OF WORK F.2 PREPARATION OF TECHNICAL REPORTS (MAR 1987)

All technical reports required by Section C and all Technical Progress Reports required by Section F are to be prepared in accordance with the attached NRC Manual Chapter 3202.

(End of Clause)

F. 3 PLACE OF DELIVERY--REPORT 5 (MAR 1987)

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

a. Project Officer (2 copies)

U.S. Nuclear Regulatory Commission Contract Number: _ . _ _ _ , _

Office of _ _ *.___ !

Division of

Mail Stop:

Washington, D.C. 20555 l b. Contracting Officer (1 copy)

U.S. Nuclear Ragulatory Commission !

Contract Number: _ _ _ _* _ .

Division of Contracts Contract Administration Branch Mail Stop: P-902 Washington, D.C. 20555 i

'PAut 26 RS-ARM-89-145 Section F F4 DURATION OF CONTRACT PERIOD (MAR 1987).

l ALTERNATE I .-(MAR 1987)

The ordering period for this contract shall commence on

and will expire on __* ___. Any orders issued during this period shall be completed within the time specified in the order, unless otherwise specified herein. (See 52.216 Ordering).

(End of Clause)

F.5 TECHNICAL PROGRESS REPORT (MAR 1987)

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

a. A listing of the efforts comoleted curing the period; milestones reached or, if missec, an explanation provided;

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

c. A summary of progress to date; and

d. Plans for the next reporting period.

(End of Clause)

F. 6 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 cays after the end of the report period and shall icentify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall include the following for each discrete task:

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

reflected in the contract, the amount of funes available in the contract to date, and the balance of funds required to complete the work as follows:

1) Total Estimated Contract Amount.

2) Total Funds Obligated To Date.

3) Total Costs Incurred This Reporting Period.

4) Total Costs Incurred To Date. '

5) Balance of Obligations Remaining.

6) Balance of Funds Required To Complete Contract.

b. Detail of a eect and indirect costs incurred during the reporting period t each task.

. (EndofClause)

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RS'-ARM-89-145 Section G s

SECTION G - CONTRACT ADMINISTRATION DATA c .G.1 PROJECTOFFICERAUTHORITY(MAR 1987) '

l

' ALTERNATE II (MAR 1987)

a. The Contracting Officer's authorized representative

- hereinafter referred to as the Project Officer for this contract is:

L ,

Name: __

Address:

a Telephone Number: _

b. The Project Officer is responsible for:

1) Monitoring Contractor performance.and recommending to the Contracting Officer changes in requirements.

2) Inspecting and accepting products /servir.es provided under the contract.

3) Reviewing all Contractor invoices / vouchers requesting payment for products / services provided under the contract and making recommendations for approval, disapproval, or suspension.

c. The Project Officer is not authorized to make changes to the express terms and conditions of this contract.

(End of Clause)

G.2 TASK ORDER PROCEDURES (MAR 1987)

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

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

2) Reporting Requirements.

3) Period of Performance - Place of Performance.

4) Applicable Special Provisions.

5) Technical Skills Required.

6) Estimated Level of Effort.

PAGE 18^-

RS-ARM-89-145 Sectier. G

' b. Task Order Proposal By the date'specified in the Task Order Request for Proposal, the Contractor shall deliver to the Contracting Officer a written Task Order Proposal that provides'the following technical and. cost.information., as appropriate:

1). Technical Proposal Content.

a). A discussion of the scope of work requirements to substantiate the Contractor's understanding of the requirements of the Task Order and the Contractor's proposed method ef. approach to meet the objective of the order.

b) Resumes for professional personnel proposed to be utilized in the performance of any resulting task order. Include educational background, specific pertinent work experience and a list of any pertinent publications authored by the individual.

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

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

2) Cost Proposal.

The Contractor's cost proposal for each Task Order shall be prepared using the Standard Form 1411, Contract Pricing Proposal cover sheet. A copy of the form and instructions are attached to this contract. Each Task Order cost proposal shall be fully supported by cost and pricing data adequate to establish the reasonableness of the proposed amounts.

c. Task Order Award The Contractor shall perform all work described in definitized Task Orders issued by the Contracting Officer.

Definitized Task Orders will include the following:

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

2) Reporting Requirements.

3) Period of Performance.

4) Key Personnel.

5) Applicable Special Provisions.

6) Total Task Order amount.

(End of Clause)

.+

_ _. _ _ _ _ _ _ _ . _ _ _ . _ _ _ _ _ _ _b

3, PAGE 19 RS-ARM-89-145 Section G G.3 ACCELERATED TASK ORDER PROCEDURES (MAR 1987) a.. The NRC may require the Contractor to commence work before receipt of a definitized Task Order from the Contracting Officer.

Accordingly, when the Contracting Officer verbally authorizes, the Contractor shall proceed with performance of the Task Order subject to monetary limitation established for the Task Order by the Contracting Officer. .

b. When this accelerated procedure is employed by the NRC, the Contractor agrees to begin promptly negotiating with the Contracting Officer the terms of a definitive Task Order and agrees. _I to submit a cost proposal with supporting cost or pricing data. If agreement on a definitized Task Order is not reached by the target date mutually agreed upon by the Contractor and Contracting Officer, the Contracting Officer may determine a reasonable price and/or fee in accordance with Subpart 15.8 and Part 31 of the FAR, subject to Contractor appeal as provided in 52.233 Disputes. In any event, the Contractor shall proceed with completion of the Task Order, subject only-to the monetary limitation established by the Contracting Officer and the terms and conditions of the basic contract.

(End of Clause)

G.4 PROMPT PAYMENT (52.232-25) (FEB 1988)

ALTERNATE II (FEB 1988)

Notwithstanding any other payment clause in this contract, the Government will make invoice payments and contract financing payments under the terms' and conditions specified in this clause.

Payment shall 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 Government and final cost or fee paymonts where amounts owed have been settled between the Government and the Contractor.

(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:

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

(ii) The 30th day after Government acceptance of supplies

PAGE 20 j Section G RS-ARM-89-145 I:

delivered or services performed by the Contractor. On a final invoice where the' payment amount is subject to contract settlement actions,.a:ceptance shall be deemed to have occurred on the effective date of the contract settlement.

1.

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

(1) The due date u. at 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 Pub. L.98-181 to include poultry, poultry products, eggs,'and egg products, will be as close as possible to, but not later than, the :7th day after product delivery.

(ii) The due date for perishable agricultural commodities, as defined in Section 1(4) of the Perishable Agricultural Commodities Act of 1930 (7 U.S.C. 499a(44)), will be as close as possible to, but not later thcn, the 10th day after product delivery, unless another date is specified in the contract.

(iii) If the contract does not require submission of an invoice for payme_nt (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 paymert 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).

i 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 after 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 computation of any interest penalty owed the Contractor in the manner described'in subparagrpah (a)(6) of this clause.

(i) Name and address of the Contractor.

(ii) Invoice date.

(iii) Contract number or other authorization for supplies delivered or services performed (includin) erder number and contract line item number). (iv) Description, que ttry, unit of measure, unit price, and extended price of supplies delivered or services performed.

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

(vi) Name and address of Contractor official to whom payment is O

cf

PAGE 21 RS-ARM-89-145 Section G to be sent'(must be the same as that in the contract or in a prepar notice of assignment).

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

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

(viii) Any other information or docume..tation. required by other requirements of the contract (such as evi'dence 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 1

food products and 5 days.for perishable agricultural 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 condition.

(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 the 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 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 a~dded to the approved invoice payment amount 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 Contractor 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.

(i) 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 conditions of the contract, unless there is a disagreement over quantity, quality, or contractor compliance with a contract provision. In the event that actual ,

l

RS-ARM-89-145 Section G acceptance occurs within the constructive acceptance period, the determination of an interest penalty shall be based on the actual date of acceptance. The constructive acceptance requirement does not, however, compel Government officials to accept supplies or services, perform contract administration functions, or make payment prior 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 of . defects in invoices submitted to the Government, but this may not exceed 15 days (3 days for mest and meat food products and 5 days for perishable agricultural commodities).

(B) The period between the defects notice and resubmission of the corrected invoice by the Contractor.

(iii) Interest penalties will not continue to accrue after 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.

(7) An interest penalty shall also be paid automatically by the designated payment office, without request from the contractor, if an improperly taken discount for prompt payment was not corrected within 15 days after the expiration 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 begir.ning with the first day after 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" means a Government disbursement of monies to a Contractor under a contract clause or other authorization prior to acceptance of supplies or services by the Government. Contract financing payments include advance payments, progrers payments based on cost under the clause at 52.232-16, Progress Payme'nts, progress payments based on a percentage or stage of completion (32.102(e)(1)) other than those made under the clause 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 cost type contracts.

l 4

.e

. - ~ . _ _ - . . ._

PAGE 23 RS-ARM-89-145 Section G i

(2) For contracts that provide for contract financing, requests

! for payment shall be submitted to the designated billing office as specified in this contract or as directed by the Contracting Officer. Contract financing payments shall be made on the (insert day as prescribed by Agency head; if not prescribed, insert 30th day) day after 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 payment.; shall not be assessed an interest penalty for payment delays.

l (c) Electronic Funds Transfer.

Payments under this contract will be made by the Government either j

)

by check or electronic funds trusfer (through the Treasury rinancial Communications System (TFCS) or the Automated Clearing l House (ACH)), at the option of the Government. After award, but no j 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 l 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 3-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:

PAGE 24 RS-ARM-89-145 Section G (i) Routing, transit numbers'of the financial institution receiving payment (same as American Bankers Association identifying number used.for TFCS).

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

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

(iv) If the Contractor is a new enrollee to the ACH system, a

" Payment Information 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 information 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 to provide it, as well as the, Contractor's name and contract number.

(5) Contractor failure to properly designate a financial institution or to provide appropriate payee bank account information may del,ay payments of amounts otherwise properly due.

(End of clause) l' h

4

- 0 PAGE 25 RS-ARM-89-145 Section H i

SECTION H - SPECIAL CONTRACT REQUIREMENTS l

H.1 KEYPERSONNEi.(MAR 1987)

a. The following individuals are considered to be essential 1 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) Suitable and timely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming; or

2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract 1 or the service order, the contract may be terminated by the Contracting Officer for 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

t. . _ _ _ _ - . _ _ _ . - _ _ _ _ _ -__ _---___- __ _ _ _ _

r_____.

PAGE 26 RS-ARM-89-145 Section H J

fee may be equitably adjusted downward to compensate the Government l

for any resultant delay, loss or damage.

(End of Clause) !

H.2 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987)

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

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

(End of Clause)

H.3 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 ,

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 i' employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written approva'i of the Contracting Officer prior to execution of such contractual arrangement.

d. Disclosure after award.

1) The Contractor warranu 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 20-1.5402(a).

2) The Contractor agrees that if after award it discovers 9

m____.

r- ~ <

~.

.l PAGE 27 l RS-ARM-89-145 Section H j 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 3 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 obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of.1974 (Pub. L.93-579), or data which has not been released to the public, the Contractor agrees not to:

(1) Use such information for any private purpose until the information has been released to the public; (ii). Compete for work for the Commission based on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public, whichever. is first; (iii) Submit an unsolicited prcposal to the .

Government based on such information until one year after the release of such information to the public, or (iv) Release the information without prior written approval by the Contracting Officer unless such information has previously been released to the public b" 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 rest'rictions 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 20-1.5402(h),

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

and " Contracting Officer," shall be appropriately modified to

' preserve the Government's rights.

g. Remedies. For breach of any of the above prescriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representati ns as necessarily imply bad faith, the Government may terminate the contract for default, disqualify the

PAGE 28 RS-ARM-89-245- Section H.

J- 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 Opers,tions (EDO) in. accordance with the procedures outlined in 20-1.5411.-

(End of Clause).

H.4 DETERMINATION,0F MINIMUM WAGES AND FRINGE BENEFITS 9

(MAR 1987)

Each employee of the Contractor or any subcontractor performing services under this contract shall be paid at least the

- minimum allowable monetary wage and fringe benefits prescribed under Wage Determination Nr .er. dated 12/20/88 whitn is. attached (See Section J for Lu c of~KttTchments).

(End of Clause)

H.5 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) 4 2

8

, . q l

J PAGE 29 i RS-ARM-89-145 Section I I

i PART II - CONTRACT CLAUSES )

SECTION I -

CONTRACT CLAUSES J

1 I

l l

. J

-I.1.

CLAUSE 5 INCORPORATED BY REFERENCE

. (FAR 52.'252-2) (APR 1984) -

This contract-incorporates the following clauses by reference.

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

. full text available.

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

, NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS 52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 1984 COVENANT AGAINST CONTINGENT FEES i 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 1988 AUDIT -- NEGOTIATION 52.215-22 APR 1988 PRICE REDUCTION FOR 0EFECTIVE COST OR PRICING DATA 52.215-23 APR 1985 PRICE REDUCTION FOR DEFECTIVE COST OR

PRICING DATA -- MODIFICATIONS 52.215-24 APR 1985 SUBCONTRACTOR COST OR PRICING DATA 52.215-25 APR 1985 SUBCONTRACTOR COST OR PRICING i DATA -- MODIFICATIONS 52.215-26 APR 1987 INTEGRITY OF UNIT PRICES 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.217-5 JUN 1988 EVAL OF OPTIONS 52.217-7 APR 1984 OPTION FOR INCREASED QUAN111Y S2.219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVAN1 AGED !

BUSINESS CONCERNS 1

. PAGE 30 RS-ARM-89-145 Section 1 52.219-13 AUG 1986 UTILIZATION OF WOMEN-OWNED SMALL BUSINESSES 52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS 52.220-4 APR 1984 LABOR SURPLUS AREA SUBCONTRACTING PROGRAM 52.222 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 52.223-2 APR 1984 CLEAN AIR AND WATER

.52.227-1 APR 1984 AUTHORIZATION AND CONSENT 52.227-2 APR 1984 NOTICE ~AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT 52.229-3 APR 1984 FEDERAL, STATE, AND LOCAL TAXES 52.229-5 APR 1984 TAXES -- CONTRACTS PERFORMED IN U.S.

POSSESSIONS OR PUERTO RICO 52.230-3 SEP 1987 COST ACCOUNTING STANDARDS ,

52.230-4 SEP 1987 ADMINISTRATION OF COST !

i ACCOUNTING STANDARDS

- 52.230-5 AUG 1986 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES 52.232-1 APR 1984 PAYMENTS 52.232-8 JUL 1985 . DISCOUNTS FOR PROMPT PAYMENT l

52.232-11 APR 1984 EXTRAS 52.232-17 APR 1984 INTEREST . .

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

( 52.242-1 APR 1984 NOTICE OF INTENT TO DISALLOW COSTS 52.243-1 APR 1984 CHANGES -- FIXED PRICE ALTEkdATE I (APR 1984) 52.244-5 APR 1984 COMPETITION IN SUBCONTRACTING 52.249-2 APR 1984 TERMINATION FOR CONVENIENCE.

OF THE GOVERNMENT (FIXED-PRICE) l 52.249-8 APR 1984 DEFAULT (FIXED-PRICE SUPPLY AND SERVICE)

I.2 ANTI-K1CKBACK PROCEDURES (FAR 52.203-7)

(a) Definitions. " Kickback," as used in this clause, means any money, fee, commission, credit, gift, gratuity, thing of value, or compensation of any kind which is provided, directly or indirectly, 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 prime contract or in connection with a subcontract relating to a prime contract.

" Person," as used in this clause, means a corporation, partnership, business association of any kind, trust, joint-stock 4

PAGE 31 RS-ARM-89-145 Section I 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.

" Prime Contractor employee," as used in this clause, means any officer, partner, employee, or agent of a prime Contractor.

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

" Subcontractor," as used in this clause, (1) means any person, other than the prime Contractor, who offers to furnish or furnishes any supplies, materials, equipment, or services of any kind under a prime contract or subcontract entered into in connection with any such prime contract, ayd (2) includes any person who offers-to

' furnish or furnishes supplies to the prime Contractor or a higher tier subcontractor.

" Subcontractor emp'oyee," as used in this clause, means any officer, partner, employee, 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 l 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 l procedures designed to prevent and detect possible violations {

described in paragraph (b) of this clause in its own operations and i 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 j general of the contracting agency, the head of the contracting I agency if the agency does not have an inspector general, or the l

Department of Justice.

