ML20210U148

Contract: Application of Methodology to Evaluate Aging & Svc Effects on Plant Performance (Sbtr Phase Ii), Awarded to Sea Consultants,Inc

ML20210U148
Person / Time
Issue date:	09/26/1986
From:	Cleveland J, Hagan T NRC OFFICE OF ADMINISTRATION (ADM), SEA CONSULTANTS, INC.
To:
Shared Package
ML20210U131	List: ML20210U128 ML20210U148
References
CON-FIN-D-1701, CON-NRC-04-86-125, CON-NRC-4-86-125 NUDOCS 8610090420
Download: ML20210U148 (118)

Text

y ..

1 N

AWARD / CONTRACT L uNDEH

'"'S CONT"^C' DeAS ns Ce R'S ^ "m^ot T' D 0"DI " b " ^ ' '

' ' ^ " ' ' ' "'"

2. L ON T H AL I (l' roc. Jns t Jden t.) No. 3, E t y ( Ci t VL DAll O 1 l 26

a. 644 QUISI180N/PUNCHASL 54LQUL51/PHOJLC1 No.

NRC-04-86-125 September 30, 1986 RES-86-125

6. 855UE Cf is V i CODEL_. _._. __._ ______. 6. ADMINIST L HL D iP ftf other Ehe't liem S J l CODE 1 U.S. Nuclear Regulatory Comission _

Division of Contracts Washington, DC 20555 L N AME AND ADOR ESS OF CONT H AL I UH #No . stirrt. rsiv. coun ts . .% recc end //f' Code 1 8.OLLIVL4Y SEA Consultants, Inc. ] FOB ORIGIN O T He d ,.v. e a ,o i 2001 Gateway Place 7 O,3COi,N,,OnpyOo.,,,A,yes, San Jose, CA 95110 Net 1o SUBMIT INVOICE S l'""

I4 enones unle'es uthes CODE F ACtt ITY CODE scese specsfned) TO THE ADDREr,S SHOV!f. IN ( l2

11. SH ep I U/M A 64 m F 0 64 l CODE _ . _ _ _ _ . . _

3 2. PA v ML N1 WIL L BL MAOL tiv i U.S. Nuclear Regulatory Comission U.S. Nuclear Regulatory Comission CODE L _ ._ _

Attn: J. Vora, Mail Stop NLOO5 Washington, DC 20555 ORM, Div. of Accounting & Finance, GOV /COM Washington, DC 20555 II AU1HO53tT T ION V F OH USING OT HE R T HAN t UL L AND GPL N COMPL f aI la, ACCOUNisNG AND APPHOPRf AllON DAT A g

[] io U S C noccii i

[-] u U S C 2sw. >

I B&R No. 601910 Amount: $240,000 15A ITE M NO FIN No. 01701 10B SUPPLIES /SE RVICFS 15C OUANTITY 100 UNIT 15E UNIT PRICE 15f AMOUNT The Cc ntractor shall perform research entitled " Application of Me thodology tc' Evaluz g te Aging and Service Effects on Plant Perfonnance" In accordance with the schedule and the Contractor's revised $81R Phase II proposai dated August 13, 1986, as further revised on September 16, 1986, which are hereby incorporated into this contract by referenc e.  !

l ESTIMATED COST: 242,460 8610090420 860926 PDR 21,821

- CONTR _

NRC-04-86-125 PDR 15G. TOTAL AMOUNT OF CONTR ACT >!s264,281

16. TABLE OF CONTENTS Ul lSEC l DE SCRIPTION lP AGE 151 El l $E C l DE JC RIPT ION lPAGL St PA RT I - THE SCHE DULE X A S AR T ll - CONT R AC T C L AUSE S SOLICITATION / CONTRACT FOHM l Xl t X U SUPPLIES OR SE PVICES AND PRICE S/ COSTS l CONTR ACT CL AUSE S l 23 2 PAa v "' - List or DOCUMENTS. EXHIBIT S AND OT HE R AT T ACH X C OC SCRIPTION/SPE CS / WORK ST ATE ME NT 2 X D Xl J l LIST Or ATT ACHMENTS I 26 PACK AGING AND MARKING "/

X E PART IV - RE PRESENTA TIONS AND INST RUCilONS INSPECTION AND ACCEPT ANCF 7 r X F I REPRE SE NTATIONS. CERTIFICATIONS AND DE tIVE Alt S OR PE RFORMANCE 7 G

l OTHE R ST ATEMENT*: OF OF FE RORS X

CONTR ACT ADMINIST R ATION DAT A O t INSTHS . CONDS . AND NOTICt S TO OF F F ROHS X_H SPFCIAL CONTRACT REOdlRI Mf NTS }d M l

i f VALUATION F ACTORS FOR AWARD l CONTRACTING OfflCER Wil L COMPL ETE ITEM 17 OR 18 AS APPLICABL E I I.

CON T RACTOR'S NEGO TI A T E D AGRE EMEN T (Contiistfor es re 18. AW AR D (Contractor as not requscrd in sagn thss documees t J Yout

', C ont ettf oreuered to enen this document and return enpoes to nasuont n/ fore i of fer on Soutntateon Number _ _ _ _ _ _ . _ _

foeth of othetweseagetes to f uen.sh and de'ives aH etems or perf orm all the seeweces set . .._ .

adentified 4 Dove and on any Contenuation sheets tot the nCludsnq the additions or Chances made Dy you *n.Ch additsofit of Changes consentation stated heteen. T he reqhts an'$ ODh4ations of the Darf ees to this a'e set forth en tull aDove, es hef eDy actected ag to the stems assled above and Contract shah be suDiett to and goveened tiv the f oltowing documentti (a) this .in any contsnuation Sheels ines ansed Consummates the contea(t wh Ch con-twird/ Cont'act. (D) the sohC station, e' any, and (C) suc h prov+ons, repeenenta- sists of it e toHo*eng documents. ta) the Goweenment's solecitation and vous leons. Cettef eCatsons, and sDeCeteCat.ons. ag are attached or ent o posated Ds of ter, and (D) this award / contract. ene f ue the' Contrac tual docurient es ne(en gat y .

estDente hereen. IA ttachmen ts are les ted herran i 19A ty AME AND T IT LL Of StGNL H (T y pr eer pr#nts ~

20A. N AME OF CON T H AC TING OF F ICL H James W. Cleveland, President n F avo.4 el Of ~ r HAC H 3 9C. D Air s.GNt O , . uNil O st A A 20C oAit smNLU

,, ..t... ., p .h.r.i,a.w 9/zuf av -

ML.-.=-,;,,,.aa 9is486 JN,,_,,,,m, < -

- ..-.- - / --  ;

5 NRC-04-86-125 Page 2 Section 8 - Supplies or Services and Prices / Costs B.1 Brief Description of Work Research entitled " Phase II - Application of Nethodology to Evaluate Aging and Service Effects on Plant Performance."

8.2 (Offeror should provide Cost and Fee information)

A. Tota l Estima ted Cost. . . . . . . . . . . . . . . . . . . . . . . . $ 242,460.00 Fixed Fee...................................$ 21,821.00 Total Estimated Cost Plus Fixed Fee.........$ 264,281.00 8.3 Remittance Address If item 15c. of the Standard Form 33 has been checked, the offeror shall enter the remittance address below.

Name: _

Address:

Section C - Description / Specifications / Work Statement C.1 Statement of Work C.1.1 Introduction The NRC program plan (NUREG-1144) fo r Nuclea r Plant Aging Research (NPAR) describes the following specific technical objectives of research:

A. To identify and characterize aging and service wear effects which, if unchecked, could cause degradation of structures, components, and systems and thereby impair plant safety.

8. To identify methods of inspection, surveillance and monitoring, or of evaluating residual life of structures, components, and systems which will assure ti'mely detection of significant aging effects

, prior to loss of safety function.

C. To evaluate the effectiveness of storage, maintenance, repair and replacement practices in mitigating the rate and extent of degradation caused by aging and service wear.

NRC-04-86-125 Page 3 In the program plan it is also recognized that to evaluate the presence and the consequences of aged components and interfaces in vital LWR systems on plant safety, a systems approach and detail assessments at component level must be pursued. In certain scenarios investigations of functional interactions between multiple systems will be necessary for safety equipment function. In another situation, within a given system an interaction approach will be necessary to evaluate the effect that an aged equipment may have on r.ystems performance during and after a postulated event.

The Phase I program, " Method to Analyze and Understand Aging Effects" demonstra ted the application of the N-squa re diagram modelling of the systems interactions to identify components and parts within components with aging significance. The method involves proper characterization of the functional and spatial systems interactions and information pertaining, o The relationship (and effect) of parts to components performance.

o The relationship (and effect) of systems to plant perforTnance.

o The effect of aging and service stresses at the part and component level.

o Critical specification parameters that must be maintained and are affected by age and/or services stress, o Presentation of simultaneously occurring interactions for evaluation.

C.1.2 Scope of Work The objectives of this phase of the resea rch elements are to apply systems interaction model procedures, developed in Phase I, to selected safety systems and support systems; investigate the systems ability to mitigate effects of aging leading to common mode failures; identify components and parts which have propensity for aging degradation; generate recommendations for maintenance of the sys ter.1s to alleviate aging concerns.

A. Project T_ asks For the following PWR and BWR fluid-mechanical and electrical safety systems and support systems apply the systems interaction model procedures (developed in Phase I) to achieve the aforementioned

, objectives .

NRC-04-86-125 Page 4 (1) PWR Safety Systems and Support Systems (a) High Pressure Emergency Core Cooling System (b) Class-1E Electrical Power Distribution System (c) Service Water System (d) Auxiliary Feed Water System (2) BWR Safety Systems (a) Low Pressure Emergency Core Cooling System (b) Reactor Protection System Any software developed for use by NRC shall be developed in accordance with Attachment 4 to this contract entitled " Development, Submittal, Distribution and Documentation Requirements for Machine-Readable Contract Deliverables."

8. Detailed Procedural Methodology for Evaluation of Aging Effects and Systems Interaction The following procedure is a delineation of a stepwise process for comprehensive systems interaction analysis as it shall be applied in evaluation of aging effects.

For each of the aforementioned safety systems and support systems, the Contractor shall:

(1) Identify System Design Specification and Licensing Requirements Required to Achieve a Safety-Related Plant Function.

Review the designs of the systems to identify systems interactions, such as bypasses and branch piping systems, that could degrade the system function. System design functional requirements are initially established in system specifications or design description documentation. The design bases for these systems are embodied in regulatory and vendor /AE design requiremen' documentation. These documents will be reviewed for specific design requirements.

(2) Define Safety Function.

Define system or subsystem safety function from the FSAR or design documentation. In some cases, the safety function of a system or subsystem is different than the normal operating mode.

Therefore, the safety function definition shall be to investigate interfaces , instrumentation and controls, and support systems that can affect the safety objective.

i l

l i

NRC-04-86-125 Page 5 (3) Review System Interface (Interaction).

System interfaces that can affect the system or subsystems design function shall be identified for investigation. These interfaces include inter- and/or intra-system interlocks ,

electrical separation (R.G. 1.75/IEEE 384), operating bypasses (R.G.1.47), and interfaces with other piping systems.

(4)ReviewSupportingSystem.

Identification and review of support system (s) required operable. Safety systems that chan function require support system (s) to gebe state to perfom operable. a safety Supporting systems are circulating fluids (e.g., water or oil), HVAC, pneumatic, electrical, etc. Each safety system that actuates a motor operator, SWGR, or trip coil requires the availability of supporting systems to operate within its design specification tn assure the operability of the safety system.

(5) Identifying Safety System Equipment Required Operable.

Identify all equipment of the safety and support system's particular operating mode that must operate or maintain state to achieve the design objective. This equipment constitutes the group of components that are attached to the system piping loops or instrument channels.

(6) Prepare system-Level N-Square Diagrams.

Develop system-level N-square diagrams of safety-related equipment required to achieve a safety-related plant function.

(7) Prepare LUWAS-Level N-Square Diagrams.

Develop LUWAS-level N-Squa re diagrams of safety-rela ted components to evaluate the effect of aging at the component level.

(8) Determine Spatial Conditions.

Delineate spatial coupling among components and/or systems for environmental effects analysis by plant function.

(9) For each diagonal element of the N-square diagram of a system identify components most susceptible to aging, and if not maintained properly, may result in systems unavailability, thus redue.ing " defense-in-depth." .

4 L 4

NRC-04-86-125 Page 6 (10) For all nodes (feed forward and feed backward) located in the matrix off-diagonal location representing functional interactions, tabulate parameters (functional indicators) considered significant to assess aging degradation of interface involving the elements associated with that node.

(11) The results of the completed indepth engineering studies at component level (pumps - ORNL, valves -ORNL, circuit-breakers -

BNL, RELAYS - BNL, motors - BNL) shall be utilized in tabulating independent stress effects (refer to the table prepared for Pressure Transmitter in Phase I study) for major components identified in the N-square diagram. The tabular format shall have the identification of the component, lowest unit with aging significance (LUWAS), predominant stressor (s); effects of LUWAS and effects on component perfomance. In this regard, within 30 working days after the award of the contract a clear understanding shall be reached with the NRC Program Manager as to what infomation and what fomat will be included in the final report.,

(12) Establish Comp'onent Response Due to Stressors, Including Those Attributable to Aging and Service Wear. (For the working definition of aging refer to NUREG-1144.)

Evaluate the probable component response to a change in LUWAS behavior due to environmental or normal aging.

(13) Establish System Response Due to Component Change.

Evaluate the probable system response to a change in component behavior due to environmental or normal aging.

(14) Analyze Systems Interaction.

Evaluate systems interaction effects on plant function due to normal and environmental aging or other potential adverse interactions for the defined plant function.

C. Orcanization of Information The results of the interactive modeling shall be structured for input to NSQ (see Phase I Report, Subsection 1.1 and Section 3.0).

The software, NSQ, was originally developed to manage the information and perform calculations for quantification of aging effects. NSQ shall be revised to reflect a hierarchical fomat for data management similar to the " rules-based artificial intelligence o

structure" for expert systems. An important expansion of NSQ shall be the query and menu development, once the total quantity of spatial and functional information is generated for each component within the selected safety systems and support systems. For example, at the part and component level, the input and output signals or actions will be specified and associated with internal

n .-

a s NRC-04-86-125 Page 7 and external stresses. The absence of infomation shall represent areas for future or further research efforts. However, the program shall be truly structural to allow for " growth" in order to eventually reflect the actual plant operation.

D. Utilization of Research Results Various NPAR contractors are currently involved in in-depth engineering studies for safety systems, support systems and components. The research results emanating from this Phase II study shall identify components and interfaces for which detailed engineering / aging studies should be pursued by other NPAR contractors. It is also visualized that in Phase III of this overall program effort, the results of the NRC-sponsored activities (Phases I and II) will be utilized by plant operators for maintaining quality of safety systems and support systems and assure their operational readiness - as plants advance in age.

E. Presentation and Publication of Technical Results The NRC encourages the dissemination of research results. However, all technical papers and journal articles (which may discuss research activities of NRC-sponsored nuclear plant aging research program) shall be submitted to the NRC Project Officer, prior to presentation and/or submission for publications, for review.

