ML20209H598
| ML20209H598 | |
| Person / Time | |
|---|---|
| Issue date: | 04/24/1987 |
| From: | Fleming P, Thompson R NRC, SCIENCE & ENGINEERING ASSOCIATES, INC. |
| To: | |
| Shared Package | |
| ML20209H576 | List: |
| References | |
| CON-FIN-D-1216, CON-NRC-33-87-223 NUDOCS 8705040057 | |
| Download: ML20209H598 (127) | |
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NE-0,Id7-086 April 24, 1987 RFPA NO. ORM-87-223 IIIsU%D tt 6i ADMIN 6%II.NL D D V ,l/ sehe, shoo lsene A A l
U.S.huclearRegulatory[oNi[ssion Division of Contracts l
Washington, DC 20555 i
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Attn: Mr. Gregory R. Woods, President G $c" N a '* 0** 'i^* * '
P.O. Box 3722 Albequerque, New Mexico 87190 10 SunMif INVOiCal v 4 ,., . . . . , =, ,. I4TW i,. .mer.,4,foYNt g'a CODr t ACit if v coor ADORE f.S SHOV/N IN Bl.5 histo /MA% F OH l#, PAYMENT W6LL BE MADE WV U.S. Nuclear Regulatory Commission F2 Div. of Accounting & Finance, Office of Resource KAuf,ho n y e oe.wNa'ot..winA>.powAsseetgeown vi -
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B&R No. 60-19-04 APPRO. 31X0200.607 D iousC nown i 0 4i use men i FIN No. 0 1216 00LIG. AMT. $255,000.00 It.A, lti M NO ttfl SUPPLit S/St HviCil itC OUANtifY tt,0 Unit IM UNif PMiCf ISF AMOUNT SERVICES TO PERf0RM " ENGINEERING COSGNALYSESOFPROPOSED CHANGES Funding wil' IN NRC'S REGULATORY REQUIREMENTS HAVING ECONOMIC CONSEQUENCES" IN be specifici ACCN DANCE WITH THE STATEMENT OF WOM HEREIN AND AS FURTHE R IPPLEMENTI D in each DY :.CIENCE & ENGINEERING ASSOCIATES, INC.'S TECHNICr1 AND COST PROPOSALS individual 87 791 DATED DECEMBER 29, 1986. AND AS AMENDED BY REVIS10k DATED Task Order FEDRUARY 26, 1987 WHICH ARE INCORPOMTED HEREIN DY REFERENCE. Issued.
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F s e - s.h ORM-87-223 Page 2
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Section B - Supplies or Services and Prices / Costs 0.1 Brief Description of Work The contractor shall provide services for cost analyses to identify, derive and analyze the economic irrpact of proposed changes in regulatory recuirements and the costs to licensees of replacement power when a plant is shut down. However, other costs associated with a proposed modification to a license will also be analyzed. The products resulting from this contract will be an input to decisions on whether or not changes to NRC's regulatory requirements should be adopted.
P.2 Cost and Fee information (Offeror should provide cost infomation in accordance with instructions provided in Section L. herein. The estimates provided herein are for estimation purposes only. The contract will contain an overall cost ceiling whereby individually negotiated and resultanttaskorderswillalsocontaincostceilings).
The cost ceiling for this contract is $604,807.00.
D.3 Remittance Address
!f item 15c of the Standard Form 33 has been checked, the offeror shall enter the remittance address below.
Name:
Addresst, Section C Description / Specifications / Work Statement C.1 Statement of Work C.I.1 Rackaround The U.S. Nuclear Regulatory Comission (NRC) is responsible for the protection of the public health and safety in the civilian use of nuclear power and nuclear materials. In the pursuit of this mission, the NRC imposes regulatory requirements from time to time on the nuclear industry to improve the safety of licensed activities.
Because new regulatory requirerents may be expensive for licensees to
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ORM-87-223 page 3 y
implement, the NRC analyzes the costs and benefits of possible new regulatory requirements. The results of the analyses have an important bearing on the likelihood that a regulatory requirement will be issued.