(3) The Contractor shall cooperate fully with any Federal agency investigating a possible violation descrioed in paragraph (b) a

PAGE 32 RS-ARM-89-14S Section 1 j

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 Officer may--

'(i) Offset the amount of the kickback againist any monies owed i by the United States under this contract and/or (ii) direct that the Contractor withhold from sums owed the subcontractor, the amount of kickback. The Contracting Officer may order that monies withheld under subdivision (c)(4)(11) 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 monies are witheld.

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

(End of Clause)

I.3 ORDERING (FAR 52.216-18) ( APR 1984) j

-(

(a) Any supplies and services to be furnished under this contract '

shall be ordered by issuance of delivery orders by the individuals.

or activities designated in the Schedule. Such orders may be issued .

from the effective date of'the contract through 30 days prior to the end of the effective period. i (b) All delivery orders are subject to the terms and conditions of this contract. In the event of conflict between a delivery order and this contract, the contract shall control.

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

. (End of Clause)

I.4 DELIVERY-ORDER LIMITATIONS (FAR 52.216-19) (ApR 1984)

(a) MU!imum order. When the Cavernment requires supplies or services. covered by this contract in an amount of less than * ,

the Government is not obligated to purchase, nor is the Contractor obligated to furnish, those supplies or services under the contract.

(b) Maximum order. The Contractor is not obligated to honor--

(1) Any order for a single item in excess of * ;

(2) Any order for a combination of items in excess of ;

S,

L

. l o !

PAGE 33 RS-ARM-89-145 Section I i

(3) A series of orders from the same crdering office within

days that together call for quantities exceeding the limitation in subparagraph (1) or (2) above.

4 (c) If this is a requirements contract (i.e., includes the Requirements clause at subsection 52.216-21 of the Federal Acquisition Regulation (FAR)), the Government is not required to order a part of any one requirement f. rom the Contractor if that ,

requirement exceeds the maximum-order limitations in paragraph (b) above.

(d) Notwithstanding paragraphs (b) and (c) above, the Contractor "

shall honor any order exceeding the maximum order limitations in paragraph (b), unless that order (or orders) is returned to the ordering office within _.* days after issuance, with written notice stating the Contractor s intent not to ship the item (or 8

items) call.ed for and the reasons. Upon receiving this notice, the Government may acquire the supplies or services from another source.

(End of Clause) 1.5 REQUIREMENTS (FAR 52.216-21)(ApR1984)

ALTERNATE I (APR 1984)

~

(a) This is a requirements contract for the supplies or services ;

specified, and effective for the period stated, in the Schedule. The quantities of supplies or services specified in the Senedule are estimates only and are not purchased by this contract. Except as this contrat' m:y otherwise provide, if the Government's requirements do not result in orders in the quantities described as

" estimated" or " maximum" in the Schedule, that fact shall not constitute the basis for an equitable price adjustment.

(b) Delivery or performance shall be made only as authorized by orders issued in accordance with the Ordering clause. Subject to any limitations in the Delivery-Order Limitations clause or elsewhere in this contract, the Contractor shall furnish to the Government all supplies or services specified in the Schedule and called for by orders issued in accordance with the Ordering clause.

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

(c; he estimated quantities are not the total requirements of the Goverment activity specified in the Schedule, but are estimates or requirements in excess of the quantitics that the activity may itself furnish within its own capabilities. Except as this contract otherwise provides, the Government shall order from the Contractor all of that activity's requirements for supplies and services specified in the Schedule that exceed the quantitics that the activity may itself furnish within its own capabilities.

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

As specified in the Statement of Work.

PAGE 34 RS-ARM-89-145 Soction 1 contract.

(e) If the Government urgently requires delivery of any quantity of an item before the earliest date that delivery may be specified under this contract, and if the Contractor will not accept an order providing from the accelerated delivery, the Government may acquire the urgently required goods or services from another source.

(f) Any order issued during the effective period of this contract and not completed within that period shall be completed by the Contractor within the time specified in the order. The contract shall govern the Contractor's and Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period; provided, that the Contractor shall not be required to make any deliveries under this contract after 02/28/92.

(End of Clause)

I.6 AVAILABILITY OF FUNDS FOR THE NEXT FISCAL Y,AR (FAR 52.232-19) (APR 1984)

Funds are not presently available for performance under this contract beyond. The Government'~ obligation for performance of this contract beyond that date is contingent upon the availability of appropriated funds from which payment for contract purposes can be made. No legal liability on the part of the Government for any payment may arise for performance under this contract beyond 9/30/89 until funds are made available to the Contracting Officer for performance and until the Contractor receives notice of availability, to be confirmed in writing by the Contracting Officer.

(End of Clause) j I.7 SERVICE CONTRACT ACT OF 1965 (I-FSS-222-41) (APR 1984)

(a) Service Contract Act of 1965, as amended: This contract is subject to the Service Contract Act of 1965, as amended (41 U.S.C.

351 et seq.) and is subject to the following provisions and to all other applicable provisions of the Act and regulations of the l- Secretary of Labor issued thereunder (29 CFR Part 4).

(b)(1) Each service employee employed in the performance of this contract by the cent actor or any subcontractor shall be paid not less than the minimum monetary wages and shall be furnished fringe benefits in accordance with the wages and fringe benefits I determined by the Secretary of Labor or authorized representative, as specified in any wage determination attached to this contract.

(2)(1) If there is such a wage determination attached to this contract, the contracting officer shall require that any class of service employee which is not listed therein and which is to be employed under the contract (i.e., the work to be performed is not 9

L-_____________.___

PAGE 35 RS-ARM-89-145 Section I performed by any classifications listed in the wage determination), I be classified by the contractor so as to provide a reasonable relationship (i.e., appropriate level of skill comparison) between such unlisted classifications and the classifications listed in the wage determination. Such conformed class of employees shall be paid the monetary wages and furnished the fringe benefits as are determined pursuant to the procedures in this section. (The information collection requirements contained in the following paragraphs of this section have been approved.by the Office of !

I Management and Budget under OMB , control number 1215-0150.) .

(ii) Such conforming procedure shall be initiated by the contractor prior to the performance of contract work by such unlisted class of employee. A written report of the proposed c.onforming action, including information regarding the agreement or disagreement of the authorized representative of the employees involved or, where there is no authorized representative, the employees themselves, shall be submitted by the contractor to the contracting officer no later than 30 days after such unlisted class of employees performs any contract work. The contracting officer shall review the proposed action and promptly submit a reporc of the action, together with the agency's recommendation and all pertinent information including the position of the contractor and the employees, to the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, for review. The Wage and ,

Hour Division will approve, modify, or disapprove the action or !

render a final determination in the event of disagreement within 30 days of receipt or will notify the contracting officer within 30 days of receipt that additional time is necessary.

(iii) The final determination of the conformance action by '

the Wage and Hour Division shall be transmitted to the contracting officer who shall promptly notify the contractor of the action taken. Each affected employee shall be furnished by the contractor with a written copy of such determination or it shall be posted as a part of the wage determination.

(iv)(A) The process of establishing wage and fringe benefit rates that bear a reasonable relationship to those listed in a wage determination cannot be reduced to any single formula. The approach used may vary from wage determination to wage determination depending on the circumstances. Standard wage and salary administration practices which rank various job classifications by pay grade pursuant to point schemes or other job factors may, for example, be relied upon. Guidance may also be obtained from the way different jobs are rated under Federal pay systems (Federal Wage Board Pay System and the General Schedule) or from other wage determinations issued in the same locality. Basic to the establishment of any conformable wage rate (s) is 0he concept that a pay relationship should be maintained between job classifications based on the skill required and the duties performed.

(B) In the case of a contract modification, an exercise of an option or extension of an existing contract, or in any other

PAGE 35 RS-ARM-89-145 Section I case where a contractor succeeds a contract under which the classification in question was previously conformed pursuant to this section, a new ccaformed wage rate and fringe benefits may be assigned to such conformed classification by indexing (i.e.,

adjusting) the previous conformed rate and fringe benefits by an amount equal to the average (mean) percentage ir c? (or decrease, where appropriate) between the wages and fringe W elits specified for all classifications to be used on the contracts widch are listed in the current wage determination, and those specified for the corresponding classifications in the previously applicable wage determination. Where conforming actions are accomplished in accordance with this paragraph prior to the performance of contract work but the unlisted class of employees, the contractor shall 4 advise the contracting officer of the action taken by the other procedures in paragraph (b)(2)(11) of this section need not be followed.

(C) No employee engaged in performing work on this contract shall in any event be paid less than the currently l applicable minimum wage specified under section 6(a)(1) of the Fair l Labor Standards Act of 1938, as amended.

(v) The wage rate and fringe benefits finally determined )

pursuant to paragraphs (b)(2)(1) and (ii) of this section shall be paid to all employees performing in the classification from the first day on which contract work is performed by them in the classification. Failure to pay such unlisted employees the compensation agreed upon by the interested parties and/or finally determined by the Wage and Hour Division retroactive to the date such class of employees commenced contract work shall be a violation of the Act and this contract.

(vi) Upon discovery of failure to comply with paragraphs (b) (2)(i) through (v) of this section, the Wage and Hour Divis, ion shall make a final determination of conformed classification, wage rate, and/or fringe benefits which shall be retroactive to the date such class of employees commenced contract work.

(3) If, as authorized pursuant to section 4(d) of the Service Contract Act of 1965 as amended, the term of this contract is more than 1 year, the minimum monetary wages and fringe benefits required to be paid or furnished thereunder to service employees shall be subject to adjustment after 1 year and not less often than once .

every 2 years, pursuant to. wage determinations to be issued by the Wage and Hour Division Employment Standa:ds Administration of the Department of Labor as provided in such Act.

(c) The contractor or subcontractor may discharge the obligation to furnish fringe benefits specified in the attachment of determined conformable thereto by furnishing any equivalent combinations of bona fide fringe benefits, or by making equivalent or differential payments in cash in accordance with the applicable rules set forth in Subpart D of 29 CFR Part 4, and not otherwise.

t

'e ,

PAGE 37 RS-ARM-89-145 Section I-

-(d)(1) In the absence of a minimum wage attachment for.this contract, neither the contractor nor any subcontractor under this contract shall pay any person performing' work under the contract (regardless of whether they are service employees) less than the minimum wage specified by section 6(a)(1) of the Fair Labor

- Standards Act of 1938. Nothing in this provision shall relieve the contractor or any subcontractor of any other obligation under law or contract for the payment of a higher wage to any employee.

(2) If this contract succeeds a contract, subject to the Service Contract Act of 1965 as amendad, under which substantially the same amended, under which substantially the same services were furnished in the same locality and service employees were paid wages and fringe benefits provided for in a collective bargaining agreement, in the absence of the minimum wage attachment for this contract setting forth such collectively bargained wage rates and fringe benefits, neither the contractor nor any subcontractor under this contract shall pay any service employee performing any of the contract work-(regardless of whether or not such employee was employed under the predecessor contract), less than the wages and fringe benefits provided for in such collective bargaining agreements, to which such employee would have been entitled if employed under the predecessor contract, including accrued wages and fringe benefits and any prospective increases .in wages and fringe benefits provided for under such agreement. No contractor or subcontractor under this contract may be relieved of the foregoing ,

obligation unless the limitations of Section 4.lb(b) of 29 CFR Part . l 4 apply or.unless the Secretary of Labor or his authorized representative finds, after a hearing as provided in Section 4.10 of 29 CFR Part'4 that the wages and/or fringe benefits provided services of a character similar in the locality, or determines, as provided in Section 4.11 of 29 CFR Part 4, that the collective bargaining agreement applicable to service employees employed under the predecessor contract was not entered into as a result of arm's length negotiations. Where it is found in accordance with the review procedures provided in 29 CFR 4.10 and/or 4.11 and Parts 6 and 8 that some or all of the wages and/or fringe benefits contained in a predecessor contractor's collective bargaining agreement are substantially at variance with those which prevail for services of a character similar in the locality, and/or that the collective i bargaining agreement applicable to service employees employed under the predecessor contract was not entered into as a result of arm's length negotiations, the Department will issue a new or revised wage determination setting forth the applicable wage rates and fringe benefits. Such determination shall be made part of the contract or subcorract, in accordance with the decision of the Administrator, t

the Administrative Law Judge, or the Board of Service Contract Appeals as the case may be, irrespective of whether such issuance occurs prior to or after the award of a contract or subcontract 53 Comp. Gen. 401 (1973). In the case of a wage determination issued solely as a result of a finding of substantial variance, such determination shall be effective as of the date of the final administrative decision.

(e) The contractor and any subcontractor under this contract L__ _

PAGE 38 '

l RS-ARM-89-145 Sect. ion 2

- shall notify each service employee commencing work on this contract l of the minimum monetary wage and any fringe benefits required to be paid pursuant to this contract, or shall post the wage determination attached to this contract. The poster provided by the Department of Labor (Publication WH 1313) shall be posted in a prominent and accessible place at the worksite. Failure f.o comply with this requirement is a violation of t. action 2(a)(4) of the Act and of this contract. (Approved by the Office of Management and Budget under OMB control number 1215- 0150.)

(f) The contractor or subcontractor shall not permit any part of the services called for by this contract to be performed in building or surroundings or under working conditions provided by or under the control or supervision of the contractor or subcontractor which are unsanitary or hazardous or dangerous to the health or safety of service employees engaged to furnish these services, and the contractor or subcontractor shall comply with the safety and health standards applied under 29 CFR Part 1925.

(g)(1) The contractor and each subcontractor performing work subject to the Act shall make and maintain for 3 years from the completion of the work records containing the information specified in paragraphs (g)(1) (i) through (vi) of this section for each employee subject to the Act and shall make them available for inspection and transcription by authorized representatives of the Wage and Hour Division, Employment Standards Administration of the U.S. Department of Labor. (Sections 4.6(g)(1)(1) through (vi) approved by the Office of Management and Budget under OMB control number 1215-0017 and sections 4.6(g)(1)(v) and (vi) approved under OMB control number 1215-0150.):

(1) Name and address and social security number of each employee.

(ii) The correct work classification or classification, rate or rates of monetary wages paid and fringe benefits provided, rate or rates of fringe benefit payments in lieu thereof, and total daily and weekly compensation of each employee.

(iii) The number of daily and weekly hours so worked by each employee.

(iv) Any deductions, rebates, or refunds from the total daily or weekly compensation of each employee.

(v) A list of monetary wages and fringe benefits for those classes of service employees not included in the wage determination attached to this contract but for which such wage rates or fringe benefits have been determined by the interested parties or by the Administrator or authorized representative pursuant to the labor standards clause in paragraph (b) of this section. A copy of the ,

. report required by the clause in paragraph (b)(2)(fi) of this f section shall be deemed to be such a list.

(vi) Any list of the predecessor contractor's employees l

PAGE 39 RS-ARM-89-145 Section I which had been furnished to the contractor pursuant to Section 4.6(1)(2).

(2) The contractor shall also make available a copy of this contract for inspection or transcription by authorized I representatives of the Wage and Hour Division.

(3) Failure to make and maintain or to nake available such records for inspection and transcription shall be a violation of the i regulations and this contract, and in the case of failure to produce !

such records, the contracting officer, upon direction of the l Department of Labor and notification of the contractor, shall take action to cause suspension of any further payment of advance of ,

funds until such violation ceases, j (4) The contractor shall permit authorized representatives of the Wage and Hour Division to e duct interviews with employees at the worksite during normal forking hours.

(h) The contractor shall unconditionally pay to each employee I subject to the Act all wages due free and clear and without subsequent deduction (except as otherwise provided by law or Regulations, 29 CFR Part 4), rebate, or kickback on any account.

Such payments shall be made no later than one pay period following j the end of the regular pay period in which such wages were earned or accured. A pay period under this Act may not be of any duration longer than semi-monthly.

(i) The contracting officer shall withhold or cause to be withheld from the Government prime contractor under this or any other Government contract with the prime contractor such sums as an appropriate official of the Department of Labor requests or such

- sums as the contracting officer decides may be necessary to pay uncerpaid employees employed by the contractor or subcontractor in the event of failure to pay any employees subject to the Act all or part of the wages or fringe benefits due under the Act, the agency may, after authorization or by direction of the Department of Labor anci written notification to the contractor, take action to cause suspension of any further payment or advance of funds until such violations have ceased. Additionally, any failure to comply with the requirements of these clauses relating to the Service Contract Act of 1965, may be grounds fer termination of the right to proceed with the contract work. In such event, the Government may enter into other contracts or arrangements for completion of the work, charging the contractor in default with any additional cost. .