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

Section E - Inspection and Acceptarce E.1 Place of Inspection and Acceptance Inspection and acceptance of the deliverable items to be furnished hereunder shall be made at the destination.

Section F - Deliveries and Performance F.1 Reports, Documentation and Other Deliverable End Items The reports to be genera ted by this contract shall not contain any proprietary (including the unit specific NPRDS data), confidential or copyrighted material without written pennission from the institutions

., and organizations to which the infonnation may belong.

In addition to the deliverables that are to be provided 'in accordance with the contractor's proposal, the following reports shall be provided: , ,

b 6 NRC-04-86-125 Page 8 c

F.1.1 _ Monthly Letter Status Report The contractor shall submit a monthly letter status report in one copy to the Project Officer and one copy to the Contracting Officer, by the last working day of each month.

The first monthly letter report shall include a detailed spending plan.

The plan shall project estimated costs for a period of time (month, quarter) and the percentage of work to be completed for the same period.

Actual cost expenditures and data on completed work shall then be reported in subsequent monthly letter status reports.

The monthly letter status reports shall:

A. Sumarize the progress and work completed during the period and compare actual progress vs. the schedule.

B. List contact with industry during the period.

C. Describe significant problems encountered or anticipated, plans for their resolution, and the impact on the oterall program.

D. Discuss plans for the next reporting period.

E. Summarize the amount of funds expended during the period and cumulative to date and compare actual vs. planned rate of expenditure.

F.1.2 Major Milestone Reports The Contractor shall submit major milestone report (s) as discussed in the detailed program plan for nuclear plant aging research (NUREG-1144) or as requested by the NRC Project Officer.

F.1.3 Final Report Within thirty (30) working days after award of contract, a clear understanding shall be reached between the NRC Project Officer and the Contractor as to what information and what format shall be included in the Final Report. The Final Report shall be in accordance with NRC Manual Chapter 3202 (Attachment 2).

The Contractor shall submit to the NRC Project Officer five (5) copies of the Draft Final Report for review at least three (3) months in advance of the completion date of this contract.

. The Final Report shall contain a discussion of (1) safety significance of the research findings; and (ii) the utilization of research results in the regulatory process. A separate section for each system under study shall be provided in the Final Report.

One (1) camera-ready and five (5) copies of the Final Report shall be supplied to the NRC Project Officer and one (1) copy to the Contracting Officer.

~

J $

NRC-04-86-125 Page 9 In addition, the Contractor shall provide, in machine-readable form, all programs and data used or developed by the Contractor to produce the results documented in the Final Report.

shall follow the requirements given in Attachment No. 4.These machine-read F.2 Place of Delivery The items to be furnished hereunder shall be transportation charges paid by the Contractor, to: delive' red, with all U.S. Nuclear Regulatory Commission Attention: J. Vora Office of Nuclear Regulatory Research Division of Engineering Safety Mail Stop: NL-005 Washington, D.C. 20555 F.3 Duration of Contract Period This contract shall become effective on either the date of award o effective date as otherwise specified, and shall continue to completion thereof, estimated to occur within eighteen (18) months after said contract is effective. The estimated completion date is March 30, 1988.

Section G - Contract Administration Data G.1 Consideration Estimated Cost and Obligation 1.

The presently

$264,281.00 estimated cost of the work under this contract is 2.

The amount presently this contract is $240,000.00.obligated by the Government with respect to G.2 Lverhead Rates The contractor shall be reimbursed for allowable indirect costs

, hereunder at the rate of 75.7% of direct labor. This 75.7% overhead t

rate is hereby established as a ceiling rate which is subject to downward adjustment only upon completion of any DCAA audit.

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

., Attachment No. 3.

G.4 Technical Direction

J #

NR'C-04 ."-125 Page 10 A. Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer named in Section G.

of this contract.

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

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

2. Providing assistance to the Contractor in the preparation of drawings , specifications or technical portions of the work description.

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

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

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

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

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

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

C.

ALL TECHNICAL DIRECTIONS SHALL BE ISSUED IN WRITING BY THE PROJECT OFFICER OR SHALL BE CONFIPMED BY SUCH PERSON IN WRITING WITHIN TEN (10) WORKING DAYS AFTER VERBAL ISSUANCE. A copy of said written direction shall be submitted to the Contracting Officer.

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

1 6 NRC-04-86-125 Page 11 If, in the opinion of the Contractor, any instruction or direction issued by the Project Officer is within one of the categories as defined in B(1) through (4) above, the Contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction dnd shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the Contractor, the Contracting Officer shall issue an appropriate contract modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not r.onstitute a change under the Changes Clause.

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

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

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

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

., terms, conditions, or amounts cited in the contract. ,

S 4 NRC-04-86-125 Page 12 For guidance from the Project Officer to the Contractor to be valid, k it must: (1) be consistent with the description of work set forth in the contract; (2) not constitute new assignment of work or change to the expressed terms, conditions or specifications incorporated into this contract; (3) not constitute a basis for an extension to the period of performance or contract delivery schedule; and, as stated above, (4) not constitute a basis for any increase in the contract cost.

B. Name and Mail Code: Jitendra Vora, NL-005 Office Address: Office of Nuclear Regulatory Research Washington, D.C. 20555 Telephone Number: (301)443-7714 G.6 Travel Reimbursement Without a Ceiling on Cost

a. The contractor will be reimbursed for reasonable domestic travel costs incurred directly and specifically in the performance of this contract. The cost limitations for travel costs are determined by the Federal Travel Regulations that are in effect on the date of the trip. These Regulations specify the daily maximum per diem rates for specific localities within the Contenninous United States (CONUS), the standard CONUS ra te , the allowance for meals and incidental expenses (M&IE), the cost of travel by privately owned automobile, and the items which require receipts. The contractor can obtain the Regulations from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402

b. When the Government changes the Federal Travel Regulations, it is the responsibility of the Contractor to notify the Contracting Officer in accordance with the Limitation of Cost clause of this contract if the Contractor will be unable to make all of the approved trips and remain within the cost and fee limitations of this contract.

c. Foreign travel must be approved in advance by the Commission on NRC Fonn 445 and comply with the requirements of FAR clause 52.247 Preference for U.S. Air Flag Air Carriers (APR 1984). The rates for foreign travel are established by the U.S. Department of State and are listed in a publication entitled " Maximum Travel Per Diem Allowances for Foreign Areas." Copies of this publication may be obtained from U.S. Government Printing Office, Washington, D.C.

20402.

G.7 Paynent Due Date

.' (a) Payments under this contract will be due 30 calendar days after the later of:

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

l

~ _

i .

NRC-04-86-125 Page 13 U.S. Nuclear Regulatory Commission Division of Accounting and Finance Office of Resource Management ATTN: GOV /COM Accounts Section Washington, D.C. 20555 or (2) The date the final deliverable product / service is accepted by the Government.

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

(c) If the final product / service is rejected for failure to conform to the technical requirements of the contract, the provisions in paragraph (b) of this clause will apply to the new delivery of the final product / service.

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

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

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

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

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

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

(3) Description price and quantity of property and services actually delivered or rendered.

(4) Shipping and payment terms.

i . .

l l

NRC-04-86-125 Page 14 (5) Name (where practicable), title, phone number, and complete mailing  :

address of responsible official to whom payment is to be sent.

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

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

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

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

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

(c) For purposes of this clause, an expiration invoice is defined as a, claim submitted for costs incurred for performance through the expiration date of a Cost Type contract.

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

James W. Cleveland Irwin B. Layne The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs (b) and (c) hereof.

4 0 NRC-04-86-125 Page 15 (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 or his authorized representative, promptly replace such personnel with personnel of at least substantially equal ability and qualifications.

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

(d) If the Contracting Officer determines that 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 that the resultant reduction of productive effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate, or, at the discretion of the Contracting Officer if he finds the Contractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.

H.2 Consultant or Other Compa rable Employment Services of Contractor Employees (OMB Clearance Number 3150-0112)

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

i

• NRC-04-86-125 Page 16 H.3 Safe _ty, Health, and Fire Protection The Contractor shall take all reasonable precautions in the performance of the work under this contract to protect the health and safety of employees and of members of the public and to minimize danger from all hazards to life and property and shall comply with all health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commission and the Department of Labor. In the event that the Contractor fails to comply with said regulations or requirements, the Contracting Officer may, without prejudice to any other legal or contractual rights of the Consnission, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the discretion of the Contracting Officer. The Contractor shall make no clain for an extension of time or for compensation or damages by reason of or in connection with such work stoppage.

H.4 Dissemination of Contract Information (0M8 Clearance Number 3150-0112)

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

Failure to comply with this clause shall be grounds for termination of this contrect.

H.S Private Use of Contract Information and Data Except as otherwise specifically authorized by Section H., publication of contract work of this contract, or as otherwise approved by the Contracting Officer, information and other data developed or acquired by or furnished the Contractor in the performance of this centract, shall be used only in connection with the work under this contract.

H.6 Drawings, Desions, and Specifications All drawings, sketches, designs, design data, specifications, notebooks, technical and scientific data, and all photographs, negatives, reports, findings, recommendations, data and memoranda of every description relating thereto, as well as all copies of the foregoing relating tc the work or any pa rt the re to , shall be subject to inspection by the Commission at all reasonable times (for which inspection the proper facilities shall be afforded the Commission by the Contractor and its l

subcontractors), shall be the property of the Government and may be used j by the Government for any purpose whatsoever without any claim on the

• part of the Contractor and its subcontractors and vendors for additional compensation and shall, subject to the right of the Contractor to retain a copy of said material for its own use, be delivered to the Government, or otherwise disposed of by the Contractor either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or

g o NRC-04-86-125 Page 17 temination of this contract. The Contractor's right of retention and use shall be subject to the security, patent, and use of information provisions, if any, of this contract.

H.7 Proprietary Data and Confidential Information In connection with the performance of the work under this contract, the Contractor may be furnished, or may develop or acquire, proprietary data (trade secrets) or confidential or privileged technical, business, or financial information, including Commission plans, policies, reports, financial plans, internal data protected by the Privacy Act of 1974 (P.L.93-579), or other information which has not been released to the public or has been detemined by the Commission to be otherwise exempt from disclosure to the public. Contractor agrees to hold such infomation in confidence and not to directly or indirectly duplicate, disseminate, or disclose such information in whole or in part to any other person or organization except as may be necessary to perfom the work under this contract. Contractor agrees to return such information to the Commission or otherwise dispose of it either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or termination of this contract. Failure to comply with this clause shall be grounds for temination of this contract.

H.8

_ Contractor Oroanizational Conflicts of Interest (0MB Clearance Number 3150-0112)

(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 perfonnance or participation by the Contractor as defined in 41 CFR 920-1.5402(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 a

' conflict of interest with respect to the work being performed under this contract. The Contractor shall ensure that all employees who a re  ;

employed full time under this contract and employees designated as key '

personnel, if any, under this contract abide by the provision of this 1

' 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 suct contractual arrangement.

l l

l

s a NRC-04-86-125 Page 18 (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 o anizational conflicts of interest, as defined in 41 CFR 20-1.5402(a .

(2) The Contractor agrees that if after awa rd it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer. This statement shall include a description of the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract for convenience if it deems such termination to be in the best interests of the Government.

(e) Access to and use of information.

(1) If the Contractor in the performance of this contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the Contractor agrees not to:

(1) Use such information for any private purpose until the information has been released to the public; (ii) compete for work for the 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 proposal to the Government based on such information until one year after the release of such information to the public, or (iv) release the information without prior written approval by the Contracting Officer unless such information has previously been released to the public by the NRC.

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

l (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.

NRC-04-86-125 Page 19 (f) Subcontracts. Except as provided in 41 CFR 20-1.5402(h), the Contractor shall include this clause, including this pa ragraph, 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 representations as necessarily imply bad faith, the Government may terminate the , contract for defaul t, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies as may be pemitted 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

$20-1.5411.

H.9 Method of Payment (a) Payment under this contract will be made by wire transfer through the Treasury Financial Communications System for each individual payment in excess of $25,000 and by Treasury check for each individual payment of $25,000 or less.

(b) Within seven days after the effective date of the contract, the Contractor shall forward the following information in writing to the Contracting Officer to facilitate wire transfer of contract payments. In the event that the Contractor's financial institution has access to the Federal Reserve Comunications System, Contractor shall complete all items except items 7 - 9. In the event the Contractor's financial institution does not have access to the Federal Reserve Communications System, Contractor shall complete all items except item 4.

1. Name and address of organization

2. Contact person and telephone number

3. Name and address of financial institution

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

5. Telegraphic abbreviation of Contractor's financial institution

6. Account number at Contractor's financial institution if it receives electronic funds transfer messages through the Federal Reserve Communications System i

l

-NRC-04-86-125 Page 20 7 Name and address of the correspondent financial institution if the Contractor's financial institution does not receive electronic funds transfer messages through the Federal Reserve Ccus:uaications System

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

9. Telegraphic abbreviation of correspondent financial institution

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

H.10 Government Furnished Property Purchase of Personal Computer The Contractor shall obtain the NRC Contracting Officer's written approval prior to purchase of the proposed personal computer of which the title shall be vested to the Government. To the extent practicable, the Contractor shall acquire a PC for use under this contract which conforms to the NRC's existing environment as described below:

Specifications for NRC Standard PC Hardware IBM PC or PC/XT with 2-360kb disk drives  ;

IBM PC/XT with I-360kb & 1-20mb disk drive IBM PC/XT with 1-360kb & 1-10mb disk drive IBM PC Portable with 2-360kb disk drives Compaq Portable with 2-360kb disk drives Compaq Portable with 1-360kb & 1-10mb disk drive Options 384kb Memory Expansion Math Co-Processor Monochrome Display & Printer Adapter Color / Graphics Monitor Adapter Printer Adapter Printer Cable Asynchronous Communications Adapter & Cable

, Bisynchronous Communications Adapter & Cable IBM 5253 Emulation Kit Hayes SmartModem Board

3 .

NRC-04-86-125 Page 21 Peripherals IBM Monochrome Display Amdek Graphics Display IBM Color Graphics Display Epson 80 col Dot-Matrix Printer (160 cps) .

Epson 132 col Dot-Matrix Printer (160 cps)

Hewlett-Packard Color Pen Plotter Modem H.ll Government Rights in Computer Software (a) The Government, for itself and such others as it deems appropriate, will have unlimited rights in computer software s developed or generated (i.e., designed and developed) under pecifically this contract. Unlimited rights under this contract are rights to use, duplicate, or disclose software data, in whole or in part, in any manner and for any purpose whatsoever.

(b) For software not specifically developed or generated under this cont ract, the contractor may restrict the Government's rights therein. The fact that the total complement of software involved may incorporate some elements of software to which the Government has unlimited rights shall not affect the contractor's authority to impose restrictions on the Government's rights. As a minimum, however, the Government will have the right to:

(1) Have unlimited use of such software on computer system (s) for which or with which it is acquired.