The NRC staff office which proposes a new regulatory requirement is responsible for its cost and benefit analysis. However, an independent NRC office also either performs or evaluates the cost elements for cost / benefit analyses, derives cost estimates for generic application, and maintains an index of relevant cost data.
C.1.2 Objective The objective of this cost analysis is to identify and analyze the costs in monetary terns of proposed changes in NRC regulatory requirements having economic consequences. The resulting costs analyses will be an input to decisions on whether or not changes should be required.
C.1.3 Scope of Work The contractor shall supply the personnel, materials, transportation erd facilities necessary to provide services ordered by the NRC under individual task assigreents. Work to be performed will be described in task orders which will specify the services to be provided, deliverables, schedules and resources.
C.1.4 Elements of Costs for the Analyses After the type, extent, and durations of the impacts have been determined by the contractor, cost estimates shall be made by the contractor, when applicable of the following:
- 1. Approach and Method
- a. The tasks iray require the development or validation of:
- generic cost factorst
- perfonnance objectives fwithout technical specificationsprovided);
- alternatives for satisfying a regulatory change (withtechnicalspecificationsprovided) or
- pre-existing cost analyses
- b. Analyses shall cover all impacts of a regulatory change, covering individual as well as classes of plants or other i regulated activities. After the type, extent, and duration i of the impacts have been determined by the contractor, cost i estirnates shall be mado, when applicable, of: '
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r e _b ORM-87-223 Page 4
- 1. Replacement power in the case of nuclear power plants, based, for example on:
- downtime of a plant if modifications cannot be made during scheduled outages;
- available replacement power under the centrol of the affected utility or utilities; within the inter-utility grid to which the utility or utilities belong; and within a region of the country P. Impact on the socio-economic condition of the comunity affected by a shutdown, based for example on:
- employment;
- property values;
- other business activity 3.
The (directinitial and(capital))and indirect oflong-term materials(operations) and labor tocosts the licensee, baseo, for example on the need for:
- engineering design and testing of components and systemstobeinstalled(i.e., structures, pipes,and valves, electrical equipment)
- procurement, installation, operation and maintenance of components and systems;
- integration with other proposed requirements;
- operating procedures, training curricula and documentation necessary to operate newly-installed components and systems;
- 4. Information collection
- 5. Radiation exposure to workers, based, for example, on:
- number and types of workers that are likely to be exposed to radiation; i
- total number of man-rems likely to be received by workers; maximum number of rems likely to be received by any single worker as well as the number likely to be received in a single calendar quarter
- 6. Other firms (vendors, licensee suppliers, contractors, including any significant impact on small businesses) 1 l
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ORM-87-223 Page 5 i.
- 7. The impact on government entities, such as to
- NRC and other Federal agencies;
- state and local agencies Costs should be expressed in monetary terms, using present value with a real discount rate provided by the NRC, and using constant dollars.
Tasks may require sensitivity analysis of real discount rates.
Costs should be established per year per current or future regulated activity, and then sunred over the remaining lifetimes for all affected activities. For reactors, costs will usually differ among classes of plants, on some defined basis. The costs to be estimated will be limited to those that would be incurred by the regulatory change. The contractor shall document the sources of cost data and the methods used for deriving cost estimates.*
The specific factors to be considered for these types of analyses cannot be determined until a specific task has been identified.
Specific guidelines and relevant documentation will be provided to the contractor when each task is assigned.
C.2 Reference Guidance The following references are relevant to this RFP, and are available in the NRC Public Document Room.
Reference 1: NUREG/BR-0058 Regulatory Analysis Guidelines of the United States Nuclear Regulatory Commission Peference 2: NUREG/CR-3568, Handbook of Value-Irrpact Assessment Reference 3: NUREG/CR-3971, A Handbook For Cost Estimating Reference 4: NUREG/CR-4627, Generic Cost Catalogue Reference 5: NUREG/CR-4568, Quick Cost Handbook Reference 6: NUREG/CR-4012, Replacement Energy Costs for Nuclear Electricity-Generating Unit in the United States
- Citations must be from publicly retrievable materials or must be designated proprietary information. In the latter case, there should be reference to any non-proprietary versions that are publicly available. The form of the citations mey follow any standard practice.