(j) The contractor agrees to insert these clauses in this section relating to the Service Contract Act of 1965 in all subcontracts subject to the Act. The term " contractor" as used in these clauses in any subcontract, shall be deemed to refer to the su:: contractor, except in the term " Government prime contractor."

(k)(1) As used in these clauses, the term " service employee" means any person engaged in the performance of this contract other l

than any person employed in a bona fide executive, administrative,

. 'PAGE 40 RS-ARM-89-145 Section L 1

or professional capacity, as those terms.are defined in Par + e41 of Title 29, . Code of, Federal Regulations, as of July 30,197 c and any l subsequent revision of those regulations. The term " service employee". includes'all such persons regardless of any contractual relationship that may be alleged to exist between a contractor or subcontractor and such persons.

.(2). The following statement is included in contracts pursuant

- to section 2(a)(5) of the Act and is for informational. purposes only: The following classes of service employees expected to be

' employed under the contract with the Government would be subject, if-employed by the contracting agency, to the provisions of 5 U.S.C.

5341 or 5 U.S.C. 5332 and would, if so. employed, be paid not less than the following rates of wages and fringe benefits: ,

Employee class Monetary wage-fringe benefits Computer Programmer Systems Analyst Librarian (1)(1) If wages to be paid or fringe benefits to be furnished any service employees employed by the Government prime contractor or any subcontractor under the contract are provided for in a collective bargaining agreement which is or will be effective during any period in which the contract is being performed, the Government prime contractor shall report such fact to the contracting officer,

- together will full information as to the application and accrual of

.- such wages and fringe benefits, including any prospective increases, to service employees engaged in work on the contract, and a copy of the collective bargaining agreement. Such report shall be made upon commencing performance of the contract, in the case of collective bargaining agreements effective at such time, and in the case of such agreements or provisions or amendments thereof effective at a later time during the period of contract performance, such agreements shall be reported promptly after negotiation thereof.

(Approval by the Office of Management and Budget under OMB control number 1215-0150.)

(2) Not less than 10 days prior to completion of any contract being performed at a Federal facility where service employees may be retained in the performance of the succeeding contract and subject l

to a wage determination which contains vacation or other benefit provisions based upon length of service with a contractor (predecessor) or successor (Section 4.173 of Regulations 29 CFR Part 4), the incumbent prime contractor shall furnish to the contracting officer a certified list of the names of all service employees on the contractor's or subcontractor's payroll during the last month of contract performance. Such list shall also contain anniversary dates ;

of employment on the contract either with the current or predecessor contractors of each such service employee. The contracting officer m #

4 PAGE 41 RS-ARM-89-145 Section I shall turn over such list to the successor contractor at the commencement of the succeeding contract. (Approved by the Office of Management and Budget under OMB control number 1215-0150.)

(m)' Rulings and interpretations of the Service Contract Act of 1965, as. amended, are contained in Regulations, 29 CFR Part 4.

(n)(1) By entering into this contract, the contractor (and officials thereof) certifies that neither it (nor he or she) er any person or firm who has a substantial interest in the contractor's firm is a person or firm ineligible to be awarded Government l contracts by virtue of the sanctions imposed pursuant to section 5 !

of the Act.

(2) No part of this contract shall be subcontracted to any person or firm' ineligible for award of a Government contract pursuant to section 5 of the Act.

(3) The penalty for making false statements is prescribed in ;

the U.S. Criminal Code, 18 U.S.C. 1001. s (o) Notwithstanding any of the clauses in paragraphs (b) through (m) of this section relating to the Service Contract Act of 1965, the following employees may be employed in accordance with the following variations, tolerances, and exemptions, which the Secretary of Labor, pursuant to section 4(b) of the Act prior to its amendment by Pub. L.92-473, found to be necessary and proper in the public interest or to avoid serious impairment of the conduct of Government business.

(1) Apprentices, student-learners, and workers whose earning capacity is impaired by age, physical, or mental &ficiency or injury may be employed at wages lower than the minimum wages otherwise required by section 2(a)(1) or 2(b)(1) cf the Service Contract Act without diminishing any fringe benefits or cash payments in lieu thereof required under section 2(a)(2) of that Act, in accordance with the conditions and procedures prescribed for the employment of apprentices , student-learners, handicapped persons, and handicapped clients of sheltered workshops under section 14 of the Fair Labor Standards Act of 1938, in the regulations issued by the Administrator (29 CFR Parts 520, 521, 524, and 525).

(2) The Administrator will issue certificates under the Service Contract Act fcr the employment of apprentices, student-learners, handicapped persons, or handicapped clients of sheltered workshops not subject to the Fair Labor Standards Act of 1938, or subject to different minimum rates of pay under the two acts, authorizing appropriate rates of minimum wages (but without changing requirements concerning fringe benefits or supplementary cash payments in lieu thereof), applying procedures prescribed by the applicable regulations issued under the Fair Labor Star.dards Act of 1938 (29 CFR Parts 520, 521, 524, and 525).

(3) The Administrator will also withdraw, annul, or cancel such certificates in accordance with the regulations in Parts 525

o .

PAGE'42 RS-ARM-89-145 Section 2

. and 528 of Title 29 of the Code of Federal Regulations.

(p) Apprentices will be permitted to work at less than the predetermined rate for the work they perform who they are employed and individually registered in a' bona fide apprenticeship program registered with'a State Apprenticeship Agency.which is recognized by the U.S. Department of-Labor, or if no such recognized agency exists in a State, under a program registered with the Bureau of Apprenticeship and Training, Employment':and Training Administration, U.S. Department of Labor. Any employee who is not registered as an apprentice in an approved program shall be paid the wage rate and fringe benefits contained in the applicable wage determination for the journeyman classification of work actually performed. The wage rates paid apprentices shall not'be less than the wage rate for their. level of progress. set forth in the registered program, expressed as the appropriate percentage of the journeyman's rate contained in the applicable wage determination.

The allowable ratio of apprentices to journeymen employed on the contract work'in any craft classification shall not be greater than.

the' ratio permitted to the' contractor as to his entire work force under the registered program.

(q) An employee engaged in an occupation in which'he or she customarily and regularly receives more than $30 a month in tips may have the amount of. tips credited by the employer against the minimum wage required by section 2(a)(1) or section 2(b)(1) of the Act in accordance with section 3(m) of the Fair Labor Standards Act and Regulations, 29 CFR part 531: provided, however, that the amount of such credit may not exceed $1.24 per hour beginning January 1, 1980, and $1.34 per hour after December 31, 1980. To utilize this l provision:

(1) The employer must inform tipped employees about this tip credit allowance before the credit is utilized; (2) .The employees must be allowed to retain all tips (individually or through a pooling arrangement and regardless of whether the employer elects to take a credit for tips received);

(3) The employer must be able to show by records that the employee receives at least the applicable Service Contract Act minimum wage through the combination of direct wages and tip credit; (approved by the Office of Management and Budget under OMB control number 1215-0017);

(4) The use of such tip credit must have been permitted under any predecessor collective. bargaining agreement applicable by virtue of section 4(c) of the Act.

(r) Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR Parts 4, 6, and 8. Disputes within the meaning of this clause include disputes between the

'4

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PAGE 43 L, "l ' '

'RS-ARM-89-145- >

Section I

- contractor (or any of its . subcontractors) and the contracting .

(? , agency, the U.S. Department of Labor, or; the employees or their -

E representatives.

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' PART IIIn- LIST OF DOCUMENTS, EXHIBITS, !

g' .AND OTHER ATTACHMENTS' ] i H

SECTION J - LIST. 0F ATTACHMENTS l

i l

.o 1 4

l J.1 ' ATTACHMENTS (MAR 1987).

Attachment Number Title e 2- NRC Contratter Organizational Conflicts of Interest (41 CFR Part 20) 2: Billing Instructions

3 NRC Manual Chapter 3202 4 Standard Form 1411 with Instructions i 5 Listing of Federal Government Holidays- !

6 ' Wage Determination- l i ':

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. PART 20-1 -- GENERAL ,

Subpart 20-1.54--Contractor' Organizational Conflicts of Interest Sec.

O 20-1.5401 Scope and policy.

' 20-1.5402 De.finitions. J l

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

~

20-1.5404 Representation. j 20-1.5405 Contract clauses.

20-1.5405-1 General contract clause.

Special contract provisions.

20-1.5405-2 20-1.5406 Evaluation, findings, and contract award..

20-1.5407 Conflicts identified after award.

20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-1'.5410 Subcontractors. '

20-1.5411 Waiver.

. ?0-1.5412 Remedies.

AUTHORITY: Sec. 8, Pub. L.95-601, adding Sec.170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch. 14) l 520-1.5401 Scope and Policy (a) It is the policy of the U.S. Nuclear Regulatory Comission (NRC) to avoid, eliminate or neutralize contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.

(b) Contractor conflict of interest determinations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if 1.he policy is to be applied so as to satisfy the overall public interest. It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise; however, examples are provided in these regulations to guide application of the policy. NRC contracting and program officials must be alert to other situations which may warrant application of this

policy guidance. The ultimate test is: Might the contractor, if awarded the contract, be placed in a position where its judgment may be biased,,

or where it may have an unfair competitive advantage?

4 (c) The conflict of interest rule contained in this subpart applies ter contractors and offerors only. Individuals or firms who have other relationships with NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC 1

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i 7590-01 agreements with other gevbrnment agencies, international organizations.

. or state, local or foreign governments; separate procedures for avoiding conflicts of interest will be employed in such agreements, as appropriate. .

, 120-1.5402 Definitions -

A 1

-(a) " Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or

'fi 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 technolog/. process, product, or policy.

(d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the formulation or administration of.its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available to the public or proprietary information. Such services typically include assistence in the preparation of program plans; and preparation of preliminary designs, specifications, or statements of work. -

(e') " Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401(c).

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

(g) " Affiliates" means business concerns which are affiliates of ~

each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR 51-1.606-1(e)).

,(h)" " Subcontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for .

supplies and subcontracts in amountr of $10,000 or less.

(i) " Prospective contractor" or " offeror" means any person, firm, ,

unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract. -

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7590-01 (j) " Potential conflict of interest" means that a factual situation

. exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The term " potential conflict of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting l officer for investigation if they arise during contract performance.

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

The ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of connon 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 sttention 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 procurement, and resetrch programs.

(b) Situations or relationships which may give rise to organizational conflicts of interest. (1) The offeror or contractor shall disclose information concerning relationships which may give rise to organizational conflicts of interest under the following circumstances:

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

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

(iii) Where the offeror or contractor evaluates its own products or

services, or the prcducts or services of another entity where the offeror l or contractor has been substantially involved in their development or 1 marketing. {

(iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its I

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

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7590-01 (2) :The contracting officer may request specific information from an' offeror or contractor or may require special contract provisions such -

as provided in 520-1.5405-2:in the following circumstances:-

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

are to be' used in competitive procurement of products or services covered by such spec 1fications.

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

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

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

(iv) Where the offeror or contractor is granted access to proprietary information of its competitors.

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

(c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example.

The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a resctor component as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp.

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

Guidance. An NRC contract for that particular work normally would not be awarded to the XYZ Corp. because it would be placed in a position in which its judgment could be biased in relationship to its work for NRC. Since there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.

(2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various ,

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

projects have any relationship to the work cal f ed for in the RFP. Based on the NRC evaluation, th; ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.

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7590-01 i Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias

. with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.

(3) Example. As a result of operating problems in a certain type of commercial nuclear facility, it is imperative that NRC secure specific data on various operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer has extensive experience with that type of plant. Consequently, that company is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable time. That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the reactor's design and thus the company's costs.

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

Since the nature of the work required is vitally important in terms of NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.

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

Guidance. A contract could be awarded to the ABC Co. provided that ,

the contract stipulates that ri information produced under the contract !

will be used in the contractw's private activities unless such information i has caen reported to NRC. Information which is reported to NRC by contractors !

wili normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes information to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others. Further, the contract will stipulate that the contractor will inform the NC contracting officer of all situations in which the information developed under the contract is proposed to be used. l I

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7590-01 (5) Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian -

fold belt. In accordance with the representation in the RFP and 5 20-1.5403(b)(1)(i), ABC Corp. informs the NRC that it is presently doing seismological studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study.

Guidance. The contracting officer would normally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. The work for others clause of 120-1.5405-1(c) would preclude ABC Corp. from accepting work during the term of the NRC contract which could create a conflict of interest.

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

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

520-1.5404 Representation (a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor.

(b) Representation procedure. The following organizational conflicts of interest representation provision shall be included in all solicitations and unsolicited proposals for: ~ (1) Evaluation services or activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in toe resulting contract. This representation requirement shall also apply to all modifications for additional effort under the concrar.f except those issued under the " changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.

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L 7590-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:

The award to of a contract or the modification of an existing contract does ( ) or does-not ( ) involve situations or relationships of the type set forth in 41 CFR $20-1.5403(b)(1).

(c) Instructions to offerors. The following shall be included in all NRC sol', citations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR

$ 20-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exirt, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer. If the contracting officer determines that organizational conflicts exist, the following actions may be taken: (1) Impose appropriate conditions which avoid such conflicts, (ii) disqualify the offeror, or (iii) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 520-1.5411.

(2) The refusal to provide the representation required by 5 20-1.5404(b) or upon request of tne contracting officer the facts required by'520-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant interest i may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract.

(d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically 4 prohibits such exclusion. Any such proposed exclusion by an offeror f will be considered by the NRC in the evaluation of proposals. If the NRC considers the proposed excluded work to be an essential or integral !

part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as unacceptable.

(e) The offeror's failure to execute the representation required J i

by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be permitted to correct the omission.

i 5 20-1.5405 contract clauses 5 20-1.5405-1 General contract clause l

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. i 7590-01 l All contracts of the types set forth in 520-1.5404(b) shall include l the following clauses: 'i j

(a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor: (1) Is not placed in a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) i 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 5 20-1.5402(f) in the actitities covered by this clause. ;

(c) Work for others. Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering into con;ulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being perfonned under this contract.

The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.

(d) Disclosure after award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any or anizational 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 ruke 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 interests of the government.

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

7590-01 on such infomation for a period of six (6) months after either the completion of this contract or the release of such infomation to the public, whichever is first,- (iii) submit an unsficited proposal to the

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government based on such information until one year after the release of such information to the public, or (iv) release the information without prior: written approval by the contracting officer unless such information has previously been released to the public by the NRC.

(2) In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions placed on~use of the information.

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

(f) Subcontracts.. Except as provided in 41 CFR 520-1.5402(h), Me contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms " contract," ' contractor," and

" contracting officer," shall be appropriately modified to preserve the government's rights.

(g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract.

(h) Waiver. A request for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 520-1.5411.

520-1.5405-2 Special contract provisions.

(a) If it is determined from the nature of the proposed contract

, that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a waiver in accordance with 520-1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror may negotiate the tems and conditions of these clauses, including the extent and time period of any such restriction. These provisions include but are not limited to:

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t 7590-01'

_ (1) Hardware' exclusion clauses which prohibit the:accep?ance~of productionby performed contracts following a re:'ted nonproduction contract previously the contractor; (2) Software exclusion clauses;

~(3) Clauses which require the contractor (and certain of his key '

personnel) to avoid certain organizational conflicts of interest; and.

(4) Clauses which provide for protection of confidential data and guard against its unauthorized use.

(b)- The following additional contract clause may be included as

.1 section (i) in the clause set forth in s 20-1.5405-1 when it is determined:

that award of a follow-on contract would constitute an organizational conflict of interest.

(i) Follow-on effort. (1) The contractor shall be ineligible to participate.in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of

' work under this contract. Furthermore, unless so directed in writing by the' contracting officer, the contractor shall not perform any-technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products or. services of another firm if the contractor has been substantially involved in,the development or marketing of such products or services.

-(2) If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate .in the initial contractual effort which is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statement

.of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in'this subparagraph shall not apply.

-(3) Nothing in this paragraph shall preclude the contractor from offering or selling its standard commercial items to the government.

5 20-1.5406 Evaluation, findings, and contract award l

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The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of !20-1.5404(b) and other relevant .information. After evaluating this information against the criteria of 5 20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror.

If it has been determined that conflicts of interest exist, then the contracting officer shall either: '

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(a) Disqualify the offeror from award, i 1

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7590-01 t

(b)- Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of 5 20-1.5411.