(2) Use such software with a backup system if.the system for which or with which it was ac is inoperative because of a malfunction, an emergency,change quired(s) in engineering performance, or change (s) in computer features or models.

(3) Use such software with the computer at any Government ins tallation to which the computer may be transferred by the Government.

(4) Copy computer software for safekeeping (archives) or backup purposes.

(5) Modify such software or combine it with other programs or material. All modifications by the Government will be treated as stated in (a) above. However, any such modification shall not change or limit the contractor's rights with respect to such

' sof twa re in its original, modified or combined form. If software defects result from program portions which have been added or modified by the Government, then the Government, not the vendor, is responsible for for any resulting adverse effects. However, if vendor provided portions are defective,

o s NRC-04-86-125 Page 22 then the vendor is responsible for providing the software support and/or operating software malfunction credits as specified elsewhere in the contract.

(6) Retain unlimited rights to the part that it owns.

(c) Nothing contained herein shall be construed to restrict or limit any right which the Government possesses or may acquire from other sources in the above software or software data or its use.

j I

o =

NRC-04-86-125 Page 23 PART II - CONTRACT CLAUSES Section I - Contract Clauses ~

52.233-3 PROTEST AFTER AWARD (JUN 1985)--Alternate I (JUN 1985)

(a) Upon receipt of a notice of protest (as defined in 33.101 of the FAR) the Contracting Officer may, by written order to the Contractor, direct the Contractor to stop performance of the work called for by this contract. The order shall be specifically identified as a stop-work order issued under this clause. Upon receipt of the order, the Contractor shall immediately comply with its terms and take all reasonable steps to minimize the incurrence of costs allocable to the work covered by the order during the period of work stoppage.

Upon receipt of the final decision in the protest, the Contracting Officer shall ei th e r--

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

(b) If a stop-work order issued under this clause is canceled either before or after a final decision in the protest, the Contractor shall resume work. The Contracting Officer shall make an equitable adjustment in the delivery schedule, the estimated cost, the fee, or a combination thereof, and in any other terms of the contract that may be affected, and the contract shall be modified, in writing, accordingly, if--

(1) The stop-work order results in an increase in the time required for, or in the Contractor's cost properly allocable to, the performance of any part of this contract; and (2) The Contractor requests an adjustment within 30 days af ter the end of the period of work stoppage; provided, that if the Contracting Officer decides the facts justify the action, the Contracting Officer may receive and act upon the request at any time before final payment under this contract.

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

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

(e) The Government's rights to terminate this contract at any time are not affected by action taken under this clause.

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

This contract incorporates the following clauses by reference, with the same

, force and effect as if they were given in full text. Upon request, the .

Contracting Officer will make their full text available.

NRC-04-86-125 Page 24 I.FEDERALACQUISITIONREGULATION(48CFRCHAPTER1) CLAUSES Section E 52.246-5 INSPECTION OF SERVICES--COST-REIMBURSEMENT. (APR 1984)

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

Section 1 52.202-1 DEFINITIONS. (APR 1984) 52.203-1 0FFICIALS NOT TO BENEFIT. (APR1984)

' 52.203-3 GRATUITIES. (APR 1984) 52.203-5 C0VENANT AGAINST CONTINGENT FEES. (APR 1934) 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL.

52.215-2 (APR1984)

AUDIT--NEGOTIATION. (APR 1984) 52.215-22 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA.(APR 1984) 52.215-24 SUBCONTRACTOR COST OR PRICING DATA. (APR 1985) 52.215-31 WAIVER OF FACILITIES CAPITAL COST OF MONEY.

52.215-33 (APR 1984)

ORDER OF PRECEDENCE. (JAN 1986) 52.216-7 ALLOWABLE COST AND PAYMENT. (APR 1984) 52.216-8 FIXED FEE. (APR1984) 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS. (JUN 1985) 52.219-13 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES. (APR 1984) 52.220-3 UTILIZATION OF LABOR SURPLUS AREA CONCERNS. (A.PR 1984) 52.222-1 NOTICE TO THE GOVERNMENT OF LACOR DISPUTES. (APR 1984) 52.222-3 CONVICT LABOR. (APR 1984) 52.222-26 EQUAL OPPORTUNITY. (APR 1984) 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS (APR 1984) 52.222-36 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS (APR 1984) 52.223-2 CLEAN AIR AND WATER. (APR 1984) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT INFRINGEMENT. (APR 1984) 52.227-11 PATENT RIGHTS--RETENTION BY THE CONTRACTOR (SHORT FORM).

(APR 1984) 52.228-7 INSURANCE LIABILITY TO THIRD PERSONS. (APR 1984) 52.232-17 INTEREST. (APR 1984) 52.232-20 LIMITATION OF COST. (APR1984) 52.232-22 LIMITATION OF FUNDS. (APR 1984) 52.232-23 ASSIGNMENT OF CLAIMS. (JAN 1986) 52.233-1 DISPUTES. (APR 1984)

. 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS. (APR 1984) 52.243-2 CHANGES--COST-REIMBURSEMENT. (APR 1984)--Alternate I. (APR 1984) 4

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

, -- - . _ , . . - -,.,,--,....c. - , - ,

NRC-04-86-125 Page 25 52.244-2 SUBCONTRACTS (C0ST-REIMBURSEMENT AND LETTER CONTRACTS)

(JUL 1985) 52.244-5 COMPETITION IN SUBCONTRACTING. (APR1984) 52.245-5 GOVERNMENT PROPERTY (C0ST-REIMBURSEMENT, TIME-AND-MATERIAL, OR LABOR-HOUR CONTRACTS). (JAN 1986)--Alternate I.

(JUL 1985) 52.246-25 LIMITATION OF LIABILITY--SERVICES.

52.249-6 (APR 1984)

TERMINATION (C0ST-REIMBURSEMENT). (MAY 1986) 52.249-14 EXCUSABLE DELAYS. (APR1984)

I

~

- . . _.,--________m__.- _ - _ . _ . _ , , , _ _ _ , _ _ , - . _ . . . . . . _ _ . _ , _ _ _ , ___.m_

NRC-04-86-125 Page 26 PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS Section J ' List of Attachments Attachment Number Title 1

NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) 2 NRC Manual Chapter 3202 3 Billing Instructions 4

Development, Submittal, Distribution and Documentation Requirements for Machine-Readable Contract Deliverables i-t

o .

Attachment No. 1

. PART 20-1 -- GENERAL Subpart 20-1.54--Contractor' Organizational Conflicts of Interest Sec. '

' Scope and policy.

20-1.5401 20-1.5402 Definitions.

20-1.5403 Criteria for recognizing contractor organizational ron'flicts of interest. .

20-1.5404 Representation.

20-1.5405 Contract clauses.

20-1.5405-1 General contract clause.

20-1.5405-2 Special contract provisions.

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

. 20-1.5407 Conflicts identified after award.

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

1 20-1.5411 Waiver. -

20-1.5412 Remedies.

t l AUTHORITY: Sec. 8, Pub. L.95-601, adding Sec. 170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 520-1.5401 Scope and Policy (a) It is the policy of the U.S. Nuclear Regulatory Consnission (NRC) to avoid, eliminate or neutralize contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with

- organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.

(b) Contractor conflict of interest determinations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest. It is not possible to prescribe in advance a specific method or set of criteria which would serve to

identify and resolve all of the contractor conflict of interest situations 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?

l (c) The conflict of interest rule contained in this subpart applies l

to contractors and offerors only. Individuals or firms who have other ,

relat'ionships with NRC (e.g., parties to a licensing proceeding) are not-covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC l - - - - - - - - - - - - - - . - - - - - -

. s 7590-01 i .

agreements with other government agencies, international o' rganizations, 3

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

520 ,1.5402 Definitions

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

planned interests related to the work to be performed under an NRC i 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.

I (c) Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy.

(d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the formulation or administration of. its programs, projects, or policies which normally

. require the contractor to be given access to information which has not been made available to the public or proprietary information. Such

, services typically include assistance in the preparation of program plans; and preparation of preliminary designs, specifications, or statements of work. -

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

(f) " Contractor" means any person, finn, unincorporated association, joint venture, co-sponstor, partnership, corporation, affiliates thereof, ,

or their successors in interest, including their chief executives, l directors, key personnel (identified in the contract), proposed consultants

{ or subcontractors, which is a party to a contract with the NRC.

l' (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 i supplies and subccre.cacts in amounts of $10,000 or less.

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

l 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. -

l .

2 i

7590-01 (j) " Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The term " potential conflict

of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract performance.

520-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in detemining whether actual or potential organizational conflicts of interest exist: (1)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 detemination 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 performed. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the

NRC's decisions on regulatory activities, future procurements, and research programs.

(b) Situations or relationships which may give rise to organizational conflicts of interest. (1) The offeror or contractor shall disclose 4 infomation concerning relationships which may give rise to organizational conflicts of interest under the following circumstances:

(1) Where the offeror or contractor provides advice and recommendations

to the NRC in a technical area in which it is also providing consulting assistance in the same arec to any organization regulated by the NRC.

(ii) Where the offeror or contractor provides advice to the NRC on

! the same or similar matter in which it is also providing assistance to

! any organization regulated by the NRC.

i (iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offeror or contractor has been substantially involved in their development or marketing.

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

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

i

__m- _.. . _,_ . . _ _ - _ . , - _ _ _ _ _ __ ___.__.c-___,,._____. _ . , _ , _ , , . _ _ . . _ _ . _ _ . , _ _ - . , _ , _ _ _ _ . . . , _ _ _ - _

o .

t

, 7590-01 (2) The contracting officer may request specific infomation 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 i:ompetitive procurements of products or services covered by such specifications.

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

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

(iv,)Wheretheofferororcontractorisgrantedaccesstoproprietary 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 reactor component as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp.

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

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

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

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

j  !

1 i

,-. . , , , . . , - _ - _ , ~ _,,,_-,,m...,~ _---,,mr~_-,. _ ,- . ,

7590-01 l Guidance. An NRC contract normally could be awarded to the ABC-Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.

(3) Example. As a result of operating problems in a certain type

of comercial nuclear facility, it is imperative that NRC secure specific .

I 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.

i

! Guidance. This situation would place the manufacturer in a role in

'which its judgment could be biased in relationship to its work for NRC.

Since the nature of the work required is vitally important in terms of i

NRC's responsibilities and no reasonable alternative exists, a waiver of 4 the policy may be warranted. Any such waiver shall be fully documented j and coordinated in accordance with the waiver provisions of this policy ,

with particular attention to the establishment of protective mechanisms  :

i to guard against bias.

i  :

i (4) Example. The ABC Co. submits a proposal for a new system for j evaluating a specific reactor component's performance for the purpose of developing standards that are important to the NRC program. The ABC Co.

has advised NRC that it intends to sell the new system to industry once

! its practicability has been demonstrated. Other companies in this i business are using older systems for evaluation of the specific reactor i

component.

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

the contract stipulates that no information produced under the contract

< will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others so as to preclude an

unfair competitive advantage that might otherwise accrue. When NRC furnishes information to the contractor for the performance of contract

! work, it shall not be used in the contractor's private activities unless

such information is generally available to others. Further, the contract will stipulate that the contractor will inform the NRC contracting -

officer of all situations in which the information developed under the i

contract is proposed to be used.

i 1

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

$20-1.5403(b)(1)(1), ABC Corp. informs the NRC that it is presently doiag 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 nomally 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 $ 20-i' 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 confligts arising from the perfomance 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,

.l or that a contract is awarded on a competitive or a sole source basis.

520-1.5404 Representation i

! (a)ThefollowingproceduresaredesignedtoassisttheNRCcontracting i officer in determining whether situations or relationships exist which i

may constitute organizational conflicts of interest with respect to a particular offeror or contractor.

(b) Representation procedure. The following organizational I conflicts of interest representation provision shall be included in all j 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 i conflicts of interest provisions are noted in the solicitation and would

be included in toe resulting contract. This representation requirement shall also apply to all modifications for additional effort under the

contract except those issued under the " changes" clause. Where, however,

! a statement of the type required by the organizational conflicts of

' interest representation provision has previously been submitted with

regard to the contract being modified, only an updating of such statement

. shall be required.

i l

i l

I_~._____,._,- _ _ , . _ _ _ . _ _ , _ _ _ _ _ . - ~ _ _ _ _ . _ _ _ . _ _ _ _ . . _ _ _ _ _ . . _

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

The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR 520-1.5403(b)(1).

(c) Instructions to offerors. The following shall be included in all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 5 20-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer. If the contracting officer determines that organizational conflicts exist, the following actions may be taken: (1)Imposeappropriate 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 the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be 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 prohibits such exclusion. Any such proposed exclusion by an offeror 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 by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be permitted to correct the omission.

5 20-1.5405 Contract clauses 5 20-1.5405-1 General contract clause

7590 All contracts of the types set forth in520-1.5404(b) shall include l the following clauses:

i (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, crganizational, 1 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 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 consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract.

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

(d) Disclosure after award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a).

(2) The contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an imediate and full disclosure in writing to the contracting officer.

This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract for convenience if it deems such termination to be in the best interests of the government.

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

7590-01 on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public, whichever is first, (iii) submit an unsolicited proposal to the government based on such information until one year after the release of such information to the public, or (iv) release the information without prior written approval by the contracting officer unless such information has previously been released to the public by the NRC.

(2) In addition, the contractor agrees that to the extent it receives or is given access tr proprietary data, data protected by the Privacy Act of 1974 (Pub. L.33-579), or other confidential or privileged technical, business, or finarcial 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), the contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms " contract," " contractor," and

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

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

(h) Waiver. A request for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (ED0) in accordance with the procedures outlined in 520-1.5411.

I20-1.5405-2 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 120-1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror may -

negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction. These provisions include but are not limited to:

7590-01 (1) Hardware exclusion clauses which prohibit the acceptance of production contracts following a related nonproduction contract previously performed by the contractor; (2) Software exclusion clauses;

~ A .

(3) Clauses which require the co'nTPactor (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 section (1) in the clause set forth ins 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 ,

l

' 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 l

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.

I 20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation reouirements of f20-1.5404(b) and other relevant information. After evaluating this information against tne criteria ofi20-1.5403, 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 :ne contracting officer shall eitner:

(a) Disqualify the offeror from award.

l 7590-01 (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of 5 20-1.5411.

120-1.5407 Conflicts identified after award.

If potential organizacional conflicts of interest are identified after award with respect to a particular contractor, the contracting officer determines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the contract as provided in the clauses required by 520-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after 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 I 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 under a prime contract covered by this subsection.

520-1.5411 Waiver In the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and after consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do 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) contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict. For any such waivers, the justification and approval cocuments shall be placed in the Public Document Room.

7590-01 520-1. 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.

Dated at Washinaton. D.Cthis 27th day of March 1979.