Any materials or portions of materials that are proprietary shall be so identified. If not so identified, the NRC assumes no liability for disclosure or use of unmarked data. Any materials identified as proprietery shall also state the basis for such.
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C.3 Meetings and Travel Specific requirements for meetings and travel shall be specified in each task order issued under the contract'. In the event that the NRC determines that a task assignment is complex and/or urgent, the contractor's key personnel shall meet with the NRC Project Officer and others to be designated at NRC's discretion at the NRC Office in Bethesda, Maryland within twenty-four (24) hours of the Contracting Officer's oral notice.
C.4 Level of Effort The NRC's estimate of the level of technical effort for this project is approximately 5 staff-years. NOTE: For estimating purposes a Government Staff Year equals 2,080 Hours. It is estimated that the level of effort for the work outlined for the 30 month period of performance is one task assigned every two months and each task will average 12 chronological weeks to complete and require 17 staff weeks of effort. This effort could vary substantially from task to task.
This information is advisory and is not to be considered as the sole basis for the development of your staffing plans.
Section D - Packaging and Marking D.1 Packaging and Marking The Contractor shall use standard commercial packaging for all reports l to be delivered unless specified otherwise. ,
Section E - Ir.spection and Acceptance E.1 FAR Citations 52.246-5 INSPECTION OF SERVICES--COST-REIMBURSEMENT. (APR1984)
(a) Definition. " Services," as used in this clause, includes services performed, workmanship, and material furnished or used in perfonning services.
(b) The Contractor shall provide and maintain an inspection system i acceptable to the Government covering the services under this contract.
Complete records of all inspection work performed by the Contractor shall be l
maintained and made available to the Government during contract performance and for as long afterwards as the contract requires, 1
(c) The Government has the right to inspect and test all services called for by the contract, tc the extent practicable at all places and times during the term of the contract. The Government shall perform inspections and tests in a manner that will not unduly delay the work.
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I ORM-87-223 Page 7 (d) If any of the services performed do not conform with contract requirements, the Government may require the Contractor to perform the services agair in conformity with contract requirements, for no additional fee. When the defects in services cannot be correctd by reperfomance, the Government may (1) require the Contractor to take necessary action to ensure that future performance conforms to contract requirements and (2) reduce any fee payable under the contract to reflect the reduced value of the services performed.
(e) If the Contractor fails to promptly perform the services again or take the action necessary to ensure future performance in conformity with contract requirements, the Government may (1) by contract or otherwise, perform the services and reduce any fee payable by an amount that is equitabic under the circumstances or (2) terminate the contract for default.
(End of clause)
(R 7-1909.5 1971 Nov.)
E.2 Place of Inspection and Acceptance A. 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 All deliverables required hereunder shall be in accordance with the delivery requirements of Section F and as specified with each task orde rs.
The following instructions apply unless modified by the Statement of Work of a specific task:
- 1. Project Status Section A. Task Work Plan, in one (1) copy to the NRC Project Officer and one (1) copy to the NRC Contracting Officer for each task assigned, within three (3) working days of receipt of task order. (See Task Order Procedures herein). The plan of work and method shall identify a set of project milestones, and shall be accompanied by a brief narrative description and estimate of expenses.
B. Monthly Task Letter Report, in six (6) copies to the NRC Project Officer and one (1) copy to the NRC Contracting Officer, shall be submitted for any task that is scheduled for one (1) month or longer. The letter report, due within five (5) days after the reporting month, shall include, but not be limited to, the following:
- a. Actual expenditures during the reporting and cumulative to date, and projected expenditures for the succeeding month;
, y ORM-87-223 Page 8
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- b. Brief description of the work accomplished in the month and projected activity for the next month;
- c. Preliminary or interim results, conclusions or trends or other items thought by the contractor or the NRC Project officer to be of interest to the NRC;
- d. Any problems or delays which may have been experienced or can be foreseen and specific recommendation for action.