120-1.5407 Conflicts identified after award.

If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting ;

officer determines that such conflicts dc, in fact, exist and that it would not be in the best interests of the government to terminate the contract as provided in the clauses required by 520-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict.

520-1.5408 (Reserved) 520-1.5409 (Reserved) 520-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with !20-1.5404(b) from subcontractors and consultants. The contracting officer shall require the contractor to include contract clauses in accordance with 520-1.5405 ,

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

5 20-1.5411 Waiver in the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director and the C.; ice of Executive Legal Director. Upon the recommendation of the contracting officer, and after consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.

Such action shall be strictly limited to those situations in which:

(1) The work to be performed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and (3) l contractual and/or technical review and supervision methods can be l employed by NRC to neutralize the conflict. For any such waivers, the justification and approval documents ~shall be placed in the Public Document Room.

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l 7590-01 l

620-1.5412 Remedies In addition to such other remedies as may be permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC !

may debar the contractor from subsequent NRC contracts. l Dated at Washinaton. D.C this 27th day of March 1979.

For the Nuclear Regulatory Commission i f

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cauuJN bt e Samuel J. Chilk '

Secretary of the Commission l

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(REVISED 7/88)

L BILL 1 w INSTRUCTIONS FOR FIXED PRICE C0ffrRACTS AND PURCKASE ORDERS General. The contractor shall submit vouchers or invoices as prescribed herein.

i Form. Claims shall be submitted on the payee's letterhead, invoice, or on the Government's Standard Form 1034, "Public Voucher for Purchases and Services Other Than Personal," and Standard Form 1035, "Public Voucher for Purchases Other Than Personal -- Continuation H Sheet." 1These= forms are av'ailable from the Government Printing Office,

? 701 North Capitol Street, Washington, DC 20801.

1 Number of Copies and Mailing Address. An original and three copies shall be submitted to: 1 US Nuclear Regulatory Commission Division of Accounting and Finance :

ATTN: GOV /COM Accounts Section Washington, DC 20555 ;

Frequency. The contractor shall submit an invoice.or voucher only. 'I after NRC's1 final. acceptance of services rendered or products !

delivered in performance of the contract unless otherwise specified in the contract. I i

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Preparat' ion and Itemization of the Voucher. The voucher shal1 be )

prepared in ink or by typewriter (without strikeovers). Corrections or ]

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erasures must.be initialed. The voucher must include the following:

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a. Contract number and date.

h. Voucher number.

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c. Date of voucher,

d. Payce's name and address. (Show the name of the contractor and its correct address. When as assignment has been made by the contractor, or a different payee has been designated, insert the name and address of the payee.)

e. Description of articles or services, quantity, unit price, and total amount.

f. Weight and zone of shipment, if shipped by parcel post.

g. Charges for freight or express shipments. Attach prepaid bill if shipped by freight or express.

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h. Instructions-to consignee to notify.,the Contracting Officer of

-- receipt of shipment.

1. Final invoice marked: " FINAL INVOICE" Currency. Billings.may be expressed.in.the currency normally used by the contractor in maintaining his' accounting records and payments will be made in that currency. .However, the U.S. dollar equivalent-for all invoices paid under the contract may not exceed:the total U.S.-dollars-authorized.in the contract.

9 1 __ _ .

gg(a Form NRC 489.

(1 76)

U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL L' TRANSMITTAL NOTICE CS_ W . NR;-3202 FI-LICATION OF TECriNICAL REPORTS PEPARED BY NRC CO?CRACIORS, INCLUDING EPORTS PEFARED IMER OR P'5.SUA'E M I?EERAGDC' ASREEME!7TS SUPERSEDED: TRANSMITTED:

Date Number Date Number TN 3200-21 Chapter NRC-3202 8/29/64 Chapter NRC-32:2 _ 4/29/82 Page Page 4

2 2-32:2 h/20/82 /4ppendix NRC-3202 ,B/29/64 Appendix t

REMARKS:

This revision of Chapter 3202 expands the chapter from coverare of unclassified reports to include the rarkirs and handling of sensitive unclassified irfcmation (Official Use Only and Limited Official Use Infcmatier., Safegaards Infomation, Pmprietary Infomation) and classified irtomation (Top Secret, Secret, and Confidential). A see-icn has also been added to set forth procedures for the handling cf unclassified repcrts cr. h?. cooperative pmgra s with foreign EcVer=.er.ts Ud crganizatiens and with U.S. industry.

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U.S NUCLEAR REGULATORY COMMISSION NRC MANUAL-Volume: 3000 Information and Foreign Activities Part 3200 Technical Information and Document Control ADM CH APTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 32C 2-01 COVERAGE }

)

This chapter and it s appendix handbook establish responsibilities . basic requirements , standards and procedures for the documentation, production and dis semina tion of technical reports prepared by NRC consultants and grantees and by NRC contr:.ctors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memo sndums of un ders tan din g . These reports are hereaf ter referred to as contractor re-ports . This chapter does not cover NRC staff-generated documents, NRC docket material. or the documents generated by NRC boards, panels .

/ advisory committe(s and Offices that report to the Commission .

5 3203-02 OBJECTIVES 02! to assure ,) roduction and dissemination of technical reports as required by the Energy Reorganization Act of 1974 and the Freedom of Infor-matu.n Art t

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

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

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

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

3202-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director. Office of Administration:

.- a. de elops and maintain s , in consultation with Directors of Off2' ces ii and Divisions and Regional Administrators NRC standards, proce-dures and guides for the production and dissemination of technical contractor reports.

Approved : August 29. IM

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

b. periodically surveys report- activities throughout NRC to ascertain .

that the provisions of this chapter are adequate and are being implemented; makes any changes needed.

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

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

b. develops and maintains guides and standards for the documentation, formattin g , printin g , dissemination, and public sale of unclassified contractor reports.

c. assures that a system exists for review of unclassified contractor reports for adherence to patent, copyright and disclosure policies prior to dissemination.

d. establishes and administers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports anc controls duplication and printing of contractor reports to assure adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the United States.

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

and the Freedom of luformation Act.

033 Directors of Offru and Regional Administrators:

a. establish the contreft or Standard Order for Work

provisions.

Including those regt red by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff- and Contractor-Generated Documents and its appendix; Chapter NRC-0260, Print-in g , Copying , Graphics and Photography and its appendix; and Chapter NRC-1102, Procedures for Placement of Work with the Department of Energy. In the Statement of Work:

(1) specify what reports will be reviewed for policy, management.

and legal issues by NRC staff in draft prior to printing and distribution . If the report is to be reviewed by NRC staff , -

give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draf t , including the type of disclaimer to be used in addi-

l t ion to the standard government disclaimer (see Exhibit 6).

"In the case of DOE work, this is NRC Form 173, Standard Order for DOE Work See Chapter NRC-Il02.

I Approved. August 29, 1984 l ,

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J PUBLICATION OF TECHNICAL REPORTS PREPARED BY

, NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS NRC-3202-034 (2) provide for the reviews necessary to insure that the national secu rity , patent rights . copyrights , proprietary rights and

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

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

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

(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 shall bc- :

distributW by NRC.

(6) utablish the number of copies the contractor way retain or

( request for ir.ternal and external distribution and charge i, 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 authorized by JCP for unclassified reports.

G) assute the protec tion of classified and sensitive unclassified informa tion . if ary, in contractor reports (see Appen dix .

Part V).

b. assure adherence to instructions and authorizations regarding the reproducti;n and dis ibution of reports.

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

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

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

034 The Office cf the Executive Irm1 Director provides legal re view and advice to Nhc staff on questions regarding inventions, patents, proprietary inf ormation , use of copyrighted material, national security, and

! (. other sensitive unclassified and classified information.

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

oppropriatenes s .

l Approved: August 29, 1964 j -

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PUBL1 CATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED

-- NBC 3202-020 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 036 The Director. Division of Security:

a. administers the overall information security program 'which includes 4' management of the security classification program and other programs l

for the' protection of. sensitive unclassified information.

L. advises staff of NRC Offices and Regions on the preparation and; handhng of reports containing classified, proprietary and other sen-sitive unclassified information.

037 The Director, Division of Contracts:

a. .

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

b advises the contractor as to the source and method for obtaining repcrts required from the government for performance of the cont ra ct .

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

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

e. ensures that appropriate. clauses are included in contracts regarding the private use and protection of classified, proprietary and other sensitive unclassified in'ormation.

3202-04 DEFINITIONS" 041 camera-ready copy - aages ready for printing by the offset printing process. This is a colloquial 1 trm used even though the printing process may not involve the so-called copy camera (see also reproducible masters).

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

"Words underscored in definitions are also defined in list.

Approved: August 29, 1984

(< n: ,

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PUBLICATION 'OF: TECHNICAL REPORTS PREPARED BY-

+ ', NRCsCONTRACTORS, INCLUDING REPORTS PREPARED

- UNDER OR' PURSU ANT TO INTERAGENCY AGREEMENTS- N RC-3202-044

.. , . v.

044 ' copyright - - a form of protection provided by the laws of the United States - (Title li . U.S. . Code) to the authors- of " original works of- authorship"

!., ~ including -literary, dramatic, musical, artistic, . and certain other intellectual-

~

works. This t,rotection is available to both' published and unpublished works.

' Copyrighted = material may nt,t be reproduced without th!. permission Jof. the author. or publisher.

045 disseminate - to' announce the- publication of. reports and make them available for free distribution, sale or copying.

L 046 distribute - to dispense reports to specific" organizations and indi--

viduals. to assure their participation in the regulatory process'and support of; research - and technological investigations. Such distribution' may be accom--

plished by the use of standard distribution data banks established and main-tained by the Division of Technical Information and Document Control based on.the requests of the originating Office or Region.

047 ' documentation - classification and associated markings . required for classified or sensitive unclassified documents , the NRC report number u_nique to the report, title (and subtitle, if any), author or correspondent (4f.

any). organization identification and contract number (or FIN number), date and availability.

048 draf t or final material for inclusion in " Safety Evaluation Reports"

[

or " Environmental Statements" (ES) - written material requested for . input to

(' SERs or ESs to be issued as NUREGs. Such material may be edited or modi-fic d at 'the discretion of the NRC staff.

049 formal technical repory - the' final product of research, an original investigation n . cr a significar.t compilation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive

- long-term projects, formal monthly, quarterly or semiannual and annual peri-odic technical reports may br required. A draft of the final or periodic report may tie requested for comment prior to preparation of the camera-ready copy.

' 0410 NRC proiect manvier - the NRC staff member responsible for the work performed by consultants. or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement.

0411 patent t eview - examination by legal staff to assure protection rights in inventions.

0412 proprietary information - trade secrets; privileged or confidential c

research, development, commercial or financial information, exempt from manda-tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.5); and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.

0413 pplicly available documents - information (reports and references)

( which is available in the NRC Pubhc Document Room (PDR) for public inspec-tion and copying or available in the public domain.

Approved: August 29, 1984

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED N R C-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

\

0414 reproducible masters - camera-ready copy which includes (1) origi-nals of 1me drawmgs (or prmis that can be copied), (2) glossy prmis of black and white ' photographs (colored photographs cannot be reproduced). *

(3) original typed or printed text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (1), (2) and (3) that a printer can reproduce.

0415. technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draf t or final formal technical reports for publication in the NUREG/CR or NUREG/CP series, or draf t or fmal material for inclusion in SERs or ESs.

0416 technical letter reports (also called technical evaluation reports)

- interim or fmaa letters that provide information on the technical aspects of contract work. Interim technical letter reports may be required at .various stages of a project. These- reports usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and eval-uation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, informal (interim) progress reports, quick-look reports, data reports, status. summary reports, project descriptions, pre-tested predictions, model verifications , experiment safety analyses, experiment operating procedures.

f acility certification reports, and test result reports.

0417 unique identification - NRC identification used on a report and its attachments , revisions , and supplements that is not used on any other report .

3202-05 BASIC REQUIREMENTS

05) Applicability. The previsions 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. Becmse of the unique requirements of NRC boards, panels , advisory committee and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors a to them are governed by the Board or Panel Chairman and, in the case of )

advisory committees, by the Advisory Committee Management Officer, or the 1

Commission . These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be given <

wide public dissemination.

052 Forms . NRC Form 426A, " Publication Release for Unclassified NRC Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio- -

graphie Data Sheet" (Exhibit 7), and NRC Form 190 " Cover Sheet for Reports ;

Containing Proprietary Information" (Exhibit 19), shall be used as provided in the appendix. ,

1 053 Appendix 3202. This appendix contains standards and procedures ,i l for the preparation of reporting requirement portions of Statements of Work, and for the documentation, production, and dissemination of technical reports l' prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements.

i Approved: August 29, 1984 I

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' PUBLICATION 'OF TECHNICAL.REPOP.TS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED

._.. .l'NDER OR Pl'RSl' ANT TO INTER AGENCY AGREEMENTS NRC-3202-054

'054- Preparation Requirements

a. Reports to be Printed by NRC. ; All . contractor reports' to be printed .

(; by NRC shall be prepared according to Appendix 320'A The repro -

ducible n. asters for the requisite distribution shall be transmitted to -

. the . Division of Technical Information' and - Document Control accom-panied by completed NRC. Form 426A and NRC Form 335.

b. Reports- Printed by Authorized Federal Printing Plants. All contrac-tor reports to be printed by the contractor (as specified by ' the contract , agreement, or standard order for work) shall-be prepared.

according to Appendix 3202, and a- reproducible master 'and suffi-cient copies for standard and incidental distribution shall, be sup-plied to the Division of. Technical Information and Document Control.

accompanied by completed NRC' Form 426A, signed by the authorized contractor official. Each such report shall include, as the last pa;;e.

a completed NRC Form 335.

055 References . The NRC chapters referenced and Nt' REG-0794'(ref. j)-

. and Nt' REG-0650 t ref. i) are available from the Di:ision of Technical Informa-tion . and Document Control . The other publications are available from the Government Printing Office,

s. Chapter NRC-0260. " Printing. Copying. Graphics and Photography."

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

c. Chapter NRC-3203. " Dis t ribution of Unclassified .NRC Staff- and Contractor-Generated Documents."

d. Chapter N R C-I l 0;' . " Procedures for Placement of Work with the Department of Energy "

e. Chapter NRC-3206. "NRC Contractor Speeches. Papers and Journal Articles on Regulatory and Technical Subjects."

f. Chapter NRC-3207, - ' Conferences and Conference Proceedings . "

g. Title 44. U.S. Code. "Public Printing and Documents." Government Printing Office.

h. Government Printing and Binding Regulations of the Joint Committee on Printing, Congress of the linited States. No. 24, April 1977 (JCP Regula tion s ) . Government Printing Office.

i. Title 5. L' . F . Code, " Government Organization and Employees ." I Government Printing Office.

{.

l Approved : August 29, 1984

i -.

I PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC. CONTR ACTORS. INCLUDING REPORTS PREPARED .-

3e

~

NRC 3202-055 UNDER OR PURSU ANT TO INTER ^

AGENCY AGREEMENTS .

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

U.S: NRC ' Report, NUREG+065t. ' November 1979, and Supplement.1..

-February 1982. .

k. -"Protection of Unclassified Safeguards-~ 1nformation," ' D. J. Kasun.

USNRC Report SUREG-0794 October ~1981.

1 Chapter NRC.-0255, " Mail Management," and Appendix 0255. ' Part V.

Annex A.

1 I

Approved; August 29, 1984

_- = _ _

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PUBLICATION Of TECHNICAL REPORTS PREPARED BY -

., NRC CONTR ACTORS. INCLliDING REPORTS PREPARED

.rNDER OR PURSL' ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202

. CONTENTS PAGE.

PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF.STATEMEllTS OF WORF FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR 00E WORK A. LIST OF. TECHNICAL REPORT REQUIREMENTS........... 4............. I' B. REQUIREMENTS FOR FORMAL REPORT 5............................... 2 C. REQUIREMENTS FOR DRAFT REPORT 5................................ 2 E. PUBLISHING UNCLASSIFIED, NON-SENSITIVE.INFORMATION IN OPEN LITERATURE AND PRESENTING PAPER 5...................... 3 E-. TYPOGRAPHY..... . . ........ .................................. 4

f. REPD:'5 CONTAINING SENSITIVE UNCLASSIFIED AND Ct. A5 51 F I E D INFORMATION. . . . . . . . . . . . . . . . . .................. ... 4 G. PUBL1541N5 UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORN 5 HOPS..... ........ ..... ......................... .. 4 f

. H. WRITIN AND PUEL15HING UNCLASSIFIED B00K5..................... 5'

1. DISTRIBUTION OF REPORTS TO CONTRACTORS...... ................. $

J. C00RDINA110N 05 PRE 55 OR OTHER MEDIA RELEASES OF UL A551FIED W0rdtATION. .. ....... .. .... .. .. .. 5

-PACT 11 UNCLA55]FIED FORMAL C3NTRACTOR REPORTS TO BE PRINTED BY NRC... 7 A. DOCUMENTATION...... .... . . .. . .. . . .. . .. . 7 Applictti'.ity . ,. ..... . ........ 7

1. ... ..... .......