For the Nuclear Regulatory Commission 3 A NdN Co <&

e Samuel J. Chilk '

Secretary of the Commission Attachment No. 2 Form NRC-489 (1 76)

U. S. NUCLEAR REGULATORY COMMISSION

{- NRC MANUAL TRANSMITTAL NOTICE CHAPIER NRC-3202 PUBLICATION OF TECHNICAL REPORTS PEPARED BY NRC C0!TfRAC'IORS, INCLUDING EPORTS PEPAED UNDER OR PURSUATTP 'ID T?TPERAGENCY AGFFFENTS SUPERSEDED: TRANSMITTED:

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

This revision of Chapter 3202 expands the chapter from coverage of unclassified reports to include the trarkirt and handling of sensitive unclassified inforvation (Official Use Only and Limited Official Use i Information, Safeguards Information, Proprietary Inforration) and classified inforration (Top Secret, Secret, and Confidential). A section has also been added to set forth procedures for the hand]ing of unclassified reports on NRC cooperative programs with foreign goverwrents and organizations and with U.S. industry.

I

e

(,

U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume: 3000 Information and Foreign Activities  !

Part : 3200 Technical Information and Document Control. ADM t

Cl! APTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3202-01 COVERAGE This chapter and its appendix handbook establish responsibilities , basic requirements, standards and procedures for the documentation, production and dissemination of technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memorandums of understanding. These reports are hereafter referred to as contractor re- .j ports. This chapter does not cover NRC staff-generated documents , NRC docket material, or' the documents generated by NRC boards, panels ,

advisory committees and Offices that report to the Commission.

i 3203-02 OBJECTIVES 0 21 to assure production and dissemination of technical reports as required by the Energy Reorganization Act of 1974 and the Freedom of Infor-mation Act.

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

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

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 for coordination of press or other media releases.

3202-03 RESPONSIBILITIES AND AUTi!ORITIES 031 The Director, Office of Administration:

a. develops and maintains, in consultation with Directors of Offices ,

I and Divisions and Regional Administrators, NRC standards, proce-dures and guides for the production and dissemination of technical [

contractor reports.

Approved: August 29, 1984  !

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-034 (2) provide for the reviews necessary to insure that the national security , patent rights , copyrights , proprietary rights and rights in other sensitive unclassified information are not compromised by the release or dissemination of the reports.

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

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

(4) specify whether formal reports shall be printed by NRC or the 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 be distributed by NRC.

(G) establish the number of copies the contractor may retain or

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

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

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

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

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

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

034 The Office of the Executive Ircal Director provides legal review and advice to NltC staff on questions regarding inventions, patents, proprietary information, use of copyrighted material, national security, and i other sensitive unclassified and classified information.

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

Approved: August 29, 1984

E , ,

l PUBLICATION OF TECHNICAL REPORTS 5) REP RED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

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

l b. develops and maintains guides and standards for the documentation, formatting, printing, dissemination , and public sale of unclassified contractor reports.

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

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

e. in response to requests of Directors of Offices and Regional

, Administrators, establishes distribution data banks, maintains official l

standard distribution lists for automatic distribution of unclassified contractor reports, and controls distribution to assure adherence to

the Government Printing and Binding Regulations, the Privacy Act,

! and the Freedom of Information Act.

l 033 Directors of Offices and Regional Administrators:

a. establish the contract or Standard Order for Work

• provisions.  ;

including those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff- and Contractor-Generated Documents and its appendix; Chapter NRC-0260, Print-ing , Copying, Graphics and Photography and its appendix; and Chapter N RC-Il02, 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 i distribution. If the report is to be reviewed by NRC staff, i give the conditions under which the contractor may publish ,

documents in the event of unresolvable differences relative to I the draf t, including the type of disclaimer to be used in addi-tion to the standard government disclaimer (see Exhibit 6).

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

Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY A'GREEMENTS NRC-3202-044

(

044 copyright - a form of protection provided by the laws of the United States (Title 17, U.S. Code) to the authors of " original works of authorship" including literary, dramatic , musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works.

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

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

046 distribute -

to dispense reports to specific organizations and indi-viduals to assure their participation in the regulatory process and support of research and technological investigations. Such distribution may be accom-plished by the use of standard distribution data banks established and main-tained by the Division of Technical Information and Document Control based on the requests of the originating Office or Region.

047 documentation - classification and associated markings required for classified or sensitive unclassified documen ts , the NRC report number unique to the report, title (and subtitle, if any), author or correspondent (if any), organization identification and contract number (or FIN number), date and availability.

048 draft or final material for inclusion in " Safety Evaluation lleports"

! 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-fied at the discretion of the NRC staff.

049 formal technical reports - the final product of research, an original investigation, or a significant compilation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive long-term projects , formal monthly, quarterly or semiannual and annual peri-odic technical reports may be required. A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy.

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

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

0412 proprietary information - trade secrets; privileged or confidential 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 NitC by a foreign source and determined to be unclassified by the NRC.

0113 publicly available documents - information (reports and references)

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

Approved : August 29, 1984

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

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

b. advises staff of NRC Offices and Regions on the preparation and handling of 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 reports required from the government for performance of the contract.

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

d. determines when requests for proposals and invitations for bids, as well as subsequent 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 information.

3202-01 DEFINITIONS

• 0 11 camera-ready copy - pages ready for printing by the offset printing process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).

0 12 central report control system - means for developing and maintaining the policies, procedures and guides needed to identify and produce regulatory and technical reports and to assure adherence to requirements and standards for documentation, formatting, printing and distribution.

0 13 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. l Approved: August 29, 1981

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

PUBLICATION OF TECilNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-054 l

054 Preparation Requirements I

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

b. Reports Printed by Authorized Federal Printing Plants. All contrac-tor reports to be printed by the contractor (as specified by the 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 par,e, a completed NRC Form 335.

055 References . The NRC chapters referenced and NUREG-0794 (ref. j) and NUREG-0650 (ref. i) are available from the Division of Technical Informa-tion and I)ocument Control . The other publications are available from the Government Printing Office.

i

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

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

c. Chapter N H C-3203, "Dist ribu tion of Unclassified NRC Staff- and Contractor-Generated Documents."

d. Chapter NRC-Il02, " Procedures for Placement of Work with the Department of Energy."

e. Chapter NItC-3206, "NHC 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 United States, No. 24, April 1977 (JCP Regulations), Government Printing Office.

i. Title 5, U.S. Code, " Government Organization and Employees ," ,

Government Printing Office.

Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS f

0414 reproducible masters - camera-ready copy which includes (1) origi-nals of line drawings (or prints that can be copied), (2) glossy prints of black and white photographs (colored photographs cannot be reproduced),

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

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

0416 technical letter reports (also called technical evaluation reports)

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

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

3202-05 BASIC REQUIREMENTS 051 Applicability. The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those working under interagency agreements, whose contracts require the prepara-tion of technical reports. Because of the unique requirements of NRC boards, panels , advisory committees and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the Commission . These exceptions do not ' preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be given wide public dissemination.

052 Forms. NRC Form 426A, " Publication Release for Unclassified NRC Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-graphic Data Sheet" (Exhibit 7), and NRC Form 190, " Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided in the appendix.

053 Apyendix 3202. This appendix contains standards and procedures )

for the preparation of reporting requirement portions of Statements of Work, and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements.

Approved: August 29, 1984

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

CONTENTS PAGE PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK A. LIST OF TECHNICAL REPORT REQUIREMENTS......................... 1 B. REQUIREMENTS FOR FORMAL REP 0RTS............................... 2 C. REQUIREMENTS FOR DRAFT REP 0RTS................................ 2 D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS...................... 3 E. TYP0 GRAPHY.................................................... 4 F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION........................................ 4 G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES

AND WORKSH0PS........................ ........................ 4 i

1 H. WRITING AND PUBLISHING UNCLASSIFIED B00KS..................... 5 I. DISTRIBUTION OF REPORTS TO CONTRACTORS........................ 5 J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSIFIED INFORMATION................................... 5 PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC... 7 A. DOCUMENTATION................................................. 7 i . 1. Applicability............................................ 7

2. Front Cover and Title Page............................... 7

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

4. Disclaimer........... ............................ ...... 9 i 5. . Previous Reports in Series............................... 9

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

7. References and Bibliographies............................ 9

8. Bibliographic Data Sheet................................. 10 j

B. PATENT AND SECURITY REVIEWS................................... 10

1. Patent Review............................................ 10

2. Security Review.......................................... 10 4

(

i Approved: August 29, 1981

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-055 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I

j. " Technical Writing Style Guide," A. W. Savolainen et al. , compilers, U.S. NRC Report NUREG-0650, November 1979, and Supplement 1, February 1982.

k. " Protection of Unclassified Safeguards Information," D. J. Kasun.

USNRC Report NUREG-0794, October 1981.

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

1 .

L t

I'

)

Approved: August 29, 1984 -

o .

PUBIICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued)

{-'

PAGE

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

4. Disclaimer............................................. 25

5. Previous Reports in Series............................. 25

6. Abstract............................................... 25

7. References and Bibliographies.......................... 26

8. Bibliographic Data Sheet........................ ...... 26 B. PATENT AND SECURITY REVIEWS................................. 26

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

2. Security Review........................................ 26 C. PROCEDURES FOR PRINTING AND DISTRIBUTING...... ............. 27

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

2. Reprinting...................................... ...... 27

3. Distribution of Reports... . . . . . . . . .................... 27 PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION...................................... 29

, A. APPLICABILITY............................................... 29 1

\ B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 C. PROPRIETARY INFORMATION..................................... 30 D. SAFIGUARDS INFORMATION...................................... 31 E. CLASSIFIED INFORMATION.................................. ... 31 EXHIBITS

8. Sample Cover for a Contractor Report Containing Official Use Only Information............................................. .... 33

9. Sample Title Page for a Contractor Report Containing Official Use Only Information...... ...................................... 34

10. Sample Back Cover for a Contractor Report Containing Official Use Only Information..................... . . . . ................... 35

11. Sample Cover for a Contractor Report Containing Limited Official Use Information. ..... ........... . .................... 36

12. Sample Title Page for a Contractor Report Containing Limited Official Use Information....... .... . . . . . . . ..... .............. 37 T

iii Approved: August 29, 1984

..__m__ _. -. r..- ,-

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

)

CONTENTS (Continued)

PAGE

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

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

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

3. Distribution of Reports.................................. 11 EXHIBITS l

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

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

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

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

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

P1 ants.............................................. ............. 16

5. NRC Form 426A, Publications Release. ............................. 17

6. Disclaimer and Availability Statements............................ 18

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

PART III UNCLASSIFIED TECHNICAL LETTER REPORTS................. ...... 21 A. FORMAT............... ......... .............. ... .......... 21

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

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

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

2. Security Review........................................ 22 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS.......... ........... 23 A. DOCUMENTATION...... ......................... .............. 23

)

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

2. Front Cover and Title Page.. .............. ........... 23 Approved: August 29, 1984 ii

4. &

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appen' dix 3202

( CONTENTS (Continued)

PAGE EXHIBITS

24. Sample Cover for a Draft Preliminary Report (Code) for Comment... 52

25. Transmittal Letter from Contractor to NRC Project Manager for Draft Preliminary Report (Code)................................... 53

~

26. Transmittal Sheet for Requesting Mailing to Cooperative Program Participants.... ... .................. ........................ 54 f

~

(

v Approved: August 29, 1984

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued) )

PAGE

13. Sample Back Cover for a Contractor Report Containing Limited Official Use Information.......................................... 38

14. Sample Cover for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization..................... 39

15. Sample Cover Page for a Contractor Report Containing Proprietary Information Obtained from a Foreign Source............ 40

16. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained f rom a U.S. Organization. . . . . . . . . 41

17. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a Foreign Source....... . .. 42

18. Sample Back Cover for a Contractor Report Containing Proprietary Information..... .. .. .................... .......... 43

19. Cover Sheet for Reports Containing Proprietary Information........ 44

20. Sample Cover for a Contractor Report Containing Unclassified Safeguards Information........................ ...... 45

21. Sample Title Page for a Contractor Report Containing Unclassified Safeguards Information..... ......................... 46

22. Sample Back Cover for a Contractor Report Containing Unclassified Safeguards Information. ............... .......... .. 47

23. Cover Sheet for a Contractor Report Containing Unclassified Safeguards Information...... . .. . ................... .. .. .. . 48 PART VI. HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH INDUSTRY........................... ....... .............. .. 49 A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT... ..... 49 B. DISTRIBUTION BY NRC PROJECT MANAGERS..... ... ............... 50 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT..... .. ...... 50 D. REPORT IDENTIFIERS.... . ..... .... ........ ........ ... ... 50 E. MAILING TO PROGRAM PARTICIPANTS. .... . . . ..... .... ... 51 F. SECURITY.... .... ... . . ..... ........ . . ........ 51 i

Approved: August 29. 1984 iv

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

(

PART I PREPARATION OF REPORTING REQUIREMENT PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK A. LIST OF TECIINICAL 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 Il through V. The following definitions describe the types of reports that may be specified; technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP series , or draft or final material for inclusion in SERs or ESs (see definitions below).

technical letter reports (also called technical evaluation reports) -

interim or final letters that provide information on the technical

! aspects of the contract work. Interim technical letter reports may be required at various stages of a project. These interim letters usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified 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, informal (interim) progress reports, quick-look reports, data reports, status summary reports, project descriptions.

pre-test predictions , model verifications , experiment safety anal-yses, experiment operating 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 identified with DOE registered report codes. The num-ber of copies to be prepared and the distribution of those copies will be specified by the project manager.

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

1 Approved: August 29, 1984

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS. PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I camera-ready copy for printing and distribution. This is to be done to assure proper publication, handling, and distribution and, among other things , to preclude further changes that might nullify the agreement. If caveats were agreed to and the project manager wishes to check the final document for their presence, he/she should inform TIDC of that desire.

In that case, upon receipt of the camera-ready copy by TIDC, the project manager will be informed and requested to prepare and sign the NRC Form 426A.

Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached , the NRC project manager may request the contractor to prepare the camera-ready copy with , in addition to the standard disclaimer required on all contractor formal reports (see Exhibit G), any caveats deemed necessary to cover NRC objections. Such caveats may range from the "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text.

State that if NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE / National Laboratory reports, the DOE Operations Office Manager responsible for that 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 j'

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. PUBLISillNG UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS If the contractcy's principal investigator is to be allowed to publish in the open literatire instead of submitting a final report and/or present papers at publiq or association meetings during the course of the work, add the followinly statement to the Statement of Work:

The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or present papers at public or association meetings at interim stages of th work.

If the licoject manager wants to review the paper or journal article prior e

to pres #atation or submission for publication, state this in the Statement of Work, as follows:

The principal investigator (s) may publish the results of this work in 4 the open literature instead of submitting a final report and/or pre-i sent papers at public or association meetings at interim stages of the ~

l- work, if the article or paper has been reviewed by the NRC project 3 Approved: August 29, 1984

PUBLICATION OF TECHNICAlo REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS draft or final materal for publication or inclusion in SERs, ESs, }

letters, or license amendments - written material requested for use in the NRC licensing 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-tion . This material is to be submitted to NRC as a technical letter report addressed to the project manager and identified by the FIN number.

For purposes of this Part, contractor means a private contractor, con- l sultant , grantee, another State or Federal Agency working under an l interagency agreement, or a DOE / facility or National Laboratory (con-tractor) and subcontractors.