C. Final Task Reports, for each task assigned, in six (6) copies to the NRC Project Officer and one (1) copy to the NRC Contracting Officer will, as a minicum:
- contain the financial (FIN) number and contract number assigned to the contact,
- restate the task to which the Final Task Report is
, responding,
- list the assumptions used in the analysis,
- itenize the factors needing to be costed.
- state any caveats regarding methods, data availability or other matters which apply to each factor,
- report the cost estimate (or range of estimates if necessary), and
- include in an appendix computations that may be needed for explanation or illustration and a bibliography of data
! sources.
The Final Task Report shall be of such a caliber and written in such a way that scientists and engineers may understand and use the results 1 as the cost component to a cost / benefit analysis, leading to a decision on whether or not to impose the proposed requirement on NRC
, licensees.
A draft version of a Final Task Report, in six (6) copies to the Project Officer, shall be submitted ten days, at the latest prior to the completion of the task. (The NRC Project Officer will furnish comments on the draft Final Task Report approximately five (5) working days after receipt of the draft. The contractor will furnish the Final Report within five (5) working days of the receipt of the NRC coments. )
- 2. Financial Status Section Provide the total direct staff use and the amount of funds expended (costed) during the period and total cumulative year to date in the following categories.
e 3 ORM-87-223 Page 9 Year Current to Month Date I. Direct Staff Effort (months of charged effort) XXX XXX II. Direct Salaries $ XX $ XX Materials and Services XX XX (excludingADP)
ADP Support XX XX Subcontracts XX XX Travel XX XX Indirect Labor Cost XX XX Other (specify) XX XX General and Administrative Expense XX XX Total Costs $ XX $ XX III. Funding Status:
Provide the prior year carryover, the current . fiscal year l
funding level as reflected in the Task Order proposal, funds received to date for the current fiscal year, and the balance of funding needed for the current fiscal year as follows:
Prior FY FY8 Projected FYS Funds FY8~
Funding Carryover Fun' ding Level rep d to Date Bal Needed
" XX 5 XX 5 XX 5 XX Task Order No.
- 3. Fee Recovery Cost Status Section Pursuant to the provisions of NRC Regulation 10 CFR 170, provide the total amount of funds expended (costed) during the period and cumulative to date for each task (e.g., by facility, by Division or report), and report them on a separate page as part of this report in the format on the following page:
1
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TITLE:
PERIOD:
Planned Accomplish- Cos ts Facility Name/ Docket ment per Cumulative Costs Report Title Number Number Period This Fiscal Year Task 1 Task NOTE: If there exists a task under this project that is relevant and common
- to several other tasks and the effort is required in order to perform the reviews, the costs for the common effort must be prorated to each review to which it applies.
- Common costs, i.e., fee-recoverable costs for services necessary for overall task performance that benefit all similar licensees within c single task, will be reported in the monthly letter status report as a single line item for each task and accrued on a monthly basis. Common costs include the following: preparatory or startup efforts to interpret and reach agreement on methodology, approach, acceptance criteria, regulatory position, or TER format; efforts associated with the " lead plant" concept that might be involved during the first one i or two plant reviews as estimated by the contractor; neetings/ discussions involving the above efforts to provide orientation, background knowledge, or guidance at the beginning or ,
during the performance of work; and any technical effort applied to a ;
category of facilities, e.g., reactor analyses or all BWR facilities.
At task completion or the end of the fiscal year, whichever occurs first, cumulative common costs are to be apportioned by the contractor to affected licensee by either of the following methods: (1) equally ,
tc all licensees, or (2) in proportion to costs incurred during the apportioning period. The specific method will be determined by the hRR Technical Assistance Project Officer.
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F.2 Place of Delivery The items to be furnished hereunder shall be delivered, with all transportation charges paid by the Contractor, to:
U.S. Nuclear Regulatory Commission Attn: Sid Feld Office of Nuclear Regulatory Research Mail Stop: NL-007 Washington, D.C. 20555
- ProjectOfficer(2 copies)
Division of Contracts (1 copy)
Contracting Officer (1 copy)
F.3 Duration of Contract Period The period of performance hereunder shall comence on the effective date of this contract and continue for 30 months thereafter. Any task orders issued during the period of perfomance of the contract and not completed by the expiration of the contract period shall be completed within the time specified by the individual task order.