2. F ront Cove r e id T i t l e Page . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

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

4. Disclaimer. . ...... .. ... . ...... .... ...... ...... 9

5. Previous Reports in Series..... ......................... 9

6. Abstract. ..... . ......... ....... .............. .. 9

7. Ref ere nces and Bibliographies. . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

6. Bibliographic Data 5heet................................. 10 B. PATENT AND SECURITY REVIEW 5.......................... ....... 10

i. Patent Review.. . ................................... . 10

. 2. Security Review. . . . ..... .. ... . .. . . 10 i Approved : August 29, 1984

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PAGE

~

C. PROCEDURES FOR PRINTING AND DISTRIBUTING........... .......... 11

1. Printing....... . .................... ................... 11'

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

3. Distribution of Reports....................... .......... II EXHIBITS

1. Sample Cover for Unclassified Formal Contractor-Prepared Reports.

Excluding Those Printed by DOE Laboratories with JCP ' Authorized Federal Printing Plants.... ................. ................. 13

2. Sample Title Page for Unclassified Formal Contractor-Prepared Reports. Excludi_ng Those Printed by DOE Laboratories with JCP Authorizeo Federal Printing Plants.............. ............. 14

3. Sample Cover for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing Plants... .. ... 15

4. Sample Title Page for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing Plants. ... ... ..... .. ...... .. . ....... ................. 16'

5. NRC F orr. 426A, Publications Release. . . . . . . . . . . . . . . . . . ........ 17

6. Disclainr and Availability Statements.... ............. .. ...... 15

7. NRC Form 335, Bibliographic Data Sheet..................... ...... 19

. PART 111 UNCLASSIFIED TECHN] CAL LETTER REP 0RTS...................... . 21 A. FORMAT................ ................ .................. .. 21

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

2. Requirements.... ..................... ................. 21 B. PATENT AND SECURITY REV1EWS.......................... ...... 21

1. Patent Review.......................................... 21

2. Security Review...................................... .. 22 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR F.EGULATORY RESEARCM BY 00E LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS....... ......... 23

~'

A. DOCUMENTAT10h..... .. .............. .. . .. . ..... . 23 l

1. Applicability. . . . ... .... . .

23

2. F ront Cover and Title Page. . . ... ... .. ... . . 23 Approved . August 29, 1984 ii i

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+ . l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS CONTENTS (Continued) f PAGE

3. Availability and Price Information.................. .. 25 25

4. Disclaimer.... .. ....................................

25 I

5. Previous Reports in Series.... ... .. ..... ... .

25

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

References and Bibliogr6phies.......... ............... 26 7.

26 E. Cibi1ographic Data Sheet. . . ..... ........ .. ..

...................... . ..... 26 B. PATENT AND SECURITY REVIEW 5.

26

1. Patent Review ....... ......... ..... .......... ..

26

2. Security Review. ..... ... .. ..... . .................

. ...... 27 C. PROCEDURES FOR PRINTING AND DISTRIBUTING..... .

... . . . .. . . 27 ,

1. Printing ... . . . .. .

27

2. Reprinting. .. . . . ... ... ......

Distribution of Reports.. .. . 27

3. . . .

PART v REPORTS CONTA]NING SENSITIVE UNCLASSIFIED AND 29 CLASSIFIED INFORMATION. .

29

( A. APPLICABILITY. .. .. .. . ... .. .

29 E. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION......

. . . .. 30 C. PROFFIETARY INFORMATION.. . . .

.. . . . 31 C. SAFEGUARC5 INFORMATI0t. .

.. .... ... .. .... . 31 E. CLA551F]ED INFORMATION ..

ExnIBIT5

8. Sample Cover for a Contr . tor Report Containing Official Use .... 33 Only information. . . . . . .

9. Sample Title Page for a Contractor Report Containing Official 34 Use Only Information.

10. Sample Back Cover for a Contractor Report Containing Official 35 Use Only Inf ormation. . . .... ..

11. Sample Cover for a Contractor Report Containing Limited .. 36 Official Use Information. . .. ....... ..

12 Sarple Tit ic Page for a Contractor Report Containing Limited 37 Official Use Information. ...

t iii Approved: August 29, 1984

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PUBLICATION OF -TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC ' Appendix 3202 l'NDER OR Pl'RSUANT TO INTER AGENCY AGREEMENTS - ]

CONTENTS (Continued)

PAGE

13. Sample'Back Cover for a Contractor Report Containing Limited .

Offitial Use 1nformation........................................... 38 l-

14. Sample Cover for a Contractor Report Con *.aining Proprietary Inf ormati on Octained f rom a U. S._ Organization. . . . . . . . . . . . . . . .*-. . . 39

15. Sample Cover Page for a Contractor Rt. port Containing Proprietary Inf ormation Obtained f rom a Foreign Source. . . . . . .. . . . 40

16. Sample Title Page'for a Contractor Report Containing Proprietary Inf ormation Obtained f rom a U.S. Organization. . . . . . . . 41

17. Sarnple Title Page f or a Contractor Report Containing Proprietary inf errration Obtained f rom a Foreign Source. . . . 42

18. Sample Eac6 Cove for a Contractor Report Containing Proprietary Inf crrration. .. . . ...... . .... . . . . . 43

19. Cover Sheet for Reports Containing Proprietary Information..... .. 44

20. Sample Cover for a Cotitractor Report Containing Unclassified Safeguards Information. .. ...... ............... . 45 21.- Sample Title Page for a Contractor Report Containing Unclassified Safeguards Information. . .. .... . . .. . . .. .. 4E

22. Sample Back Covee for a Contractor Report Containing Unclassified Safeguarcs Information. .... .. .. . ....... .. . .. 47

23. Cover Sheet for a Contractor Report Cor4aining Unclassified Safeguards Information... .... .. ......... .. .. ...... . . 4E PART VI. HANDLING OF UNCLA551FILD INFORMATION ON NRC COOPERATIVE PROGRAMS Wlin FOREIGb GOVERNMENTS AND ORGANIZATIONS AND WITH INDUSTRY., ......... . . .. ....................... .... .. 49 A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT.... .... 49 B. 015TRIBU110N BY NRC PROJEC1 MANAGER5......................... 50 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT. ......... .. 50 D. REPORT IDENTIFIERS.... ... ... ..... .... ...... ...... .. 50 E. MAILING TD PROGRAM PARTICIPANTS. . . ... .......... .. . 52 F. SECURllf. ... ... .......... ..... . . ....... . . .. 51 Approved: August 29. 1984 iv u____._E..._____ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ . . __

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PUBLICATION OF TECHN] CAL REPORTS PREPARED BY NRC~ CONTRACTORS. INCLUDING REPORTS PREPARED

-l'NDER OR Pl'RSl' ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued)

PAGE e EKHIE115 24 Sample Cover for a Draft Preliminary Report (Code)'for Comment... 52 2 5.' Transmittal. Letter f rom Contractor to NRC Project Manager for D r a f t P r e l i rt i n a ry R e p o r t ( C o de ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

26. Transmittal Sheet for Requesting Mailing to Cooperative Program Participants. . . .............................................., 5L i

(

.\-

k' v Approved : August 29, 1984 I

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i PUBLICATION OF TECHNICAL REPORTS-PREPARED BY

_- NRC CONTR ACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART1

.4 PREPARATION OF REPORTING REQUIREMENT PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK A. LIST OF TECliNICAL REPORT REQUIREMENTS List the technical reports required from each project, task or subtask, as _ applicable, State when and to whom they should be submitted and what they should contain. These reports may be unclassified, sensitive unclassified or' classified. Standards for each of these categories. are presented in Parts 11 through V The following definitions describe the types of reports that may be specified:

technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP series , or draf t or final material for inclusion in SERs or ESs (see definitions below).

technical letter reports (also called technical evaluation reports) -

interun or final letters that provide information on the technical

[ aspects of the contract work. Interim technical letter reports may g

be required at various stages of a project. These interim letters usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and evaluation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are

' not limited to, ini )rmal (interim) progress reports , quick-look reports, data reports. status summary reports, project descriptions, pre-test prediction s . model verifications. experiment safety anal-yses. experiment operating procedures, facility certification reports, and test result reports. These reports must be identified with the financial number (FIN) assigned to the project. They are not to be identif'ed with DOE registered report codes. The num-ber of copies to be prepared and the distribution of those copies will be specified by the project manager.

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

(

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1 Approved: August 29, 1984 f

b___________.____.__.________________.__ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ .

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY

. NRC Appendix 3202 NRC CONTR ACTORS, INCLUDINC REPORTS PREPARED-

+

. Fart ! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS draf t or final material for publication or inclusion in' SERs . ESs.

letters. er heense amendments - written material requested f or use m the SEC heensing process. Such material may be (1) abstracted in. a NUREG report or attached to a NUREG report.. (2) attached to . .

a letter or an amendment to the license, or (3) abstracted and used-

. as necessary by the NRC staff. NRC requires patent review and full management review of this material by the performing organiza-

~

12cn . This material is to be submitted to NRC as a technical letter report addressed to the project manager and identified by the FIN namber.

For purposes of this Part, contractor means a private contractor, con-sultant . . grantee. another State or Federal Agency working under an intera gency agreement, or a DOE / facility or- National Laboratory (con-tractor) and subcontractors.

B. REQUIREMENTS FOR FORMAL Rr, PORTS If the contractor is to prepare a final formal technical report for pubh-cation. state that it will be priated and. distributed by NRC from camera-ready copy submitted by the centractor, unless the work is being done for the Office of Nuclear Regudtory Research by a DOE facihty or Laboratory with a JCP-authorized prirung plant . The camera-ready copy is to be prepared in accordance with the provisions of this appen-dix-. Parts 11 and V (for contractors other than DOE contractors). or Parts IV. and V of this appendix and Chapter 1102 (for DOE contrac-tors) A style guide is also available free, upon request (NUREG-0050). If the report is to be printed by NRC and it is unclassified, the camera-ready copy is to be submitted by the contractor to the Director.

D2visicn of TechnicalInformation and Document Control, NRC. Washington.

D.C. 20555, by first class mail. For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101 Unclassified reports printed for the Office of Nuclear Regulatory Research should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102 C. REQUIREMENTS FOR DRPFT REPORTS If a draft is desired prior to completion of a final technical letter report, formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-ernments and organizations and with U.S. industry, state that require-ment and the time frame for delivering the final camera-ready copy after receiving NRC and/or participant comntents on the draft. Stcte that all draft material should be submitted to the cognizant project manager.

When the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program and/or participant comments the contractor will be asked to make changes.

If agreemtnt on the changes is reached, the NRC manager will authoriae the contractor to prepare the final copy and submit it to the project manager, if at is a letter report or input to an SER or ES, or to the Director. Division of Technical Information and Document Control, if it is Approved: August 29, 1984 2 L _ _

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 1 camera-ready copy for printing and distribution. This is to be done to assure proper publication, handling, and distribution and, among other ihmgs, to preclude further changes that might nullify the agreement. If caveats were agreed to and the project manager wishes to check the final -

document for their presence, he/she should inform TIDC of that desire.

In that case, upon receipt of the camera-ready copy by TIDC, the project manager will be informed and requested to prepare and sign the NRC Form 426A.

1 Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is ~not reached, the NRC project manager may request the contractor to prepare the camera-ready copy with. in addition to the standard disclaimer required on all contractor formal reports (see Exhibit 6), any caveats deemed necessary to cover NRC objections. Such caveats may range from the "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission' to the addition of a preface setting forth the NRC opinion er footnotes at appropriate locations within the text.

State that if NRC objections cannot be covered in this manner NRC can refuse to pubbsh the report. In the case of DOE / National Laboratory reports. the DOE Operations Office Manager responsible for that labora-tory should be informed by the NRC Office Director or Regional Adminis- )

trator of the decision and the reasons therefor, with a copy to the

(, Laboratory Director. In the case of another Federal agency, a State, or g a private contractor, the person who executed the contract should simi-larly be informed by the NRC Contracting Officer. The contractor is then free to publish without NRC identification of the report. Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations-D. PUBLISHING UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS If the contractor's principal investigator is to be allowed to publish in the open literature insiead of submitting a final report nd/or present papers at pubhc or as:ociation meetings during the course of the work.

add the following statement to the Statement of Work:

The principal in cestigator(s) may publish the results of this work in the open literature instead of submitting a final report and/or present paper at public or association meetings at interim stages of the work.

If the project manager wants to review the paper or journal article prior to presentation or submission for publication, state this in the Statement of Work, as f ollows :

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

[. sent papers at public or association meetings at interim stages of the work, if the article or paper has been reviewed by the NRC project l

3 Approved : August 29, 1984 l

, s-p PUBLICATION OF TECHNICAL REPORTS PREPARED - BY

. NRC Appendix 3202 'NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part I ~ UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS' manager in draf t form and agreement has been reached on the con- 4 f

. tent. The applicable procedures ' set forth in Chapters NRC-32M or l NRC-Il02 must be followed. j If agreement is not reached, NRC may also ask that the' paper include -

in addition to the standard statement " Work supported by the U.S.

Nuclear Regulatory Commission," any caveats deemed necessary to ecver NRC objections. If NRC objections cannot be covered m thit .

manner, NRC can refuse to authorize publication in the'open litera-ture and/or presentation of papers.

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

The contractor is then free to publish without NRC identification of the information . This will' not affect payment of the contract work costs.

Project manager or higher level decisions may' be appealed to the NRC l Executive Director for Operations.

If. the contractor proposes to publish in the open literature or present the 2nformation at meetings in addition to submitting the required tech-nical reports, approval of the proposed article or presentation should bc obtained from the NRC project manager. The NRC project manager shall either approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, a project manager may disapprove or delay presentation or publication of papers on,infor-mation that is subject to Commissioner approval that has not been ruled upon or which has been disapproved.

(See Chapter 3206 for provisions relating to payment of page charges and travel costs for presentation of papers.)

E. TYPOURAPHY The text of reports must be single spaced on 8\ x 11-in, paper, unless ;

otherwise specifically authorized. Occasionally, reports with many sym- '

bols and mathematical exp'essions may require one and one-half spacing '

to provide for supersempts and subscripts. This spacing should be allowed where needed, but should be considered an exception, not the standard.

F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED -

INFORMATION Details of the marking of reports designated Official Use Only. I.imited ]

Official Use, Proprietary information , Safeguards Information, and q classified (Confidential, Secret, and Top Secret) are provided in Part V j

{

of this appendix and in NRC Appendix 2101.

G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOT5 NRC publishes or assists in the publication of compilations of papers l presented at meetin gs , conferences, and symposiums in which NRC {

Approved : August 29, 1984 4 .

^*

. ~ ..

4. .

1 PUBLICATION OF. TECHNICAL REPORTS PREPARED BY

)

NRC Appendix 3202 l! NRC-CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part l' l participates as a sponsor or cosponsor. Chapter NRC-3207, " Conferences

and Conference Proceedings," provides general information and guidance for this .More detailed guidance is available from TIDC upon request.

H. WRITING AND PUBLISHING UNCLASSIFIED BOONS

'NBC 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."

14 DISTBlBUTION OF REPORTS TO CONTRACTORS Up to' 50 copies of unclassified formal technical reports may be retained by or will be bulk shipped to the contractor by NRC' for internal use.

If fewer than 50 copies are needed, indicate the desired quantity on NRC-Form 426A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by 1he NRC project manager may be requested on a project basis er on a report-by-report basis. The request, with written justifi-cation should be addressed to the NRC project manager, with a copy to NRC/TIDC. If the additional distribution' is approved by the NRC project manager, the contractor shall' send these copies (if printing is done by. the contractor) and address labels, even if printing is done by NRC. to NRC/TIDC, where the distribution will be made along with the

, ' standard distribution. Distribution of sensitive unclassified and classi-f2ed reports will be made by the project manager on a case-by-case basis.