B. REQUIREMENTS FOR FORMAL REPORTS If the contractor is to prepare a final formal technical report for publi-cation, state that it will be printed and distributed by NRC from camera-ready copy submitted by the contractor, unless the work is being done for the Office of Nuclear Regulatory Research by a DOE facility or Laboratory with a JCP-authorized printing plant. The camera-ready copy is to be prepared in accordance with the provisions of this appen-dix, Parts 11 and V (for contractors other than DOE contractors), or Parts IV and V of this appendix and Chapter 1102 (for DOE contrac- ,

tors). A style guide is also available free, upon request (NUREG-0650). If the report is to be printed by NRC and it is unclassified, the camera-ready copy is to be submitted by the contractor to the Director, Division of TechnicalInf'ormation and Document Control, NRC, Washington, D.C. 20555, by first class mail. For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101.

Unclassified reports printed for the Office of Nuclear Regulatory Research should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102.

C. REQUIREMENTS FOR DRAFT REPORTS l

If a draft is desired prior to complet_ ion of a final technical letter report, formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-ernments and organizations and with U.S. industry, state that require-ment and the time frame for delivering the final camera-ready copy after receiving NRC and/or participant comments on the draft. State that all draft material should be submitted to the cognizant project manager.

When the contractor is to submit draft material for comment prior to the preparation of the final report , state that if there are NRC program and/or participant comments the contractor will be asked to make changes.

If agreement on the changes is reached, the NRC manager will authorize the contractor to prepare the final copy and submit it to the project manager, if it is a letter report or input to an SER or ES, or to the )

Director, Division of Technical Information and Document Control, if it is Approved: August 29, 1984 2

v s ,

' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I f 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 BOOKS NRC may, under certain circumstances , publish books prepared by grantees or contractors. For general information and guidance on book publishing, see Chapter NRC-3210, " Book Writing and Publishing."

I. DISTRIBUTION OF REPORTS TO CONTRACTORS Up to 50 copies of unclassified formal technical reports may be retained by or will be bulk shipped to the contractor by NRC for internal use.

If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justifi-cation, should be addressed to the NRC project manager, with a copy to NRC/TIDC. If the additional distribution is approved by the NRC project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by NRC, to NRC/TIDC, where the distribution will be made along with the standard distribution. Distribution of sensitive unclassified and classi-fied reports will be made by the project manager on a case-by-case basis.

l J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSI-FIED INFORMATION A contractor may request permission to issue a press or other media release on the work being done. Such request shall be made to the project manager, who will consult with his/her management and with the Office of Public Affairs. The contractor may not issue a press release on nonroutine information without this prior coordination. This coordination may be accomplished by telephone, with the NRC project manager respon-sible for expeditious handling. Decisions not to release information or delays in handling by the project manager may be appealed to the NRC Executive Director for Operations.

I 5 Approved: August 29, 1984

u ,

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS manager in draft form and agreement has been reached on the con-tent. The applicable procedures set forth in Chapters NRC-3206 or NRC-1102 must be followed.

If agreement is not reached, NRC may also ask that the paper include in addition to the standard statement " Work supported by the U.S.

Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC can refuse to authorize publication in the open litera-ture and/or presentation of papers.

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

The contractor is then free to publish without NRC identification of the information . This will not affect payment of the contract work costs.

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

If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required tech-nical reports, approval of the proposed article or presentation should be obtained from the NRC project manager. The NRC project manager shall either approve the material as submitted , approve it subject to NRC-suggested revisions, or disapprove it. In any event, a project manager may disapprove or delay presentation or publication of papers on infor-mation that is subject to Commissioner approval that has not been ruled ,

upon or which has been disapproved.

(See Chapter 3206 for provisions relating to payment of page charges and travel costs for presentation of papers.)

E. TYPOGRAPilY 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 expressions may require one and one-half spacing to provide for superscripts and subscripts . This spacing should be allowed where needed, but should be considered an exception, not the standard.

F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION Details of the marking of reports designated Official Use Only, Limited Official Use, Proprietary Information , Safeguards Information , and classified (Confidential, Secret, and Top Secret) are provided in Part V of this appendix and in NRC Appendix 2101.

G. PUBLISIIING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSilOPS NRC publishes or assists in the publication of compilations of papers )

presented at meetings , conferences, and symposiums in which NRC Approved: August 29, 1984 1

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

PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A. DOCUMENTATION

1. Applicability

a. The requirements of this part apply to contractor and inter-agency agreement reports that are to be printed by NRC.

Contractors may not print reports prepared for NRC except those DOE laboratories with JCP-authorized printing plants and then only those reports prepared for NRC's Office of Nucl.:ar Regulatory Research.

b. With respect to sensitive unclassified and classified reports, the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.

c. The requirements of this part do not apply to consultants and contractors of the NRC boards, panels, and advisory commit-tees which report directly to the Commission.

k 2. Front Cover and Title Page

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

b. The items shown in Exhibits 1 through 4 and discussed below shall appear on the title page and cover, as appropriate.**

(1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that report. The centralized report control system for unique 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 copy of the cover of the performing organization may be sub-mitted; however, the data elements shown in Exhibit I must be included.

These requirements meet the specifications of American National Standard 3 ANSI Z39.18-1974, Guidelines for Format and Production of Scientific and Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers.

7 Approved: August 29, 1984

o s PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II

3. Availability 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, apparatus , product or process disclosed in this report, or repre-sents that its use by such third party would not infringe privately owned righ ts . " The following additional statement , "The views expressed in this report are not necessarily those of the U.S.

Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate . Other qualifying statements may be added, if needed (see Part I.C. , Requirements for Draft Reports).

5. Previous Reports in Series

(

g if the report being prepared is one in an ongoing series, list all A previous reports in the series. Include report numbers and issu-ance dates. Place this list on the back of the title page.

6. Abstract An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*

7. References and Bibliographies Reports or other documents referenced in text, reference sections, bibliographies , and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service, or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not be made to personal communications and interviews , unpublished This preferred positioning of the abstract in the report need not be followed if the style manual of the originating organization requires a different

! location .

9 Approved: August 29, 1984

u ,

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS The NRC identification number will have the form: }

NUREG/CR-XXXX or NUREG/CP-XXXX where CP indicates conference proceeding. The contrac-tor's report number, if any, may be inserted below the NUREG number on the title page and cover, as shown in Exhibits 1 through 4, if desired by the contractor.

When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume , supplement, part or revision designation shall appear immediately below the report number.

(2) Title and Subtitle (a) Use a brief title that indicates clearly the subject matter covered in the report.

(b) When a report is prepared in more than one volume, repeat the primary title on each volume.

(c) If appropriate, show the type of report (e.g.,

annual report, final report, thesis , etc.) and the period covered as part of the subtitle.

(3)- Personal Author (s)' Name(s)  !

Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contri-butions are as editors, compilers, etc. , so indicate on the title page following the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document.

(4) Organization Identification 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, with the basis for each, may be shown where this is necessary.

)

Approved: August 29, 1984 8 9

o. -s

' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED ' NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II C. PROCEDURES FOR PRINTING AND DISTRIBUTING

1. Printing Reproducible masters prepared in accordance with this appendix shall be transmitted to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A (Exhibit 5). NRC Form 426A must be signed by the NRC project manager or a contractor official authorized by the project manager.

Such authorization shall be reported in writing to TIDC.

The Division of Technical Information and Document Control will review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributing the report. Unsatisfactory masters will be reported to the NRC project manager for appropriate contractual action by the contract-ing officer or, in the case of government agency or interagency 4 agreement work, the publications manager of the performing organization.

2. Reprinting Requests for reprinting any report subsequent to the initial print-ing require approval of the Division of Technical Information and Document Control. Each request shall include a written justification and the project manager's approval for reprinting along with ad-dress labels for the recipients.

i f

3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control

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

j If any distribution is to be made other than, or in addition to, the

standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the additional distribution must be supplied.

Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis.  !

l

(

i 11 Approved: August 29, 1984 c - <- -v -

n----r ,--w ,--,-wn,--- ,w ,---m-,,.-,,,,-- ,-+n ---m-- n

I PUBLICATION OF TECHNICAL REPORTS PREPARED BY' NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS information and information with restricted distribution (e.g., I' proprietary , national security , official use only, etc.). If the unretrievable information is important and unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section . Availability may be stated collectively for all entries (see Exhibit 6).

Guidelines for developing and presenting reference material are provided in NUREG-0650, " Technical Writing Style Guide , "

published in November 1979 (see Appendix A, pp . 19-23, for specific guidance) and Supplement 1 dated February 1982.

8. Bibliographic Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. If the work being reported is contractually managed through another government agency (e.g. ,

DOE laboratories), that government agency should be requested by the contractor to perform the patent review. The result of such review shall be reported on NRC Form 426A in item 11 (Exhibit 5).

If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the contract , the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications . If there is no need for patent review because of the certainty that the report contains no description of novel technical developments which may be of an inventive nature, NRC Form 426A may be completed with the statement "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.

2. Security Review In most cases, contractor reports will be unclassified. Should a report of sensitive unclassified or classified work be required , <

however, the NRC project manager must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of such procedures through the contracting ,

officer. The standards for marking and handling such reports are )

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

Approved: August 29, 1984 10

e ,

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS *mt i:

(

EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. NUREG/CR-1676 Contractor Report No. (if any) NUSAC-556 Vol., Part, Rev., etc. (if any) Vol.1 Titie Using Advanced Process Monitoring to improve Material Control 4.

Subtitle and Type of Report Final Report (Annual, Topical, etc.) September 1979 - September 1980 Author (s) Prepared by R L Hawkins, R. L. Lynch. R. F. Lumb Contractor NUSAC incorporated S u I at Regulatory l

l 4

i 13 Approved: August 29, 1984

. . _ _ _ _ _ - - . __ . . .-i

s e

' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NBC Annandiv 3909 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part It

( EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. NUREG/CR-1952 Contractor Report No. SAND 81-0151 Vol., Part, R ev., etc.

LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Type of Report Independent Verification Testing Program

'f Independent Verification Test-1 or Subtitle P, meed by L s wH * J A Lewin. T W Giornore sNL Author (s), Editor (s) nk  ;,9,d, A B" ennCf N C Contractor sand.a National Laboratories Sponsorship U E E*u tear Regulatory Commission i

15 Approved : August 29, 1984

. o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 _

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDcR OR PURSUANT TO INTERAGENCY AGREEMENTS 1

NRC REPORT No. NUREG/CR-1676 Contractor Report No. (if any) gSAC-556 Vol., Part, Rev., etc. (if any)

Distribution Category No. (if any)

Ti,ie Using Advanced Process Monitoring to Improve Material Control Subtitle and Type of Report Final Report (Annual, Topical, etc.) September 1979 - September 1980 Report Dates and Bases g,.c, gin go.go neo Author (s), Editor (s), e mge,, , ,,

Compiler (s), etc.

Contractor Name N A W and Address uu a. vA mo2 NRC Sponsorship Prepared for Division of Safeguards Office of Nuclear Material Safety and Safeguards Wash noton .

NRC Contract No. NRC FIN B6437

)

Approved: August 29, 1984 14

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRP Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II

(

EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS

..c.

o... . .. oc a .. . . m. .. , co . ......%......,-

o . .. _

%c.w aact PUBLICATIONS RELEASE FOR UNCLAS$1FIED I._=.-.

..-.".C.w e.

o.s,...uv.o% c. . co. . so ;,. .

NRC CONTRACTOR AND CONSULTANT REPORTS e P.- ~ *.c a-*.*

19ernse Twe o. 9, nto L".Ts'o's& "*

a v.Yti amo sver,vt. ,s s e .w.-

. avv o.s.. , . . ,% ,,,

. ... o. co= r .ac to. -.e e ,m.-

l va.t.% aoo..ss o. .....-. ..

[ . . t. ...osi so

.. cComet.7 a r , w a %.vsc O .., i %.c .oc .. s,osso. v. c-s.c at wo%.va. l,t ...o w e LoNY.acT o.f 4

. CO% f .aC T o. . e% %vw.. . .D. a.e .,0cf ..ae. s a. .e.

.a .. CON T. C T O. el au f.o..lf a to p.i% f pt as. ..ov.og v., .o t t ovi,iNG e%. o.v a r.o%

%....c... ......c...c. ..........c.

I I

l. v. c. .c at ...o ,

. . . . n.wa t

1. co~....Nc.. ...

... . . . . . o. c o s . . . . %c . , a ,. .

. .. o a . . .s . o. c o %. . . . % C.

13 ( OC a f.ON O. CON. . .. NC.

o , .. . . , ~ . . . . - . . . . . . .

. . s.. c. a 6 o.s , .. . . 0% .-.......o-..s,....~.....-.--.---.-..--...,~ s...-....-.....

. . . . , , , ~ . . , . - . . . . . . . . . . . . s,-.........-. . , . . . .

, ~ < . . . . . . . . . . . ,

i

,,eate=rc.ea.awce ru .c.oc. ,- is sueuivreo av

. ec.*w.e . e ae, % .c . = 4 26 a s.g....,

. .v. a. . C .1 DCo%, acto.o...C.a 0. %.C vo%. t c. ,, -

.,.. . . . . . .. .e.... . ...

o a .... ... ,c l

, . .a . . %, c . a. a u. No .. .. o c. . .c. . t s o . ; . ,4. .-% a  %.,

. . . . . % , c . . . . % c . <. . . % , . o

.a,.%,n...am,o. .n

.. . . % , c o v %s . s sm% . . . .

i oa.. s m % . .. .. ~~ , ..-.. .. . . . - . i c a,,

i l

i 17 Approved: August 29, 1984 i

1 i

PUBLICATION OF TECHNICAL REPORTS PREPARED BY '

NRC Appendix 3202 NRC CONTRACTORS INCLUDING REPORTS PREPARED Part II UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS I

EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.

Contractor's Report No.

Vol., Part, Rev., etc.

Distribution ggC 1952 R4 Category me LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Subtitle Independent Venfication Testing Program independent Venfication Test-1 Report Dates 3,, ,tw Author (s), Editor (s)

Contractor's ly 4 g *a Name and Address is n of esident and Regional Reactor Inspection Office of inspection and Enforcement U S. Nuclear Regulatory Commission NRC FIN No. RYN0'Ei io '

I l

Approved : August 29. 1984 16 l

s O PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSUANT TO INTERAGFNCY AGREEMENTS Part II

(

EXHIBIT 7 NRC FORM 336 - BIBLIOGRAPHIC DATA SHEET

... . .- ,c.,

..c.........-

p,,

';l'." */ seeUOGRAPHIC DATA SHEET

...c,.........

........u,... .t.....

.......co...

.o . . ....

g

........o... ..

.o .. ....

g

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

....o....-..

..o.o....,..................,.c. .......o....-,

...co.....,- -. ,

/

t

........c.,- - ,

...oc-...............oo....c....... . . .,.,.,.; .,. ,,; .

.. co.... cm .....c...o-

,,~

.. - .. ...c..

I d

.....c.