(

J. 'COORDIN ATION OF PRESS OR OTHER MEDI A RELEASES OF bNCLASSl-FIED INFORMATION A contractor may request permission to issue a press or other media re' esse 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 Aff airt .' Tne 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 hvadling. Decisions not to release information or

~

delays in handling by -tae project manager may be appealed to the NRC Executive Director for Operations.

9

\

5 Approved : August 29, 1984 l l

20; ,.

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y.

t, PUBLICATION OF TECHNICAL REPORTS. PREPARED-BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED E UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 Q

l

. PART 11-s UNCLASSIFIED FORMAL CONTRACTOR REPORTS :

TO BE PRINTED BY NRC A. DOCUMENTATION

- 1. Applicabilig ,

a. The requirements of . this part apply to contractor- and inter-agency agreement reports that are to be printed by NRC4

( Contractors may not print reports prepared for NRC except' those DOE laboratories with JCP-authorized printing plants and then only those reports prepared for NRC's Office of Nucioar Regulatory Research,

b. With respect to sensitive unclassified and ' classified reports.

the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.

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

contractors of the NRC boards, panels, and advisory commit-tees which report directly to the Commission.

[

\ 2. Front Corsr and Title Page

a. Separate covers and title pages are required (see Exhibits I and 2 for contre.: tor reports and Exhibits 3 and 4 for reports '

prepared under or pursuant to interagency agreements) .*

b. The items shown in Exhibits 1 through 4 and discussed below shall appear on the title page and cover. as appropriate-.**

0; NRC Runort Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique tc that report. The centralized report control system for unigt e identification is maintained by the Division of .

Technical Information and - Document Control. Numbers may be obtained by calling the Division of Technical Infor-mation and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.

" Reproducible cepy of the cover of the performing organization may be sub-mitted ; however, the data elements shown in Exhibit I must be included.

These re;quirements meet the specifications of American National Standard ANS) 229.18-1974, Guidelines for Format and Production of Scientific and

(- '

Technical Reports , and ANSI Z39.23-1974. Technical Report Numbers.

7 Approved: August 29, 1984

1 v q g .x ,

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED' Part 11 UNDER OR- PURSU ANT TO INTER AGENCY AGREEMENTS The NRC identification number will have the form: -

NUREG/CR-XXXX or NUREG/CP-XXXX' where CP indicates conference proceeding. The contrac-

tor's report number, if any, uay be inserted below the NUREG number on the title page and cover, as shown in Exhibits 1 through 4, if desired by the contractor.

When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume , supplement , part or revision designation shall appear immediately below the report number.

(2) Title and Subtitle (a) Use a brieT title that indicates clearly the subject matter covered in the report.

(b) When a report is prepared in more than one volume. l repeat the primary title on each volume.

(c) If appropriate, show the type of report (e.g.,

annual report , final report, thesis , etc.) and the period covered as part cf the subtitle.

(3) Personal Author (sr Name(s)

Authors' names should be given on the title ' page and cover unless this is impractical, as in the case of- annual reports which have many contributors, if authors' contr2-butions are as editors, compilers, etc. , so indicate on the title page following the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document.

(1) Organizatic,r. Identifiestion On the title page and cover, provide information of the type illustrated in Exhibits 1 through 4.

(5) Basis for Report Date(s) ;

(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g. , date report completed, date reviews completed , date published , date distributed, etc.

(b) More than one date, 'vith the basis for each, may be shown where this is necessary Approved: August 29, 1984 8

r Pl'BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 l'NDER OR Pl'RSUANT TO INTERAGENCY AGREEMENTS Part 11

3. Availabihty Information All formal reports will be made available for sale by NRC and by the National Technical Information Service (NTIS). Exhibit 6 will be inserted on the inside of the front cover by the Division of -

Technical Information and Document Control.

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

or implied. or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparat u s , product or process disclosed in this report, or repre-sents that its use by such third party would not infringe privately owned rights . " The following additional statement , "The views expressed in this report are not necessarily those of the U.S.

Nuclear Regulatory Commission" will be printed below the standard disclaime r , if appropriate . Other qualifying statements may be added, if needed (see Part I.C. , Requirements for Draft Reports).

5. Previous Reports in Series

(* If the report being prepared is one in an ongoing series list all

\ previous reports in the series. Include report numbers and issu-ance dates. Place this list on the back of the title page.

6 Abstract An abstract of 200 words or less shall be prepared for each formal report . Within the report, the abstract shall appear on a separate page between the list of previous documents in the ser'es and the contents page."

7. References and BiMiographies Reports or other documents referenced in text, reference sections, bibliographies , end appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service , or at other reference or sales outlets ) or in the NRC Public Document Room. This means that references should not be made to personal communications and interviews , unpublished This preferred positioning of the abstract in the report need not be followed

- if the style manual of the originating organization requires a different

(, loc ation .

9 Approved : August 29, 1984 i

___.___m-_- __- .__ _ _ _ _ _

IJ PUBLICATION OF TECHNICAL REPORTS PREPARED BY l: ..NRC: Appendix '3202 NRC CONTR ACTORS. INCLUDING -REPORTS PREPARED L Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS information . and information with restricted distribution (e.g..

L proprieta ry , nationan security, official use only, etc.). If the unretrievable information is important and unrestricted, it can be quoted in the text. in footnotes, or in appendixes. If credit is due to individuals,"they can be mentioned in the text or in an acknow " .. .

ledgement . section. Availability may be stated collectively for all entries (see Exhibit 6).

~

Guidelines for developing and prescribing reference , material are provided in NUREG-0650, " Technical Writing Style Guide . "

published in November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement I dated February 1982

8. Bibliographies Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to_ approval of reports for public release so that disclosure will not adversely affect the patent. rights of NRC or the contractor. If the work being reported is contractually managed through another government agency (e.g. ,

DOE laboratories), that government agency should be requested by the contractor to perform the patent review. The result of such review shall be reported on NRC Form 426A in item II (Exhibit 5).

If NRC directly administers the contract or the contractor is unable to cbtain a patent clearance f rom the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted , and the r(sponsible NRC project manager shall consider the patent implications . If there is no need for patent revie's because of the certoir.ty that the report contains no descript2on of ' l novel technical devMopments which may be of an inventive nature.

NBC Form 426A mey be completed with the statement "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature. If i there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal ,

Director. I

2. Security Review ,

In most cases, contractor reports will be unclassified. Should a report of sensitive unclassified or classified work be required ,

however, the NRC project manager must work with the NRC Division of Security to establish the appropriate procedures and infor n the contractor of such procedures through the contracting officer. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.

Approved : August 29, 1984 10

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i PUBLICATION OF TECHNICAL REPORTS PREPARED BY p

NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 C. PROCEDURES FOR PRINTING AND DISTRIBUTING

1. Printing Reproducible masters prepared in accordance with this appendix shall be transmitted to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A (Exhibit 5). NRC Form 426A must be signed by the NRC project manager or a contractor official authorized by the project manager.

.uch authorization shall be reported in writing to TIDC.

The Division of Technical Information and Document Control will review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributing the report. Unsatisfactory masters win be reported to the NRC project manager for appropriate contractual action by the contract-ing officer or, in the case of government agency or interagency agreement work, the publications manager of the performing organiza tion .

2. Reprintin g Requests for reprinting any report subsequent to the initial print-ing require approval of the Division of Technical Information and Document Control. Each request shall include a written justification and the project manager's approval for reprinting along with ad-

dress labels for the recipients.

3. Distribution of Reports All copies of unclassified formal contractor rercrts will be distrib-uted by the Divisscn of Technical Information ana ~.socument Control in accordance with instructions on NRC Fo'.a 426A (Exhibit 5). The Division of Technical Information and Neument Control will also arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Inform uien Service (NTIS), the Government Printing Office and the Depository Library Service.

If any distributhn is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control . Address labels for the additional distribution must be supplied.

Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis.

E j 11 Approved: August 29, 1984

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~ PUBLICATION OF TECHNICAL. REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 'v' .

L'

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EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED

- '. DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS-l

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NRC Report No. NUREG/CR-1676 Contractor Report No. (if any) NUSAC-566 Vol., Part. Rev., etc. (af any) Vol.1 1.,le Using Advanced Process Monitoring to improve Material Control n

Subtitle and Type of Report Final Report

( Annual, Topical, etcj September 1979 - September 1980 Author (s) 5 e a e: t, ma*ains A L Lvnce R F Lamt Contractor NusAc ince poratee uY'$*[

comm..e $.a. meevisterv I

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13 Approved : August 29, 1984 l

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PUBLICATION OT TECHNICAL REPORTS PREPARED BY '

. NHC . Appendix 3202 ' NRC CONTR ACTORS, INCLUDING REPORTS - PREPARED '

Part 11 _ . _ . . , _

~ UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS-l EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR- '

PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No. NUREG CR 1676 Contractor Report No. (if any) NUSAC-5M V0 i Vol., Part, Rev., etc. (if any)

Distribution Category No. (if any) l 1

1,ti, Using Advanced Process Monitoring to improve Material Control Subtitle and Type of Report Finsi Repe.t Septembe+ 1979 Septemee* 1980 (Annual, Topical, etc.)

Report Dates and Bases we,3<.rco-.4e,ser;.go.-w Author (s), Editor (s). e. ...e e .

Compiler (s), etc.

'**"'^**'""

Contractor Name se .-r,.

and Address l,'//','/E; I u

1 NRC Sponsorship prepeces e,.

Dewision of Eategwerds 3 Office of fa eeeeee Metenel Sofety and Eefegue+es U $ hur.e e Repuieten Comemssica NRC Contract No. Uc"M 's"p37 l

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Approved : August 29, 1954 14 l

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PL'BL1 CATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NBC Annandiv 390?

L'NDER OR Pl'RS1' ANT TO INTERAGENCY AGREEMENTS . a.m. :1

, {;- EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED .

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report N NUREG 'CR 1952 Contractor Report No SAND 810151 Vol., Part, Rev ., etc.

LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks

< independent Verification Testing Program

Type of Report independent Venfication Test-1 or Subtitle

=

'"" ' ' i ', ' 1*,",,,$'o ", "e"go'o*,,,Vic'" ' # # ** * "'

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Author (s). E ditor (si Coni,acior 5,,, , s . , .om,1 t o c o. . ,0 ,,,

$ponlorthip '$ 't.utie, ReOui,toeg Com session

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15 Approved : August 29, 1984

_ _ _ _ _ _ _ _ _ )

_ _ _ _ _ _ - _ = _ _ _ _ _ _ _-_ ._ -- - - - _ . - _ . - _ _ . _ _ - - _ --

t

. .e PUBLICATION OF TEC}{NICAL REPORTS ' PREPARED BY NRC, Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED

- Part 11'- _

UNDER OR PURSU ANT TO INTER AGENCY ' AGREEMENTS EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS FREPARED *

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.

Contractor's Report No.

Vol., Port, Rev., etc. jif0 5 p4 Distribution Category we- LOCA-Simulation Thermal-Shock Test of Sliding-Link' Terminal Blocks Subtstle incepeneent ve ificatior Testmg Program in0epencent Verificat'07 Tes11 Report Dates u,.,...r.<..,.,..w,

. . .1 c e v.. +

Author (s), E'ditor(si - s .. w .- i .

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i 's 'C'i!. 7?, *, 'sZ , ? J :-*

Contreetor's }els,*g; ga,,e,;,7 Nernt and Address NRC Sponsorship P'ece'ed f e' Divisice of Aes dent and Reasonel Rescior taspectie n Office of . inspection er 8 E e'occomeat U S %cies* #e wieve y Commiss.ee NRC FIN No. $$Is31cS l

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Approved August 29. 1954 16 L- _- .mm_.__._.a.. . - - . - _ _ _ a__ _ . -

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: j r PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRr' Appendix 3202 3 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Prc t E 1 EXHIBIT 5-NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS -

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EXHIBIT 6 .

DISCLAIMER AND AVAILABILITY STATEMENTS (SACK OF COVER)

NOTICE , )

l j

This espe r t uns puested as en essmunt of eart guimped by en M Sl cle W h l

Gouernment Norteur Ise Usted $sois Gessrsonant apr any gewy causeof, or any of sale '

cessieveen. snake say sorrenty empreumd or omshed. er emnsmus any tigst 8thAsey of ee-esensedny toe say thwe party's esm. or see remets of meh ins.of any esAssueelsh,aussehm.

erosiars o yesses eastasse en seus espect, er sapessam shot an ese by assh aus prey ammed not mbmps revetely eeped nghts -

NOTICE A.easbiht, of Aste.orme edeterets Cated in NAC PwWesetsons Most Ocewa wan cited in NRC subig.eterm snH he eueitsede frwn one of the tollowwte ensrum i

1. The h RC Puti.c Document Aeom.1717 H 5treet. N W Wesshmpton, DC 20665 j

2 The NRC/Geo $sie Proysm. U S. 8 ewe 6ere Aspletery Coorwemen, Washmpton. DC 20655 3 The Nations. Technes' information $s vce. $snnyheid. V A 22161 Atthough the istmg that teolows repreerna the moyenty e4 esswnsene snad in NRC piaWespess, et is not insenord to be enhowetive j mehensed seewmeno evedente eor inspecten ew eseyug ter e ses from she NAC Puts busw. l trent Room menvee NRC eorremonsonce end emorret hRC memorenas.NRC OMes of Isuesstion {

ene inforce rent bwhetmo swevises enkemstea notess. enssenen end ismensption noten.

L<ense ivent Aeports vmeor resora e1 corresponeerse. Commenen assers,and sessaarit and leCPese encumpnB e4 eer6I The foliosang seewaman in the NURf G ser m e em eseitsWe ter sweemse bom the NRC/GPO team j Proyem formal NAC suff and cont ener repers MAC4pensored senterense resualugn. and j NRC tookeen end techwei Also eveiletHe em Aspnnery Gween NRC espastesse en the Open, or

Festrol Aspenene, and Armor Asduserary Conummmen issuomas Documeno e+1sbie erom the Storei Techancet in%rmeten Senrise Metues WUREG smm espers end technecel reporte prep. ed by er'eer sesorel assreise end teamru pesared by she Aeamic .

Ensegy Conenenen. teserunner e6sncy to the feustsse Repistory Osuunissen Deewnens seateWe bem puW1 and ausset essental threries tuhsee eN egen issueuse tens,

- e. ._,. ,ow,e, e,s , si er, es. ond .e e.e -s.ess, s.eem- ond esote tapetsieri, and eenysmscal report een inssity to chassend fron. thus IIDrories.

Demameau esch es thesen, dearerters. teregn sessrs and wonsteners.end nandd4C emnesserue W ore etssemble he 96 fluen fles eM M WW 6 M.

Smg6e copies of NRC sitt reports are arenst le free,to the entait of euesN. upon eersnwiseasset to *he D+ vision of Tecnnset er.lormeten and Desument Centrol. U 5 teuelser Aapessary Com nuamon.Washagton DC 30665. ,

Geoes of sneurnt eens end sinneerei amed in e aussentrue normer in the Nec espisesey youses wo enemamed et the NRC Leererv. 7930 toeriesk Aserme. Detnunds. Alerytend. and ese onessate l there 4r re's ence use by efw public. Casm and septere oro enselfy espyrighund and suey to eschend tram the enemmme wynen n er. it coy er. Ansesen sesamsui essmene we,n.~.