19 Approved : August 29 1984

e .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS EXHIBIT 6 )

DISCLAIMER AND AVAILABILITY STATEMENTS (BACK OF COVER)

NOTICE ,

This report was prepared as an account of work sponsored by en egency of the Unload Stoess Government. Neither the United States Government ner any agency thereof, or any of their employees, makes any wortanty, empreened or implied, or assumes any Ingel listility of re-sponsibtirty for any third party's use, or the remalts of such use, of any internation, apparetus, product or process declosed in this report, or represents that its use by tuch third party weedd not infringe prevetely owned rights.

NOTICE Availability of Reference Meterials Cited in NRC Publications Most documents cited in N RC pubications will be eveilable from one of the foltounne sources:

1. The NRC Pubhc Document Room,1717 e Street, N.W.

Washington, DC 20555

2. The N RC/GPO Sales Program, U.S. Nuclear Replatory Commission, Washington, DC 20655

3. The National Technical Information Service Springfield, VA 22161  !

Althc@ the heting that follows represents the mejority of documents cited in NRC publications, it is not intended to be exhaustive.

Referenced documents available for inspection and copying for a fee from the NRC Pubisc Docu-ment Room include NRC corrompondence and internet NRC memorsnds; NRC Offee of Brupaction end Enforcement bulletins, circulars, informaten notices, inspection and investigation notices; Licensee Event Reports; vendor reports and correspondence; Commission papers; and applicant and hcenese documents and correspondence.

The following documents in the NUREG series are aveelable for purchese from the NRC/GPO Seles Program: formal NRC staff and contractor reports, NRC sponsored conference proceedmes, and NRC booklets and brochuros. Also available are Regulatory Guides, NRC regulations in the Code of federal Regulatens, and NucArer Regulatory Commiseen Innuences Documents eveilable from the Nation 61 Technmal information $srvice include NUREG series reports and technical reports propered by other federal agencies and reports propered by the Atomic Energy Commission, forerunner agency to the Nuclear Regulatory Commiseen.

4 Docunwnts eveilable from pubhc and special techrucal libraries include all open literature items.

I such es books, journal and periodical articles, and transactions. federel Repster notices, federal and state legislation, and congressional reports can usually be obtained from these libreries.

Documents such as theers, dissertations, foreign reports and trecule' ions, and non-N RC conferona proceedings are aveilable for purchase from the organiteten sponsoring the publication cited.

Single copies of NRC draft reports are available free, to the extent of supply, upon written request to the Division of Technical Informaten and Document Control. U.S. Nuclear Repletory Com.

mission. Washington, DC 20555.

Copies of industry codes and standards used in a substantive menner in the NRC reguletory process are meintained et the NRC Library, 7920 Norfolk Avenue, Bethsede. Meryland, and are aveslebte there for reference use by the pubhc. Codes and standards are usually copyrighted and may be purchseed from the originating organizaten or, if they are Amerzen Notenal Standards, from the American National Standards institute,1430 Broadway New York, NY 10018.

)

GPO Pnmed copy once Approved' A tigtl 4 f 29, 1981 18

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART III UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT

1. Applicability

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

b. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory commit-tees which report directly to the Commission.

2. Requirements Technical letter reports are prepared, duplicated and distributed in accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the project. The number of copies to be prepared and the distribution y of those copies will be specified by the project manager. If unclas-

! sified and non-sensitive , the NRC project manager is responsible for making such reports available in the NRC Public Document Room' (PDR) by sending them to the PDR through the NRC Document Control System.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC. If the work being reported is contractually managed through another government agency (e.g. , DOE labora-tories), that government agency should be requested by the con-tractor to perform the patent review.

If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications.

If there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive

, Legal Director.

21 Approved: August 29, 1984 k

4 .e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC App ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 7 (Continued)

BACK OF NRC FORM 335 DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT INSTRUCTIONS NRC FORM 335. SiOLIOGR APHIC DATA SHEET,15 BASED ON GUIDELINES FOR FORMAT AND PRODUCTION OF SCIENTIFIC AND TECHNICAL REPORTS, ANSI Z39.18-1974 AVAILABLE FROM AMERICAN NATIONAL STANDARDS INSTITUTE.1430 3 ROADWAY, NEW YORK, NY 10018. EACH SEPARATELY SOUND REPORT-FOR EXAMPLE, EACH VOLUME IN A MULTIVOLUME SET-SHALL HAVE ITS UNIQUE OIOLIOGRAPHIC DATA SHEET.

1. REPORT NUMBER, Each individually bound report shall 10. SPONSORING ORGANIZATION. List NRC Division. Office, carry a uneowe alphanumeric designation (NUREG) assigned U S. Nwcisar Rogwistory Commission, Washington, DC 20555.

by the Division of Technical Information and Document Control, ADM, in accordence with American National 11. e. TYPE OF REPORT. State draf t. final. preieminary. topical, Steaderd ANSI 239.23-1974 Technicet Report Number techneces , reguistory, overterly, etc., and et applicable, (STRNI. Use uppercase letters, Arabic numerals, sieshes, and inclusive detes.

hyphens only, es in the following exemples NUR E G-0100, NUREGICP-0010, NUREG/CR-0100, and NUREG/8R-0010 b. PERIOD COVERED.

For reports in a serees add Vol., Supp., Revision, and Addendum, when necessary. Add contractor cross-reference 12. SUPPLEMENTARY NOTES. Enter information not included identification number (if any) below NUREG nu nber, e o , e'sewhere but usefwl, such as Propered in cooperation with .

PNL.XX XX, SANOXX X XXX, SAI.XX X X. Presented at conference of . . To be pubieshed . Docket N o. . When a report is revised, indicate whether the new

2. TITLE AND SUSTITLE, Title should indicate clearly and report supersedes or supp:emeats the oider report.

briefly the subiect (coverage) of the report. including any subtitle to the main title When a report is propered in more 13. ASSTR ACT, include a brief (200 words or sessi f actwar sum-than one volume, repeat the primary title, add volume number mery of the most significent information contained in the and include subtitle for the specifec volume Use upper and report. If the report contains a s'enibcont bibisography or mwor case letters, but capitairre computer code names. Do literstwre survey or multiple volumes. rnention it here. Abstreet not use acronyms and initialisms in tities, may be added in is to be prepered by author or proiect manager parenthesis.

14. DOCUMENT ANALYSIS

3. LEAVE BLANK.

a. KEY WORDS/DESCRIPTORS. Sa:ect from the Energv

4. DATE REPORT COMPLETED. Each report shall carry a date Date Bene Subsect Thesaurus, DOE / TIC 700R R-5, the indicating month and year protect / task compieted proper authorized terms that identify the me:or concept of the research and are sufficiently specibe and precise to S. AUTHOR (S), Give name(s) in conventionar order (e g , John be used as endem entries for cataloging R. Doe, J. Robert Doet List author's ef filiation if et is dif fer-ent from the performing organisation. b. IDENTIFIERS AND OPEN-ENDED TERMS. Use ideati-fiers for project names, code names, eowipment designators.

S. DATE REPORT ISSUED. Each report shati carry a date etc. Use open-ended (keywords) terms written m descriptor indicating month and year published form (14al for those subsects for which no descriptor exists in the thesswews

7. PERFORMING ORGANIZATION NAME AND MAILING ADDRESS. Give name. street, city. state. and ZIP code 15. AVAILABILITY STATEMENT. Denote pubi c releasab iety.

List no more then two leveis of en organisational hierarchy. for enemple "u nlimited", or limitation for reasons other Display the name of the organitetson essetty as follows then security.

Division, Office, Organization or Government egeacy, and address. 18. SECURITY CLAS$1FICATION. Enter U S. Security Csass.te-cation in accordance with U$ Secu ity r Regwistions (i e ,

8. PROJECT / TASK / WORK UNIT NUMSER. Use the proiect, unclassified).

task ead work unit numbers under which the repor* was propered (if any) 17, NUMBER OF PAGES. Leave biank. ( Added by NTIS)

9. FIN OR GR ANT NUMGER. Insert the FIN o* grant number 18. PRICE. Leave blank. ( Added by NTISI under which report was prepared

)

Approved: August 29, 1984 20

PUBLICATION OF TECHNICAL REPORTS PREPARED 5Y NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 k

PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS A. DOCUMENTATION

1. Applicability

a. The requirements of this part apply to NRC staff who are responsible for agreements with DOE Laboratories and their contractors who print regulatory and technical reports re-quired by NRC. (See also Chapter NRC-1102).

b. With respect to sensitive unclassified and classified reports the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.

c. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels and advisory committees which report directly to the Commission.

V 2. Front Cover and Title Page

a. Separate covers (of different paper than that of the text) and title page are required.*

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

(1) NRC Report Number Each report shall be identified by ' an NRC-controlled alpha-numeric designation as the prime designation unique to that document. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may The cover stock of the performing organization may be used; however it must include the data elements shown in Exhibit 3.

These requirements meet the specifications of American National Standard ANSI Z39.18-1974, " Guidelines for Format and Production of Scientific and Technical Reports ," and ANSI Z39.23-1974, " Technical Report Numbers ."

23 Approved: August 29, 1984

4 b PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part III UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

2. Security Review In most cases, contractor technical letter reports will be unclassi-fied. Should a report of sensitive unclassified or classified work be required , however, the project manager must work with the Division of Security to establish the appropriate security procedures and inform the contractor of such procedures. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.

)

)

Approved: August 29, 1984 22

PUBLICATION OF TECHNICAL REPORTS PREPARED 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 illustrated in Exhibit 4.

(5) Basis for Report Dates (s)

(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date report completed, date reviews completed, date published, date distributed, etc.

(b) More than one date, with the basis for each, may be shown where this is necessary.

3. Availability and Price Information All formal reports will be made available for sale by NRC and NTIS.

The statement shown in Exhibit 6 is required on the inside of the front cover.

4. Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government.

f Neither the United States Government nor any agency thereof, or 4

any of their employees, makes any warranty, expressed or implied,-

or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus ,

product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow-ing additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part I .C. ,

Requirements for Draft Reports).

5. Previous Reports in Series If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.

6. Abstract An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*

j 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

t >

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 will have the form:

NUREG/CR-XXXX or NUREG/CP-XXXX The contractor's report number, if any, will be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4, if desired by the contractor.

When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation shall appear immediately below the report number (s). NRC report numbers on covers and title pages shall be shown entirely on one line to facilitate computer processing.

(2) Title and Subtitle (a) Use a brief title, which indicates clearly the subject matter covered in the report.

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

repeat the primary title on each volume.

(c) If appropriate, show the type of report (e.g.,

annual report , final report, etc.) and the period covered as part of the subtitle.

(3) Personal Author (s)' Name(s)

(a) Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If l authors' contributions are as editors , compilers, etc., so indicate on title page and cover following the names. In addition, list affiliation of each author or.ly if affiliated with an organization other than the organization generating the report.

(b) Authors may be identified on backstrips (spines) of bound volumes.

(4) Organization Identification (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by

" Prepared for the U.S. Nuclear Regulatory Commission . " l Approved: August 29, 1984 24

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTP. ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV C. PROCEDURES FOR PRINTING AND DISTRIBUTING

1. Printing Contractor reports may be printed only by a JCP-authorized print-ing plant and then only if prepared for the NRC Office of Nuclear Regulatory Research. Reports printed by the contractor and one reproducible master shall be submitted to the Division of Technical Information and Document Control, with completed NRC Form 426A.

The number of copies specified by the Statement of Work for stand-ard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR _) may be obtained as discussed in Section A .2.b. (1) .

2. Reprinting Requests for reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of Technical Information and Document Control . The request shall include a written justification and the project managers approval for the re-printing, along with address labels for the recipients.

3. Distribution of Reports f All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5).

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 other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the additional distribution must be supplied.

The Division of Technical Information and Document Control will arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.

Distribution of sensitive (unclassified) and classified reports will be made by the NRC project manager on a case-by-case basis.

3 27 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I

7. References and Bibuographies Reports or other documents referenced in text, reference sections, bibliographies , and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service , or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not be made to personal communications and interviews, unpublished information and information with restricted distribution (e.g.,

proprietary, national security , official use only, etc.). If the unretrievable information is important and unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section . Availability may be stated collectively for all entries (see Exhibit 6).

Guidelines for developing and presenting reference material are provided in NUREG-0650, " Technical Writing Style Guide ," pub-lished in November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement 1 dated February 1982.

8. B_ibliograpic Data Sheet

)

NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The DOE Operations Office responsible for the contractor should perform the patent review .

The results of such review shall be reported by the contractor on NRC Form 426A- in item 11 (Exhibit 5).

2. Security Review In most cases, reports will be unclassified. Should a report of sen-sitive unclassified or classified work be required, however, the NRC project manager must work with the Division of Security to establish the appropriate classification procedures and inform the contractor. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.

)

4 Approved: August 29, 1984 26

G 1 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-mining when to use the markings exhibited are contained in NRC Appendix 2101.

The reports covered are defined as sensitive unclassified or classified.

Sensitive unclassified information refers to information designated Official Use Only , Limited Official Use, and Proprietary Information .

Sensitive unclassified information also includes Safeguards Information that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1954, as amended, information withheld from public dissemination under the Freedom of Information Act or Privacy Act, and information not to be exported to or disclosed to foreign countries.

Classified information as used in this part includes Restricted Da ta ,

Formerly Restricted Data or National Security Information that requires protection in one of the three classification categories described in Executive Order 12356: Top Secret, Secret or Confidential.

The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and exhibited in the following sections. All sensitive unclassified and classified reports are to be sent directly to the project manager.

B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION. J NRC regulations require an Official Use Only marking to be placed on a report only when the originator or other holder believes the marking is 29 Approved: August 29, 1984

4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V

{

Procedures for reproducing, transmitting, protecting and handling pro-prietary information. reports and removing them from the proprietary information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 19) is to be placed on each hard copy of a report containing proprietary information.

D. SAFEGUARDS INFORMATION Safeguards information may be of three types: (1) classified informa-tion , which is marked and handled as indicated in Section E, (2) un-classified information restricted under Section 147 of the Atomic Energy Act, which is marked and handled as described in this Section, and (3) unclassified information, which is publicly available and handled as indicated in Parts I through IV.

The safeguards information that is to be protected as described here is unclassu ied 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 j facilities .

1 Unclassified NRC contractor reports containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through 22.

Procedures for reproducing, transmitting, protecting, and handling safe-guards information reports and removing them from the safeguards information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to be placed on each hard copy of a report containing safeguards information.

E. CLASSIFIED INFORMATION Classified information is limited to Restricted Data, Formerly Restricted Data and National Security Information. The procedures for making classification determinations and for marking, reproducing, transmitting, protecting , and handling reports containing classified information and removing such reports from classified categories are detailed in NRC Appendix 2101. These procedures are too complex for summarizing here.