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Amecen Nmionc $., eire inniiww.14so nmeoney. Now Vyt. NY 10018 .

coo emme eso, rum Apprcvni August 'F, 198} 18

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j PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS.' INCLUDING REPORTS PREPARED NRC Annendix 3202 i t e; II i UNDER OR- PURSU ANT TO INTER AGFNCY AGREEMENTS

' (

- EXHIBIT 7 NRC FORM 336. BIBLIOGRAPHIC DATA SHEET

. . . . . . . ~ . - - -

7; T?.'.a',,

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.. DATA eMEET.......e ,

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19 Approved : August 29. 1981

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS INCLUDING REPORTS PREPARED ;

Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS - l i

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EXHIBIT 7 (Continued) i BACK OF NRC FORM 335 j a

i J

l DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT iNevauCTiOses NaC $0mv 335 titLiOCs A*Mic DATA 5*'Ett.18 S A$tD ON CuiDELehts FDA 80mMAT AND Pm0DvCTa0N 08 SCitNTie:C AND TECHNICAL mtpomT&. ANSI 239 18 1974 AVAILAgLE # Row AWEmeCAN suAT#0NAL STAesDARDS #setTITutt.1830 BRD AD** v. Nt* vomK Nv 100te E AC** SteamATE LV 90VND at>0mT.som E mAuptt. t ACm v0Luwt sN A puttav0tuwt SET.8aALL MAvt IT5 UNicut Sit $ 00mApa:C t DATA SatET

1. RE*0RT Nuust a. toca ine.ig ,ea, novae remo,t swan 10 spo.860asNC ORGAse 3Af s08u List NaC D.wiset 0H ice so et a waiove e omea w mee.c ses.gastea INUntGi se gaec U 5 Necese, meevieiere Comm sooa. anmagio% DC 30665 by tae D.wisice et Tocaa co entormatea sac Documeat Coat'e ADV ea accorosace swith Americea Net.one, ti e TYPE OF ASPORT. Siete ere't feas'. prehm'ae*,. top.ca .

Steacrc AN5' 239 23.1914 Tschaice Repo t Ave ne - techa.ce'. reswisto e. eue'tenv. etc . sac d seo'iceo s (ST m N . uw vepe case serie's. A'ob.c name o.s. seas *es nac meive n astu a,paeas ca, es ** t%e tone.+s easmp<es Nueitc.0t0C NumtG CP.0010, NumtGrCa ct00 ene Nuotc/ga.00tc 6. PERIOD covt AID F o* reoc'is a e seres see b o . Supe , ein..s ea eae Aaoene.- when aseesse , Ace coat. ecto, c.os. e se ence 12 SUPPLtWINT AR Y 880TES Eate imeo metea act inciveee eseat.sacete*ua mte' ed savnseeo. NumtG av mpe. eg. . e.se*%e,e te veelwi. swea es Pseneres m esose et<ea = ta i PNL.aa>x,$ANDaa.*xam So. aXa Preseated at coa +e<eace o' To me putaienee Doce s* l No evas e espo , e esv.ese me.cate ernevar tae ne.

2 TITL E AND SUSTit Lt. T.i.e eac, e me,cew cine i, eac ,epo's swee+esces ce sappiameats tne oees. espo.:

D' e % the sveieci icoverspe' of the repe t sac c as e*,

twDi' tie te tae me

tetie 9%ata e esport is prope*ec + me e 13 ABETR ACT. lacives a b'e' (200.orce c. ene facius eve the* cae wEleme tepest tae Dome *, titse, sos woiwme aw *tus' me's of the most sitadessat m'oemetea conterase sa one 4* mc w at swDi t'e to' the spec 'hc volume Wee upp** eac feDo'i 18 the ftpof t coate *I e tapa'bceat De'es*eoat o' fo*re' cete sette's be,t cooitehle co8%9ste' coot ne*M Di; lite'etv's su'wey o' muttgie weivmes meatica ti ee's ADet'oc' ao ww sceoa, s eae eart.e,s-s sa 1+es me, on eco,e + is to me peeprer 6, senor e+ proiect meneer co e*tase s to DOCUMENT ANALYSIS 3 LEAvg sLANn e 8CEV We0R06@tSca PTOR8 Seiect troaa the f are.

4 DATE mtpont C0WeltTf D to:* <eemt eas" cr*, e r ste Date Sow Swniert theneeve. 00t rtic t00m m 6 tae

.ac.c i.as moate onc ves' peciectetesa comp evec peepe evthaheed seems thet senat<8, tae me o' coaceo' of the esaseo saa see ovuseativ esec.be oas c'ec'se te

5. AUTMom t$i G.., ne.e s ia cea,emt,ome o oe te 6 ro" oe weec es neen eateen ese cessese ae m Doe J moneet Doel List avtaer o e'hietica se it e r,Hr-eastee- iae peee**'as oassa,reic. g ergest spilms AND O*t8s 08sDED Time un ese*t nets toe proieci aemes. case nemes. eeven' tat ses<tneto i.

8 CAft AEP0mt ISEUID teck 's p o *t snea ce", e sete etc Use oceaeacoc esev=ocesi ter=* % wa sa mesceeto' ene.catmg month emo ves ev6hened eo** 41 Aoi for theer swevects 85 wNem ao erschove' l

emets en the enseewswo T. Pim#0mutNC OACAN12Atl0sv esAWt AND 84AILesv0 ADDR E$$ Giw meme, etreet, cit,. siste eac Os cooe 95 AVAILAsettTV STATEMENT. Oeaete p,one remesso+ie.

Ost no more snea two seveie 08 ea eepomsetess' he rca, for enames "wahmnoc". ee temetet.o* 'o' *eescas e'he*

Disoie, the name c' the o*peaiset.oa ensei., os venews then secuest, Diveioa. Office. Orpenission o' Governmeit egency, ema esseess te. SECURITY CLAsti F8CAfs0N, ta,e U S Serve t, Cess b.

set on sa acceesence m.ta U $ Esc.eit, meg,ieseas i.e E PRO 'E CT/T ASK wom K UN tf Iv uMS F F. Use the proiect. wacisandeel tese one we's wa. avmeets unee+ wmen the report was propomotJ ea,t it. OpWhest m 0P PAGES Loew boan (Asoee t, NTill e est om CR ANT kWMSIp. samen tae FIN o' scean a vmes' 18. PRICE. Leeve twat (Aseee av WTiss waoe, .nica ,epo i e.s p,pree i

Approve d : August 29, 1984 20

kih 'O y -

~.-

3.,

E PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS,' INCLUDING REPORTS PREPARED '

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ' NRC Appendix 3202

.{

PART 111 UNCLASSIFIED TECHNICAL' LETTER REPORTS A. FORMAT

1. Applicability

a. The requirements of this part apply t'o unclassified contractor technical letter reports. (See Part 1. A for definition.)'

b. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory commit-

' tees which report directly to the Commission.

2. Requirements Technical letter reports are prepared, duplicated and distributed in accordance .with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the project . The number of copies to be prepared and the distribution f

of those copies will be specified by the project manager. If unclas-1 sified and non-sensitive, the NRC project manager is responsible for makmg such reports available in the NRC Public Document Room (PDR) by sending them to the PDR through the NRC Document Control System.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights' of NRC. If the work being reported is contractually managed through another government agency (e.g. , DOE labora-tories), that government agency should be requested by the con-tractor to perfor'n the patent review.

If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications.

If there is a possibility that there is disclosure of developments of an inventive nature , the NRC contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.

21 Approved: August 29, 1984 a_- ____a__.___.--.-----__ _ _ _ _ . - - . _ - - . _ . . - - - _ _ _ _ - - - - - - - . _ . - - _ _ - - _ . - _ _ - - - - - - - - . _ _ _ . - _ _ _ _ . - - - -

3. .

%,r i ,

t PUBLICATION'OF TECHNICAL REPORTS PREPARED BI

. NRC Appendix 3202 NRC CONTRACTORS,-INCLUDING . REPORTS - PREPARED Part 111 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS :

2, Securit y - Review -

In most cases. . centractor technical letter reports will' be unclassi .

Should a L report of sensitive unclassified or classified work fled be required, however, the project manager must work . with' the Division of Security to establish the' appropriate security- procedures -

and inform: the contractor 'of such procedures. The standards for marking and handling such reports are given in Part V of this-appendix and NRC~ Appendix 2101, i.-

i W

i Approved: August 29, 1984 22

___.____m - . _ . . _ . _ . . _ _ _ . _ -

~'- - -

PUBLICATION OF TECHNICAL REPORTS PREPARED BY-NRC CONTRACTORS; INCLUDING REPORTS PREPARED UNDER OR PURSU/.NT TO INTERAGENCY AGREEMENTS - NRC Appendix 3202

s L(,;

PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE.

LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS A. DOCUMENTATION

1. Applicability

a. .The requirements of this part ' apply to NRC staff who are responsible for agreements with DOE Laboratories and their 1

' contractors who print regulatory and ' technical reports re-quired by NRC. (See also Chapter NRC-1102).

b. With respect to . sensitive unclassified and classified reports the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.

c, The requirements of this part do not apply to consultants and contractors to the NRC boards, panels and advisory committees e: which report directly to the Commission.

's' 2. Front Cover and Title Page a '. Separate covers (of different paper than that of the text) and title page are required.*

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

(1) NRC Re. port Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that document. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may The cover stock of the performing organization may be used; however it

- must include the data elements shown in Exhibit 3. ,

i "These requirements meet the specifications of American National Standard ANSI Z39.18-1974, " Guidelines for Format and Production of Scientific and Technical Reports," and ANSI Z39.23-1974, " Technical Report N umbers . "

23 Approved: August 29, 1984

9 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS be obtained by calling the Division of Technical Informa-tion and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.

The NRC identification number wiU have the form:

NUREG/CR-XXXX or NUREG/CP-XXXX The contractor's report number, if any, wiU be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4, if desired by the contractor.

When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume , suppl nent, part, or revision designation shau appear immediately below the report number (s) . NRC report numbers on covers and title pages shan be shown entirely on one line to facilitate computer processing.

(2) Title and Subtitle 1

(a) Use a brief title, which indicates clearly the subiect matter covered in the report.

(b) When a report is prepared in more than one volume, repeat the prunary title on each volume.

(c) If appropriate , show the type of report (e.g.,

annual report , final report, etc.) and the period covered as part of the subtitle.

(3) Personal Author (s)' Name(s)

(a) Authors' names should be given on the title page and cever unless this is impractical, as in the case of ar qual reports which have many contributors. If authors' contributions are as editors , compilers ,

etc. so indicate on title page and cover foDowing the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the report.

(b) Authors may be identified on backstrips (spines) of bound volumes.

(4) Organization Identification (a) On the cover, provide the name of the contractor

responsible for preparing the report, foDowed by

" Prepared for the U.S. Nuclear Regulatory Commission . " ,

Approved: August 29, 1984 24

L :,:

([

x . ,

= PUBLICATION OF' TECHNICAL REPORTS- PRL'ARED BY

NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC ' Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV-

.{" .

(b) On the_ title page, provide information of the type iDustrated in Exhibit 4.

(5) Basis for Report Dates (s)

(a) The basis for dating may be shown along with the ,'

l'"' date on the title page. Various bases for dating are -

possible; e.g. , date report completed, date reviews completed , date published , date ' distributed,. etc, (b) More than: one date, with .the basis for each, may be shown where this is necessary.

3. Availability and Price Information All formal reports will be made available for sale by NRC and NTIS.

The statement shown in Exhibit 6 is required on the inside of the front cover.

4. Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an.

account of work sponsored by the United States Government .

Neither the United States Government nor any agency thereof, or I any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any inforn.ation, apparatus, product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow-ing additional statemer.1, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" wiB be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part I.C. ,

Requirements for Draf t Reports).

5. Previous Reports in Series If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.

6. Abstract An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on a separate pa;c between the list of previous documents in the series and the contents page.*

[ *This preferred positioning of the abstract in the document need not be fol-

' lowed if the style manual of the originating organization requires a different location .

25 Approved : August 29, 1984

a .

i b

PUBLICATION OF TECHNICAL REPORTS . PREPARED BY ;

NRC Appendix 3202- NRC CONTRACTORS. IMCLUDING REPORTS ' PREPARED i

- Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS -

l

.1

-l 7: Ref erences and Bibliographies - .j f

Reports or other documents referenced in text, reference sections. ,

bibliographies , and appendixes of unclassified' regulatory and technical reports in the NUREG series must be available to1the !

public either in' the- public . domain (as in a public library, at the I

. Government Printing : Office, at the National Technical Information 1 Service , or at other reference or sales outlets) or in the NRC l

Public Document Room. This means that references should not .be made to personal communications and interviews , unpublished information and information with restricted' distribution (e.g.,

proprietary . national security , official use . only, etc.). .lf the unretrievable information is important' and unrestricted, it can be i quoteC in the text, in footnotes, or in appendixes. If credit' is due.

to ind2viduals, they. can be mentioned in the text or in an acknow-ledgement section . Availability may be stated collectively for all-I entries (see Exhibit 6).

Guidehnes for developing and presenting reference material are provided in NUREG-0650, ' Techr.ical Writing . Style Guide," pub-lished in November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement I dated February 1982.

6. Bibborrapic Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implica ions shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The DOE Operations Office responsible for th< contractor should perform the patent revleu The results of such review shall be reported by the contractor on NRC Form 426A in item 11 (Exhibit 5).

2. Security Review In most cases, reports will be unclassified. Should a report of sen-sitive unclassified or classified work be required , however, the NRC project manager must work with Ae Division of Security to establish the appropriate classification procedures and inform the -

contractor. The standards for marking and handhng such reports are given in Part V of this appendix and NRC Appendix 2101.

Approved: August 29, 1984 26

~

a PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED. NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV

.(

C. PROCEDURES FOR PRINTING AND DIc'RIBUTING

1. Printing .

Contractor reports may be printed only by a JCP-authorized print-ing plant and then only if prepared for the NRC Office of Nuclear Regulatory Research . Reports printed by the contractor and one reproducible master shall be submitted to the Division of Technical Information and Document Control, with completed NRC Form 420A.

The number of copies specified by the Statement of Work for stand-ard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR _) may be obtained as discussed in Section A .2.b.(1).

2. Reprinting Requests for reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of Technical Information and Document Control. The request shan include a written justi 2 cation and the project managers approval for the re-printing, along with address labels for the recipients.

3. Distribution of Reports

[ All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Infomation and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5).

NRC Form 426A must be signed by a contractor official authorized by the project manager. Such authorization shall be reported in writing to the Division of Technical Information and Document Control if any distribution is to be made othe. than, or in addition to, the standard distribution established for the report, written justification and the project manager's appr. eval for printing additional copies shall accompany the reproducinie masters when submitted to the Division of ' echnical Informt. tion and Document Control. Address labels for the soditional distribution must be supplied.

The Division of Technical Information and Document Control will arrange autometic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.

Distribution of sensitive (unclassified) and classified reports will be made by the NRC project manager on a case-by-case basis.

I 27 Approved: Augurt 29, 1984

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

(

PART V ,

REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION A. APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi.

fied and classified reports prepared by NRC contractors . These reports include those designated:

Official Use Only Limited Official Use Proprietary Information Safeguards Information Confidential Secret Top Secret Only sufficient information is presented here to aid in the preparation of the properly marked covers, title pages, back covers, and text pages.

Details of the NRC Security Program and specific provisions for deter-I mining wh er. to use the markings exhibited are contained in NRC y Appendix 2101.

The reports covered are defmed as sensitive unclassified or classified.

Sensitive unclassified information refers to information designated Official Use Only , Limited Official Use, and Proprietary Information .

Sensitive unclassified inf ormation also includes Safeguards Information that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 and Sectien 147 of the Atomic Energy Act of 1954, as amended. information withheld from public dissemination under the Freedom of Information Act or Privacy Act, and information not to be exported to or disclosed to foreign countries.

Classified information as used in this part includes Restricted Data, Formerly Restricted Dnta or National Security Information that requires protection in one of the three classification categories described in Executive Order 1235G: Top Secret Secret or Confidential.

l The uses of each of the sensitive unclassified and classified categories i and the markings required on reports are discussed and exhibited in the foDowing sections . Au sensitive unclassified and classified reports are to be sent directly to the project manager.

. B. OFFICI AL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.

f NRC regulations require an Official Use Only marking to be placed on a

! report only when the originator or other holder believes the marking is s

29 Approved : August 29, 1984 f

C_ .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS essential to ensure proper handling. Reports designated Official Use Only wiD contain only unclassified information originated by or furnished to an NRC contractor.which is to be withheld from pubbe disclosure. The report on which the marking appears must be reviewed at the time a .

request for release is received to determine its releasability. The Official Use Only marking is notice of the originator's determination of the appbce bility of an exemption under the Freedom of Information Act or_ Privacy Act or both at the time of origination. .

Official Use Only NRC contractor reports shall be marked as shown in Exhibits 8 through 10.

Limited Official Use information is infomation originated by the - U.S, Department of State. A report originated by an NRC contractor that contains Limited Official Use information shall be marked as shown in Exhibits 11 through 13.

Procedures for reproducing. transmitting, protecting , and handhng reports containing Official Use Only and Limited Official Use information and removing suh reports from those categories are detailed in NRC Appendix 2101.