Classification determinations regarding NRC information may be made solely by authorized classifiers designated by NRC or DOE. Authorized classifiers are responsible for insuring that reports they determine to be classified are marked and protected in accordance with the provisions of NRC Appendix 2101.

c 31 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS essential to ensure proper handling. Reports designated Official Use Only will contain only unclassified information originated by or furnished to an NRC contractor which is to be withheld from public disclosure. The report on which the marking appears must be reviewed at the time a request for release is received to determine its releasability. The Official Use Only marking is notice of the originator's determination of the applica-bility of an exemption under the Freedom of Information Act or Privacy Act or both at the time of origination.

Official Use Only NRC contractor reports shall be marked as shown in Exhibits 8 through 10.

Limited Official Use information is informatio'n 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 handling reports containing Official Use Only and Limited Official Use information and removing such reports from those categories are detailed in NRC Appendix 2101.

C. PROPRIETARY INFORMATION Proprietary information is a specific type of Official Use Only informa-tion . Proprietary information includes:

4

1. trade secrets.

2. privileged or confidential research, development, commercial or financial information exempt from mandatory disclosure under 10 CFR Part 2, " Rules of Practice for Domestic Licensing Proceed-ings," Sections 2.740 and 2.790 and under 10 CFR Part 9, "Public Records," Section 9.5, " Exemptions."

3. information submitted in confidence to NRC by a foreign source, which has been determined by NRC to be unclassified.

Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 14 through 18. In each instance, the optional wording that describes the material being presented should be selected.

If a report contains both Official Use Only information and proprietary information , the front cover shall be marked as proprietary information and may also be marked as Official Use Only information, if necessary.

Pages in the report that contain proprietary information may be marked accordingly , including , marginal or other indicators of the specific -

wording that is proprietary. Similarily, the pages that contain Official Use Only information without proprietary information may be marked Official Use Only

)

Approved: August 29, 1984 30

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V l

1 l

EXHIBIT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREGICR-XXXX (S)

Title Subtitle and Type of Report

$s?,.'1"'"

U uclear Regulatory Commission 4

s WiTMHOLD FROM PUBUC DISCLO$URE l

i OFFICIAL USE ONLY 33 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

}

It is important to note that information may not be classified in order to prevent or delay the release of information that does not require protection in the interest of national security. Basic scientific research information not clearly related to national security may not be classified.

l i

i i

l l

)

l l

I l

l Approved: August 29, 1984 32

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

• V EXHIBIT 10 I SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY i

OFFICIAL USE ONLY 35 Approved : August 29, 1981

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

)

EXHIBIT 9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY ,

NUREG/CR XXXX (S)

Title Subtitle and Type of Report o.t. ru en, der Autho,1 1, Editods) coni,uio,n - .no.oo .

B;?.1,*:""

s uci ugy commi.. ion OFFICIAL USE ONLY ll Approved: August 29. 1984 34 l

.. e.

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Part V EXHIBIT 12 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREG/CR-XXXX (S)

Title Subtitle and Type of Report Manuscret Completed Idetel

~

har art Contractor name and address

- 1*r.t;" '*'

I 0"s'*Eue!oer"ng'uietory commi.. ion EE$70'$"o'.

i LIMITED OFFICIAL USE l

37 Approved : August 29, 1984 I

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS

)

EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREGICR-XXXX (S)

Title Subtitle and Type of Report rW, Editor (s)

N lost Regulatory Commlesion WITMHOtD FROM PUBLIC OISCLOSURE LIMITED OFFICIAL USE

)

Approved : August 29, 1984 36

Z*

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREGlCR-XXXX (P)

Title Subtitle and Type of Report Author (s). Editor (s)

Contractor Prepared for U.S. Nuclear Regulatory Commission a

MME AL OR FINA INFOR A N Th con ains informate iName of Company and Name of Submitter

• to pr ary c or h4 R 2 790 tbil(10CFR 9 SI(10CFR Part 211 and es pt te ma t pubhc disclosure pur-WITHMOLD FROM PUBLIC DGCLOSURE is,qnature Titie and Omcet eDates 1

i l

PROPRIETARY INFORM ATION 39 Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i l

EXHIBIT 13 I SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE

)

LIMITED OFFICIAL USE

)

Approved : August 29, 1984 38

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V I

EXHlBIT 16 SAMPLE TITLE PAGE 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

.,IPut shed n. vbr$

Avenor,st.

conte.ctor Ed.ito.risi n m .nd .ddress Propered for

/ Diviolon

• Office U.S. Nuclear Regulatory Comm!ssion Washington. D.C. 20066 NRC FIN No.

COM ERC L0 FINA AL N ORMATl N

. ..-...n . .d

,T;.. g,-.6, c...

.N - ,,,c.,- -. N. ,,,,s.. ...e,

.n.cn n.. t n d.i.,m.n.d i n.cn . ci. dl 2 b R9 FR P 21l .

7,i ,,7,-.g,Si

,, (p ~~ d-io~. ~, .

WITHHOLD FROM PUBLIC DISCLOSURE shpw,$.re T.,ie arwt On= wa iDe'ei PROPRIETARY INFORM ATION 41 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

)

EXHIBIT 15 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREGICR XXXX IP)

Title Subtitle and Type of Report Author (s), Editor (s)

Contractor Prepared for U.S. Nuclear Regulatory Commiselon FOREIGN INFORMAtlON Th cont .ns m'ormar<m iName of Compan, and Name of Subm.tter' ad en t om manda t c d sclosu re pur suant to 10CFR Part 9 WITHHOLD FROM PU8uC DISCLOSURE 15.gwkne fitie and OW e' iDate' PROPRIETARY INFORM ATION

)

Approved : August 29, 1984 40

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V t

EXHIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION

,e l

l l

l PROPRIETARY INFORM ATION i

43 Approved: August 29, 1984 l I

'l,

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

.I EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREGICR-XXXX (P)

Title Subtitle and Type of Report ete Pu mon h, y el AuthoHel. Editorial e P h. Yearl Authortst Editortst Contractor name and address Prepared for i Divleion i Office U.S. Nuclear Regulatory Commission Washington, D.C. 20666 NRC FIN No.

FOREIGN INFORM ATION su o NRC iName of Company and Name of Subm.tteer which as descr**d m 10CFR 2 790 (dif2) andise t r atory pubhc disclosure WITHHOLD FROM PUBLIC DISCLOSURE is.gnaiuee titie and OWei <Date.

PROPRIETARY INFORM ATION

.h Approved: August 29, 1984 42

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annandiv 3907 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREGlCR-XXXX (SG)

Title Subtitle and Type of Report Author (s). Editor (s)

Contractor uclear Regulatory Commiselon i

l E*J%"."l%'Is U.T.L"Tv' * ""'

m.~n u,.no. ... no...,

73 21 to Of SAFEGUARDS INFORMATION t

45 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

} i EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION NOTICE THE ATTACHED DOCUMENT CONTAINS " PROPRIETARY INFOR-MATION" AND SHOULD 8E NANDLED AS NRC " OFFICIAL USE ONLY" INFORM ATION. IT SHOULD NOT BE DISCUSSED OR MADE AVAILABLE TO ANY PERSON NOT REQUIRING SUCH INFORMA-TION IN THE CONDUCT OF OFFICIAL SUSINESS AND SHOULD BE STORED. TR ANSFERRED. AND DISPOSED OF OY EACH RECIPIENT IN A MANNER WHICH WILL ASSURE THAT ITS CONTENTS ARE NOT MADE AVAILABLE TO UNAUTHORIZED PERSONS.

COPY, DOCKET NO.

CONTROL.

REPORT.

REC'D W/LTR DTD.

PROPRIETARY INFORMATION Awov.s. D.c me= io, isso

}

Approved: August 29, 1984 44

PUBLICATION OF TECHNICAL REPORTS PREPARED BY' NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V 8

EXHlBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION l

S AFEGUARDS INFORMATION I

47 Approved : August 29, 1984

a .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

)

EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREGICR XXXX (SG)

Title Subtitle and Type of Report 5.'I."Eu"mYEEm.'E*$

2%2'o'.%L.e.

d ji*f.W'n cl ug commi.. ion I

1 1

SAFEGUARDS INFORM ATION j l

1

.I Approved: August 29, 1984 46 l

, . . _. .-- . . _ . - -- .- .. .- - -- _ --. . . - - - 1

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

PART VI HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs that involve either or both U.S. industry and foreign governments and orga-nizations . Such involvement includes monetary contributions , information exchange, and comments on program plans and results. This is authorized in 42 U.S.C. 5801. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified information from NRC to participants. These procedures apply only to NRC-managed work not programatically funded by DOE.

The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment of informa-tion on these programs developed for NRC by NRC contractors. This can be accomplished by distribution of " Draft Preliminary Reports (or Codes)" for

, comment for a specified period of time, followed by issue as formal NUREG/CR

{ reports, with the concurrence of the participants. Specific procedures for accomplishing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the following sections. The procedures de-tailed here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers as guidance.

A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of information by a contractor shall be designated "Draf t Preliminary Report (or Code)," and shall include the cover sheet shown in Exhibit 24.

The following notice is to be printed on the bottom of the cover sheet (Exhibit 24):

NOTICE Tills DRAFT PRELIMIN ARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN Tile DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action . It has not have received patent review and may con-tain information received in confidence. Therefore, the con-tents of this report should neither be disclosed to others nor

+ 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.

40 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PITEPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTER ~ AGENCY AGREEMENTS EXHIBIT 23 1 COVER SHEET FOR A CONTRACTOR REPORT'CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION )!l 1

. w ,

C s 1 h r*.[

k.

n. 3 s

'Td SAFEGUARDS INFORMATION sg 4j .g hk) k k$$ f

r THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM g"

' "[ UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147, ATOMIC ENERGY

, ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO CIVIL OR CRIMINAL PENALTIES. /( -

[.

( k g THIS DOCUMENT PERSONS. WHEN NOT INIS USE, NOT TOBEBE IT MUST STORED LEFT IN UNATTENDED A LOCKED SECURITY STORAGE OR ACCESSIBLE TO UN 7j CONTAINER. V(.e 3 IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS -g p DOCUMENT FROM COMPROMISE, THEFT OR UNAUTHORIZED DISCLOSURE.

~

hr 5 s

4 f h SAFEGUARDS INFORMATION -

b m m a n s m w s m id Approved: August 29, 1984 48

PUBLICATIO1J OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI the appropriate periodic notation , if any, included in the title (Ex-hibit 24). They shall not be given standard report nomenclature until the NRC project manager authorizes publication as a NUREG/CR report.

At that time , the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4.

E. MAILING TO PROGRAM PARTICIPANTS The physical transmission of reports from NRC to program participants shall be handled by the Document Management Branch (DMB), Division of Technical Information and Document Control (TIDC), based on address labels of participants supplied by the project manager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.

F. SECURITY If information included in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may not be classified solely for the purpose of limiting distribution to the partici-pants.

t s

1 51 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I

This notice has been agreed to by the legal staffs of both NRC and DOE and is not to be added to or changed. Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult with the NRC legal staff.

The " Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of copies specified by the project manager (in most instances this will be fewer than 20 copies).

The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall no't 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 Service . " Premium cost mail is:

1. Express Mail, Priority Mail (First Class weighing more than 12 ounces)

2. International Exprese 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 l I

provisions of this Chapter.

D. REPORT IDENTIFIERS The "Draf t Preliminary Reports (or Codes)" will be uniquely identified )

only by the Financial Identification Number (FIN) assigned by NRC and Approved: August 29, 1984 50

g 0, PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT T0: NRC Project Manager SUBJECf: ORAFT PRELIMINARY REPORT (C0DE) ON (PROGRAM TITLE) FOR COMMENT The enclosed "Draf t Preliminary Report (Code)" is being submitted for comment.

It is our understanding that the comment period shall extend six months from the date of mailing of the draft to the participants. Upon resolution of the comments after that period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202.

00E Facility or Contractor Representative 53 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

}

EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE)

FOR COMMENT DRAFT PRELIMINARY REPORT (C0DE) FOR COMMENT FIN NO.

Title of Program Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1)

)

Prepared by (Name of DOE Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS ORAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action. It has not received patent review and may contain information received in confidence. '

Therefore, the contents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report.. )

Approved: August 29, 1984 52

- - . . - . -n -w , - - - - --

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY l NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appandix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI

)

EXIIIBIT 26 TRANSMITTAL SilEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients: Addresses on attached labels '

Method of Mailing:

/ / First Class Postal Service to U. S. addresses l I

C/ Express mail to U. S. addresses *

/-/ Air mail to foreign addresses *

/~/ Surface mail to foreign addresses (may require up to three (3) months)

Tills MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTilER SENSITIVE UNCLASSIFIED INFORMATION )

Special Instructions:

Individual Requesting Mailing:

Project Manager or liigh Authority

Enclosures:

1. Address latels

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, Priority Mail (First Class weighing more than 12 ounces)

2. International Express Mail ( Air Mail weighing more than 10 ounces)

(See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, Annex A) ,

)

54 Approved: August 29, 1984

h .

Attachment No. 3 (REVISED - 6/84)

BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS General.

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

Frequency.

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

Fonn.

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

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

Currency.

Billings may be expressed in the currency nor=lly used by the contractor in maintaining his accounting records; payments will be made in that currency. However, the U. S. dollar equivalent for all invoices paid under the contract may not exceed the total U. S. dollars authorized in the contract.

Supersession.

These instructions supersede all previous billing instructions. -

l l

INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACTS Preparation and Itemization of the Voucher. The contractor shall furnish the information set forth in the explanatory notes below. These notes are keyed to the entries on the sample voucher.

Payor's Name and Address. (1) Address the original voucher (with 2 copies) to: U.S. Nuclear Regulatory Commission, Division of Accounting and Finance, Office of Resource Management, ATTN: GOV /COM Accounts Section, Washington, D.C. 20555.

Any questions regarding vouchers yet to be paid by the NRC should be addressed to Division of Accounting (301-492-7535). Any questions regarding vouchers for which payment has been received (either in full cr partially with suspensions or disallowances) should be ad-dressed to the Contracting Officer.

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

Indicate the individual responsible for answering any questions NRC may have reaarding the invoice (name and phone number).

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

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

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

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

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

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

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

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

(1)

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

Labor Labor Hours

_Ca tegory Negotiated Cumulative Hours Billed _Ra te Total Hours 8 flied (2) Fringe Benefits - This represents fringe benefits applicable to direct labor and billed as a direct cost. Where a rate is used, indicate the rate. Frin not be identified here. ge benefits included in direct labor should (3) Direct Equipment tions list each item costin - For educational institu-ancy of more than one year.g 5500 or more, and having a life expect-institutions list each item costinFor contractors other than educationa expectancy of more than one year. g $200 or more, and having a life for which reimbursement is requested. List only those items of equipment the following (as applicable): (1) the Aitem reference shall be made to number for the specific piece of equipment listed in the property schedule of the contract; (2) the Contracting Officer's approval letter if the equipment is not covered by the property schedule; or (3) be preceded by an ast-erisk (*) if the equipment is below the approval level. Further itemization of vouchers shall only be required for items having specific limitations set forth in the contract.

(4) Materials, Supplies, and Other Expendable Items - These are consumable materials and supplies and equipment other than that _

described in (3) above.

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

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

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

t

• All costs associated with each trip must be shown in the following format: (Unless the organization's travel policy has been negotiated and approved by NRC)

Date Traveler Destination Purpose Cost From To From To

1. Airfare

2. Rental Car

3. Local Travel

4. Per Diem Days 9

5. Meals:

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

1

6. Tips, Misc.

(Itemize if more than 510,00)

(8) Subcontracts - Include all costs paid to approved subcontractors durin's billing period. This includes the details of the subcontract terms (i.e.,

cost-plus-fixed-fee, direct labor, indirect costs, travel, profit, etc.)

(9) Other - List all other direct costs by cost elements and dollar amount sepa ra tely.

(i) Indirect Costs--Overhead - Cite the formula (rate and base) in effect during the time the cost was incurred and for which reimbursement is claimed.

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

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

(k) Amount Billed for Current Period - Insert the amount billed for the major cost elements, adjustment, and adjusted amounts for the period.

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

(m)

Totalcumulative and Amounts periods.

Claimed - Insert the total amounts claimed for the current

' (n) Adjustments - This includes amounts conceded by the contractor, outstand-ing suspensions, and disapprovals subject to appeal.

(o) Grand Totals

~

s'

~~

_ ~ - , --- ------ - - - - - - '

a e

\0VCHERS FOR FURCHASES AND 5LRVICES OTHER lilAN PERSONAL SAMPLE V0UCHER Payor's Name and Address The U.S. Nuclear Regulatory Commission (a) Contract Number NRC-10-81-624 Division of Accounting and Finance (b) Title of Prvject " Study of Nuclear Waste

• Office of Resource Management Concepts, Attention: GOV /COM Accts Section Washington, D.C. 20555 Payee's Name and Address (c) Voucher Number 003 AUG CORPORATION The National Bank (d) Date Voucher Prepared 10/18/82

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

Anywhere, U.S.A. Assignee for ABC CORP. (e) Total Estimated Cost of Contract Anywhere, U.S.A. 5350,000.00 (When Payments Assigned)

Indiividual to Contract (f) Total Fixed-Fee Regarding This Voucher: S17'500.00

, Name: Harry Murphy

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

(1) Direct Labor * $2.400 56.800 (2) Fringe Benefits @ l6.5 L -

l (if computed as percentaae) 600 1.200 f

(3) Direct Equipment

• 5,000 8.000 (4) flaterials, Supplies and ~ ~ ~

Uther Expendable Items

• 2,000 4.000 (5) Premium Pay 100 150

' ~--

! (6) Consultants

• 100 100 (7) Travel - Domestic

• 200 200 i foreion *

(8) Subcontract

• 200 200

~

(9) Other Costs

• 3.000 9,000 f(i) INDIRECT COSTS '

' A) Overhead 100 $ of Total Direct Costs (Indicate Base) 513.600 $29.650 I

e i

f Subtotal 527.200 559.300 B) General A Administrative Expense 3.264 6.450 12 L of Cost Elements Nos.1-9. A

Total Costs $30.464 565.750 i (j) FIXED-FEE EARNED (Formula) __.523 1 3.400 l

(m) Total Amounts Claimed $31.937 $69.150 (n) Adj us tmen ts ~

Outstanding Suspensions

• 1.700 1.700 l (o) I; rand Totale, $30.?H7 $67.450

• (RI t)UlRI 5 SUI'l'OR1ING INFORMAT 10N. )

(M E AlTACHED. )

~ ~

DC-3 '

. / r. '

-5 w+

SAMPLE SUPPORTING INFORMATION

1) Direct Labor - $2400 Labor Labor Hours Hours Cumulative a

Category Negotiated Billed Rate Total Hours Billed Senior Engineer I 2400 100 $14.00 $1400 975 Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 $500 320 WAN

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

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

= $900.00 52000.00

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

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

7) Travel Date Traveler Destination Purpose Costs From To From To 3/1/82 3/6/82 William King Chicago Wash., Meeting with 1) Airfare $80.00 Il DC Project 2) Rental Car $15.00 l

l. Officer 4) Per Diem - 2 Days

@ $50.00 = $100.00

6) Tips, Misc. $5.00 TOTAL: $200 1

. .s

8) Subcontracts XYZ CORP. (CPFF)

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

$400.00 to Boston, MA Profit 9 7% = $200.00 TOTAL: 33000.00 (j) Fixed-Fee (Formula)

(5%)

$350,000 X 5% = $17,500 Total Fixed Fee for this Contract-

$27,200 X 5% = $1360 Fee Billed for this Period (n) Adjustments

$1700 - Indicates amount withheld from voucher #001, now approved by Contracting Officer letter 3/10/82.

I W "

,,_ ._y _y -.._- - -'N - --

7'""' Y'~ ' - - "# "

. e Attachment No. 4 June 10, 1986 Office of Resource Management Division of Automated Information Services Development, Submittal, Distribution and Documentation Requirements for Machine-Readable Contract Deliverables This document provides requirements for contractors developing software, data or other machine-readable deliverables for the Nuclear Regulatory Commission (NRC).

Its purpose is to assure that any such deliverables can be readily implemented and used on NRC equipment and can, if required, be easily disseminated or transferred to other data processing sites. This implies the use of standard software packages, programing languages, and compilers which are compatible with the NRC hardware and software environment, as well as adherence to good programming and documentation practices.

This document applies to all machine-readable deliverables for use on mirco-computers and to scientific applications for use on mainframes and minicomputers.

Requirements for non-scientific applications for use on mainframes or mini-computers are provided by the Division of Automated Information Services (RM/D) on a case-by-case basis. .

All computer applications and associated data developed under contract to the NRC or under a DOE laboratory agreement are the property of the NRC unless stated otherwise in the contract or DOE laboratory agreement. These items must be submitted to the NRC Project Officer in a machine-readable form at or before contract completion. Microcomputer software and data deliverables shall be supplied on diskette and conform to the criteria stated in Section 1 below.

Mainframe or minicomputer software and data deliverables shall be submitted on tape and conform to the criteria in Section 2 below.

All machine-readable deliverables must be accompanied by appropriate docu-mentation as specified in Sections 1, 2 and 4 below. Conversely, contractor reports citing the use of computer codes must be accompanied by said computer codes.

1. D_eliverables for Use on Microcomputers All deliverables developed for use on microcomputers must meet the following criteria unless a written waiver is obtained in advance from the NRC Project Officer and approved by RM/D.

a. Deliverables shall be submitted on diskettes.

b. All diskettes shall be capable of use on an IBM PC or compatible

, mircocomputer using one of the software packages supported by RM/D (see Table 1 attached). All programs developed for the NRC shall be written using one of the standard software packages.

c. In particular, documents (e.g., reports) submitted in machine-readable form shall be produced with IBM DisplayWrite word processing software to allow use on both NRC microcomputers and word processing equipment.

d. Failing criteria b or c above, data or text only may be provided as ASCII files in standard IBM PC diskette format.

e. All diskettes must be accompanied by documentation, including a printed copy of the disk directory, a description of each file in the directory and how it is to be used and installation instructions. Refer to section 4 for software documentation

. requirements.

No microcomputer software or hardware may be purchased by a contractor or DOE laboratory for subsequent delivery to the NRC without written concurrence in advance by the NRC Contracting Officer.

Updated information about software supported for use on NRC-accessible computer facilities and microcomputers may be obtained from the NRC ITS Support Center, (301) 492-4160 (FTS 492-4160).

2. Deliverables for Use on Mainframes or Minicomputers These requirements apply to scientific applications software and associated data deliverables intended fcr use on mainframes or minicomputers. All such deliverables must meet the following criteria unless a written waiver is obtained in advance from the NRC project manager and approved by the Division of Automated Information Services.

t

a. All new mainframe or minicomputer programs developed or converted for NRC shall be written in American Nation'al Standards (ANS)

FORTRAN (ANSI Standard X3.9-1978). ,

b. Mainframe or minicomputer programs which generate plots must do so using the Display Integrated Software System and Plotting Language (DISSPLA) or CALCOMP plot software (DISSPLA is a standard at all DOE laboratories).

c. The recommended mathematical / statistical subroutines are the international Mathematical Statistical Libraries (IMSL).

d. Proprietary software packages should be avoided except where standard readily available packages exist and are supported for use at NRC- j accessible computer facilities by the NRC ITS Support Center (see Table 1 attached). Machine-dependent and installation-specific packages and features including assembly language shall not be used.

e. Deliverables shall be submitted on tape according to the following tape format requirements:

2

- Recording: 9-track

- Density: 1600 BPI

- Internal Tape Label: M Label

- Character Code: EBCDIC or ASCII

- Record Size: FIXED RECORD LENGTH (80 char / record preferred for sourcecodewhenpossible)

- Block Size: FIXED BLOCK LENGTH (maximum = 2048 char / block)

- All files on one physical tape must each have the same number of char / record and char / block.

- Tapes mest not be generated using system-dependent copy routines.

Tapes must be made so as to be transportable from one computer system to another. This is most easily accomplished by means of a FORTRAN READ-WRITE routine rather than a system utility; however, use of IBM IEBGENER is acceptable,

f. All tapes must be accompanied by documentation, including a copy of the job that created the tape, a list of the files on the tape, a description of each file and how it is to be used, and installation instructions. Refer to section 4 for software documentation requirements.

g. Tapes shall include the following files:

Source Code - Compiler input records Sample Input - Test case input data. (The output generated by execution of the program using the sample input must also be provided in printed form.)

Data Libraries - External data files required for program execution (e. ., cross-section libraries, dose conversion factors, etc. .

Control Information - Operating system control language statements required for compilation and execution.

Optional files include object or load modules.

Questions concerning the above instructions should be addressed to the NRC Information Technology Services Support Center (FTS) 492-4160.

3 I

4 ;J

3. Distribution Distribution of contractor-developed applications software and document-ation will be performed by, or under the guidance of RM/D. RM/D will assure that programatic distribution requirements are met for public and non-public software. Under certain circumstances, an NRC contractor or DOE laboratory may distribute scientific applications software while in the development or maintenance stages provided that:

a. The required distribution activities are explicitly specified in the contract or DOE laboratory statement of work;

b. The contract or DOE laboratory agreement specifies that the software and associated documentation will be transmitted to RM/D in approved form (per sections 1, 2, and 4 of this attachment) upon termination of the contract or DOE laboratory agreement;

c. The Program Division Director has approved, in writing, the

. need for deviation from the standard distribution procedures;

d. The Director, RM/D has approved, in writing, the contract or DOE laboratory statement of work wherein the distribution activities are described.

Before release for distribution by RM/D, NRC-sponsored software must be appropriately reviewed, tested, documented and approved for release by the sponsoring NRC office. A machine-readable copy of the software and data along with appropriate documentation, distribution availability forms, and release authorization must be sent by the NRC project officer to RM/D. Copies of these forms are available fromt he ITS Support Center (301-492-4160 or FTS 492-4160).

4. Documentation All reports, including applications software documentation, shall conform to NRC Manual Chapters 3201 and 3202. Copies of these manual chapters are available from the Division of Technical Information and Document Control.

DOE laboratory staff may obtain copies from their respective technical information offices.

l In addition, the content of all scientific applications documentation shall '

conform to ANSI Standard N-413, " Guidelines for Documentation of Digital Computer Programs." The major documentation requirements included in the standard are:

! . a) Computer Program Abstract b) Application Information (User's Guide) c) Problem or Function Definition (Theoretical Development) d) Programming Information (Programer's Guide) 4

A copy of this standard may be obtained for $8.50 plus $2.00 shipping and handling from:

The American National Standards Institute 1430 Broadway New York, New York 10018 ATTN: Sales Department In addition to conforming to ANSI Standard N-413, documentation for some applications may be required to conform to FIPS Pub 38 (02/12/78),

" Documentation of Computer Programs and Automated Systems" and/or meet other requirements of the sponsoring office. Applicability of any additional requirements will be determined by the NRC Project Officer.

Each program developed for the Nuclear Regulatory Commission shall include the following program title block and disclaimer in the main program:

Program

Title:

Developed for: U.S. Nuclear Regulatory Commission Office of (fill in NRC Office)

Division of (fill in NRC Division)

Date:

NRCContact(s): Phone:

Code Developer: Phone:

Title (s) of Associated Documentation and NUREG Number (s):

This program was prepared for an agency of the United States Government.

Neither the United States Government nor any agency thereof, nor 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 portion of this program or represents that its use by such third party would not infringe privately owned rights.

l 4

l 5

i

i w  %

Updatzd August 1986 Table 1. NRC Supported Software MAINFRAME SOFTWARE:

Brookhaven National Laboratory Computer System N05/BE Operating System for CDC 6600 SCOPE 2.1 Operating System for CDC 7600 INTERCOM Text Editor / Command Language UPDATE Text Editor Utility FORTRAN 5* Programming Language CALCOMP Graphics DISSPLA Graphics IMSL Math / Statistical Subroutines Idaho National Energy Laboratories Computer System NOS Operating System for CYBER 176 FSE Text Editor XEDIT Text Editor UPDATE Text Editor Utility FORTRAN 5* Programming Language DISSPLA Graphics IMSL Math / Statistical Subroutines National Institutes of Health Computer System OS/MVS Operating System for IBM 3081 TSO Command Language WYLBUR Text Editor / Command Language VS FORTRAN

• Programming Language DISSPLA Graphics TELL-A-G RAF Graphics F0ILS Word Charts for Overhead Projection MARK IV File Management / Report Generator SYSTEM 2000 Data Base Management System (Reports and Queries only)

RAMIS II Data Base Management System (Reports and Queries only)

UCFTP Communications (PC's)

IMSL Math / Statistical Subroutines Oak Ridge National Laboratory Computer System OS/MVS Operating System FORTRAN H Programming Language VS FORTRAN

• Programming Language

• Adheres to current ANSI Standard for FORTRAN (FORTRAN 77)

NOTE: This list of software is changed periodically. For an updated list, call the Information Technology Services Support Center (301) 492-4160 or (FTS) 492-4160.

6

~;7 ,

Updated August 1986 NRC Supported Software (continued)

MINICOMPUTER SOFTWARE:

NRC Data General MV/8000 Command Language Interface CLI SED Text Editor SPEED Text Editor BASIC Programming Language FORTRAN 77* Programming Language SSl* CALC Spreadsheet IMSL Math / Statistical Subroutines MICROCOMPUTER SOFTWARE:

IBM PC 005 & BASIC Operating System, language COMPAQ MS-DOS & BASIC Operating System, language IBM BASIC Compiler Programming Language IBM FORTRAN Compiler Programming Language IBM DisplayWrite Word Processor IBM DisplayComm WP Communications IBM 5520 Attachment Program- 5520 Terminal Emulation Microstuf CROSSTALK Communications Persoft Smarterm DG Terminal Emulation LOTUS 1-2-3 Spreadsheet Data Base Management Ashton-Tate dBASE III Westminister Software Pertmaster Project Management Decision Resources Chartmaster Graphics Decision Resources Signmaster Graphics Borland International Multi-purpose Utility Sidekick

• Adheres to current ANSI Standard for FORTRAN 77.

7

_ - , = _ _ - _ - . _ _ . -