C. PROPRIETARY INFORMATION Proprietary information is a specific type of Official Use Only informa-tion . Proprietary information includes:

), trade secrets.

2. priviJeged or confidential research, development, commercial or financial information exempt from mandatory disclosure under 10 CFR Part 2. " Rules of Practice for Domestic Licensing Proceed-ings." Sections 2.740 and 2.790 and under 10 CFR Part 9, "Pubbe Records," Section 9.5, " Exemptions."

3. information submitte r. in confidence to NRC by a foreign source.

which has betr. determined by NRC to be unclassified.

Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 34 through 18. In each instance.

the optional wording that describes the material being presented should be selected.

1 If a report contains both Official Use Only information and proprietary '

inf ormation , the front cover shan be niarked as proprietary information and sty also be marked as Official Use Only information, if necessary, i Pages in the report that contain proprietary information may be marked accordingly, including, marginal or other indicators of the r,pecific wording that is proprietary. Similarily, the pages that contain Official Use Only information without proprietary information may be marked Official Use Only Approved : August 29, 1964 30

( ;

. 1 4

4 j

PUBLICATION OF TECHNICAL REPORTS PREPARED BY j NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 3 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V

('- Procedures .for reproducing, transmitting, protecting and handling pro-l l

prietary information reports and removing them from the propriet.ary l information category are detailed in NRC Appendix 2101. A cover sheet ]

(Exhibit 19) is to be placed on each hard copy of a report containing '

proprietary information. r D. SAFEGUARDS INFORMATION Safeguards information may be of three types: (1) classified informa-tion, which is marked and handled as indicated in Section E, (2) un-classified information restricted under Section 147 of the Atomic Energy Act , which is marked and handled as described in this Section, and (3) unclassified information , which is publicly available and handled as indicated in Parts I through IV.

The safeguards information that is to be protected as described here is unclassined information used in a report which specifically identifies certain licensee's or applicant's detailed:

1. security measures for the physical protection of special nuclear material 2- security measures for the physical protection and location of certain plant equipment vital to the safety of production or utilization

( f acilitie s .

t.

Unclassified NRC contractor reports containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through 22.

Procedures for reproducing. transmitting, protecting, and handling safe-guards information reports and removing them from the safeguards information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to be placed on each hard copy of a report containing safeguards ir. formation.

E. CLASSIFIED INFORMATICS Classified information 15 limited to Restricted Data, Formerly Restricted Data and National Security Information. The procedures for making classification determinations and for marking, reproducing, transmitting, protec ting , and handling reports containing classified information and removing such reports from classified categories are detailed in - NRC Appendix 2101. These procedures are too complex for summarizing here.

Classification determinations regarding NRC information may be made solely by authorized classifiers designated by NRC or DOE. Authorized classifiers are responsible for insuring that reports they determine to be classified are marked and protected in accordance with the provisions of .NRC AT pendix 2101.

7 t

31 Approved: August 29, 1984

_ . _ _ . _ . ~ _ . . . _ . .

9 I

PUBLICATION OF TECHNICAL ' R EPORTS - PREPARED BY NRC Appendix 3202 - NRC CONTRACTORS, INCLUDING REPORTS ' PREPARED.'

Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Lit is important .to not'e that' infomatien may not be classified in order to prevent or delay the release of information' that' does not. require protection . in the interest of national security. Basic scientific research information not: clearly relatedi to national security may not be classified. -

I

. Approved: August 29, 1984 32

.. .. _ _ _ - _ _ _ _ _ _ _ _ .___-_ _ _ _ - . _ _ _ _ _ _ i

e ,

. . . . . . . . . . ~ .

-o-PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS PaM. V' EXHl8178-SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING -

OFFICIAL USE ONLY INFORMATION orric AL usE ONLY NUREG'CR XXXX ($1 Title Subtitle and Type Of Report Autho'lsk (d torisl o ereIfor U.S Nuclear RegWatory Commission f

w'a=D.C saov pue$,c org;605 sat i l

OFFICIAL USE ONLY

( _

33 Approved : August 29, 1984

i ,

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED ,

Part V .

UNDER OR PURSTAST TO INTERAGENCY AGREEMENTS ,

EXHlBIT 9 '

SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING .

OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREGiC A.XXXX (5)

Title Subtme anc Type e' Rese, u.s .e,,r ca.,, .e .....

D t. P.,>eae imema n."

sew, s ono...

co ..n.. . ,. ....

Prope,ee vor Dmsica OM,c e U.S hucleet Regulatory Commission Washmeten 0 C 3DESE hRC FIN Ac l

1 i

\

OFFICIAL USE ONLY q i

l A pprc.ved : August 29, 1984 34

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSl' ANT TO INTER AGENCY AGREEMENTS See V

~.

EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY I

' '\,

OFFICIAL USE ONLY -

i.

35 Approved: August 29, 1984

- , , _ _ _ _ _ - - _ - -- i

l NRC Appendix 3202 PUBLICATION OF T5CHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part Y UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING '

LIMITED OFFICIAL USE !NFORMAT!ON LIMITED OFFICIAL USE NUREG'CR XXXX (5)

Title-Subtitle and Type of Report 80.l;';. 58*"

Ill"CL'.*,', .. i.i., c..mi..i.,

l

. --a . 0 . .. .: o.s:.cs .,

)

4 LIMITED OFFICIAL USE 4 i

Approved August 29, 1984 35 m L -_____-___m.-_..- _____-_. -__ _ _ --

n .1 o

'o' A

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

' NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Fa t Y EXHlBIT 12

~

SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OMICIAL USE NUREG/CR XXXX (S) .

Title Subtme and Type of Report

u. ,, w., i 4

!"%7%,,'7".""'-

m , . _ ...

/ $7.IEY'*'

, ome.

N. g.sgo,cl,w

, gug commi.. ion NRC FIN No.

LIMITED ORICIAL USE

?

37 Approved : August 29, 1984

e l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED

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NRC Appendix 3202 Part Y UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION l

LIMITED OFFICIAL USE l

l LIMITED OFFICIAL USE '

Approved . August 29, 1984 33

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Per: Y

. f's EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING '

PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION ,

NUREG'CR-XXXX (P)

Title Subtitle and Type of Report Authofil). Edt10f tsi Contra:1o' Propered fcf U S Nucleet Reguistory Commission

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39 Approved : August 29, 1984 l

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EXHIBIT 16 l SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING ;

PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE 1 PROPRIETARY INFORMATION NUREG CR XXXX iPs Title Subtitle and Type of Report Authoets'. Edno'ts' Contesetc*

Precered for U $ hwcleet R*0wletory Commission somgics i%scava cs

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i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS PaM. V h

EXHIBIT 16 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING .

PROPRIETARY INFORMATiON OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREGICR XXXX (Ps Title ,

SubtrDe and Type of Repon

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PROPRIETARY INFORMATION 41 Approved : August 29, 1984

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PUBLICATION OF TE'CHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREG'CR-XXXX (Pi Title Suetme anc Type of Repo :

ee8 aer me = w Asmo* s to to' s e*> mob ,w-Aame*'e f e to'<a Coat seio asme e-e son eas Props'ett f or 0.wis cn OHic e U $ hucleet Regulatory Commission Washingtea O C 2tEEiE NRC FIN hc sost Gs MosvA* c'.

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Approved August 29, 1984 42

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 .

UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS Ftr- ?

- (

EXHIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION i

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\ l 43 Approved: August 29, 1984 e

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i PUBLICATION OF TECHNICAL REPORTS- PREPARED BY k NRC Appendix 3202 NRC CONTRACTORS INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS -

i i

EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION j

PROPRIETARY INFORMATION NOTICE

. Twt AMacMfD DOCUwtNT CONT AiN$ "Pacemf7 Aav iNsD#-

mat 60N AND EnoutD DE MANDJD Al NRC '988 CAL USE ON#

W80awAtiO% ti SMOVLD NOT St OfstutSED Da WADE AVAILASLt *f0 ANY PtREON NOT mt00'atNG $UCM m80nwa Tich th THE CONDJCT 08 088sCiAL SV5$hE55 AND SHOULD SE

$T081D TR ANS8E#8tD AND O!$*05tp 08 9v 1AC= REC 6*it%7 sh A MANhts WaiCm WiLL A$5 Val TaAT ITS C0httNTS ARE hoi WADE avai6AE 1 to Wh Agimoni2ED *Em$0h5 COPY.

DOCKIT NO CO J780L.

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REC'D W/*. fB DTD.

PROPRIETARY INFORMATiON w ie sec Approved . At ust 6 29, 1984 44

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, q PUBLICATION OF TECHNICAL REPORTS PREPARED BY NEC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annandiv 3907.. ,

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pan V

. k.

EXHIBIT 20 ,

SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING 4 UNCLASSIFIED SAFEGUARDS INFORMATION SAFEOUARDS INFORMATION NUREG'CR XXXX (SG)

l Title '

Subtitle and Type of Report Author (s). Editorial Contracto, e,.o... vo, U.6. fvuclear Regulatory Commission

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45 Approved: August 29, 1984

i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS. INCLUDING REPORTS PREPARED .

Part V UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS a

EXHIBIT 21 '

SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEOUARDS INFORMATION NUREG'CR XXXX (SGI Title S Avtie and Type of Repo t E:YL?%" '*:.':

t.".A 2% ......

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SAFEGUARDS INFORM ATION Approved : August 29, 1984 46

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PUBLICATION OF. TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED WRC. Anoendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa.~. Y EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRAC. 3R REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION

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l 47 Approved : August 29, 1984 l

l 4

PUBLICATION OF TECHNICAL REPORTS PREPARED BY .l NRC Appendix 3202' NRC CONTRACTORS,,1NCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHISIT 23

- COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION

- ,y -

$' l s-n - @.5Y, SAFEGUARDS INFORMATION s.

L4 Y,

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' THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM 1

7-

',,'[h' rl.

UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147, ATOMIC ENERGY ACT OF 1954 APPLY, VIOLATIONS ARE SUBJECT TO Civil OR CRIMINAL PENALTIES.

I THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED PERSONS. WHEN NOT IN USE. IT MUST BE STORED IN A LOCKED SECURITY STORAGE .r s CONT AINER.

j

,g IT IS YOUR RESPONSIBILITY TO F'iOTECT THE INFORMATION CONTAINED IN THts e DOCUMENT FROM COMPROMISE, THEFT OR UNAUTHORIZED DISCLOSURE. j f

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SAFEGUARDS INFORMATION h

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART VI HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATMNS AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Progrun Offices establish, to the extent feasible, cooperative nuclear safety research programs tha. involve either or both U.S. industry and foreign governments and orga-nizations . Such involvement includes monetary contributions, information enchange, and ec-ments 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 programmatically 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 f comment for a specifi:d period of time, followed by issue as fonnal NUREG/CR t

reports , with the concurrence of the participants. Specific procedures for accomphshing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the following sections. The procedures de-tailed here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers a., guidance.

A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of mformation by a contractor shall be designated

" Draft Prehminary Reprt (or Code)," and shall include the cover sheet shown in Exhibit 24.

The following notice :s to be printed on the bottom of the cover sheet (Exhibit 24):

NOTICE 4

THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO .

l PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM 1 This report was prepared in contemplation of Commission action . It has not have received patent review and may con-tain mformation received in confidence. Therefore, the con-

[ '

tents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office.

The recipient is requested to take the necessary action to ensure the protection of this report.

49 Approved: August 29, 1984 y

n ,

1

~

1 b

. PUBLICATION'OF TECHNICAL REPORTS PREPARED BY. .

NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED j

~Part V1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS-

~

This notice has' been agreed to by the legal staffs .of both NRC and DOE and is not te' be added' to or changed. Any problem in this regard shall be brought to the attention of' the NRC project manager, who will consult with the NRC legal staff.

The " Draft Preliminary Report (or.' Code)" shall be' submitted by first - ';

class or express mail by the contractor to - the NRC . project manager.

with the letter shown in Exhibit 25, in the number of copies specified by the project n2 nager (in most instances this will be fewer than 20 copies).

The contractor (DOE facility, contractor or subcontractor or other con tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors. shall not distribute copies of this draft report to DOE /TIDC. ' Draft reports may be distributed to interested DOE program offices. Subsequent issues.of the information shall also.be designated " Draft Preliminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report.

" Draft Preliminary Reports (or Codes )" shall not be identified as NUREG/CR reports' or- carry any contractor report number or NRC dis-tribution codes .

B. DISTRIBUTION BY NRC PROJECT MANAGERS The NRC project manager will distribute the' copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know.

and (3) others authorized by the program or. project manager. Trans-mittal to participants shall be by first class or express mail, including air mail to foreign participants. If premium cost mail services are to be used, a Division Director or comparable or higher authority must certify to the need on NRC Form 420, " Request for Premium Cost Mail

- Serv:ce ? Premium cost mad is:

1. Express Mail, Priority Mail (First Class weighing more than 12 ounces) 2- International E. press Mail ( Air Mail weighing more ' than 10 ounces)

(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A)

C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six months will be allowed for comments and resolution of comments . At the end of the comment , period, the NRC project manager shall, with the concurrence of the participants, authorize the contractor ,

to issue the information as a NUREG/CR report in accordance with the provisions of this Chapter.

D. REPORT IDENTIFIERS The " Draft Preliminary Reports (or Codes)" will be uniquely identified only by the Financial Identification Number (FIN) assigned by NRC and Approv: d: August 29, 1984 50

j .c )

t

_l PUBLICATION' OF TECHNICAL' REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC- Appendix 3202

, UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS- Part VI the appropriate periodic notation, . If any, included in the title (Ex-hibit 24). . They shall not. be . given standard report nomenclature until -

4 the NRC project manager authorizes publication as a NUREG/CR report.

At that time , the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4.

E. MAILING TO PROGRAM PARTICIPANTS The physical' transmission of reports from NRC to program participants shall be handled by the Document Management Branch (DMB), Division of Technical Information and Document Control- (TIDC), based on address labels of participants supplied by the project manager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.

F. SECURITY If information included in the report or code has been determined to be -

sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may not be cl.assified solely for the purpose of limiting distribution to the pariici-pants.

.(

.\

s i

51 Approved: August 29,1984 I I

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4

]

PUBLICATION OF TECHNICAL REPORTS PREPARED BY l

- NRC. Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i

EXHlBIT 24 l

SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE)

FOR COMMENT DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT FIN NO. -

Title of Program Subtitle for This Report, including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1)

Prepared by (Name of DOE Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was pre;,ared in contemplation of Comission action. It has not received patent review and may contain information received in confidence.

Therefore, the cor. tents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report.

Approvcd : August 29, 1984 52

s e

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS INCLUDING REPORTS PREPARED NRC Appendix 3202

. UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part VI

~

EXHlBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT TO: NRC Project Manager

SUBJECT:

DRAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMMENT The enclosed " Draft Preliminary Report (Code)" is being submitted for comment.

It is our understanding that the comment period shall extend six months from the date of tr4 ailing of the draf t to the participants. Upon resolution of the comments after that period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this

/

j report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202.

DOE Facility or Contractor Representative I

53 Approv 2 August 29, 1964

I ' /t L, , l

j. _ . *

. PUBLIC ATION OF.. TECHNICAL REPORTS PREPARED 'BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED .NRC Appendix 3202 1*NDER OR PURSl* ANT TO INTERAGENCY AGREEMENTS Part Y1

. EXHIBIT 26 TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients : ' Addresses on attached labels Method cf Mailing:

L_/ First Class' Postal Service to U. S. addresses C/ . Express mail to U. ~ S. addresses *

,_7/ Air mail to foreign addresses

C/ Surface mail to foreign addresses (may require up to three (3) months)'

. THIS MAILING CONTAINS NO. PROPRIETARY INFORMATION OR OTHER SENSITIVE UNCLASSIFIED INFORMATION Special Instructions :

Individual Requesting Mailing:

Project Manager or High Authority

Enclosures:

1 . Address labe;s

2. Documents to be mailed

1f premium cost mail services are to be used, a Division Director or compar-able or higher authority must certify to the need on NRC Form 420, " Request for Premium Cost Mail Service," Premium cost mail is:

1. Express Mail, Pnority Mail (First Class weighire more than 12 ounces)

2. International Express Mail ( Air Mail weighing more than 10 ounces) -

(See Chapter NRC 0255-058 and NRC Appendix 0255, Part V Annex A)

j 5t Approved: August 29, 1984 I

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ML20245G844

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