Section G - Contract Administration Data G.1 Contract Ceiling Amount The total amount of this contract for the delivery and acceptance of the products / services stipulated in Section B is $604,807.00. The amount of funds available for performance under this contract is
$255,000.00. The contractor agrees to perform the work specified in the schedule and ali obligations under this contract within the ceiling price. The ceiling may be increased by the Contracting Officer at his/her discretion from time to time by written notice to the contractor. Each task order shall be subject to the Limitation of Cost Clause herein, FAR 52.232-20.
G.2 Overhead / General and Administrative Rates A. Pending the establishment of final overhead rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs hereunder at the '
provisional rate of 78% of Direct Labor Costs. I B. Pending the establi;,hment of final general and administrative rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs hereunder at the provisional rate of 15% of Total Direct Costs.
C. Pending the establishment of final Fringe Benefit rates which shall be regotiated based on audit of actual costs, the contractor shall be reimbursed for allowable indirect costs hereunder at a provisional rate of 35.5% of Direct Labor Costs.
. A ORM-87-223 Page 12 D. Notwithstanding A., B., and C. of this Section, said provisional overhead and G&A rates may be adjusted as appropriate during the term of the contract upon the acceptance of such revised rates by the Contracting Officer.
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 Part III, Section J.
G.4 Technical Direction I A. Perfonnance 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. The term " Technical Direction" is defined to include the following:
- 1. Technical direction to the Contractor which shifts work emphasis between areas of work or tasks, 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 )
i description, i l
- 3. Review and where required by the contract, approval of I technical reports, drawings, specifications and technical {
information to be delivered by the Contractor to the Government under the contract.
B. Technical direction must be within the general scope of work stated in the contract. The Project Officer does not have the authority to and may not issue any technical direction which:
- 1. Constitutes an assignment of additional work outside the general scope of the contract.
- 2. Constitutes a change as defined in the clause of the General Provisions, entitled " Changes."
- 3. In any way causes an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the time required for contract performance.
4 Changes any of the expressed terms, conditions or specifications of the contract.
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ORM-87-223 Page 13 C. ALL TECHNICAL DIRECTIONS SHALL BE ISSUED IN WRITING BY THE PROJECT OFFICER OR SHALL BE CONFIRMED BY SUCH PERSON IN WRITING WITHIN TEN (10) WORKING DAYS AFTER VEPBAL ISSUANCE. A copy of said written direction shall be submitted to the Contracting Officer.
The Contractor shall proceed promptly with the perfomance of technical directions duly issued by the Project Officer in the manner prescribed by this article and within such person's authority under the provisions of this article.
If, in the opinion of the Contractor, any instructico or direction issued by the Project Officer is within one of the categories as defined in B(1) through (4). above. the Contractor shall not proceed but shall notify the Contracting Officer in writing within. five (5) working days after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the Contractor, the Contracting Officer shall i issue .an appropriate contract modification. or advise the Contractor in writing that, in the Contracting Officer's opinion. -
the technical direction is within the scope of this article and does not constitute a change under the Changes Clause.
D. Any unauthorized commitment or direction issued by the Project l Officer may result in an unnecessary delay in the Contractor's performance, and may even result in the Contractor expending i funds for unallowable costs under the contract.
E. A failure on the parties to agree upon the nature of the instruction oi direction or upon the contract action to be taken with respect 'thereto shall be subject to the provisions of the contract claum entitled " Disputes."
G.5 Project Officer ;
A. Theindividual)s)listedin"B"belowis(are)herebydesignated as the Cortracting Officer's authorized representative (hereinafter Q11ed Project Officer) for technical aspects of this contract. The Project Officer is not authorized to approve or request anj action which results in or could result in an increase in cvntract cost; or terminate, settle any claim or dispute arisi@ under the contract, or issue any unilateral directive whatever.
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ORM-87-223
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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) perfoming 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 perfomance. Within the purview of this authority, the Project Officer is authorized to review all costs requested for reimbursement by Contractors and submit reconsnendations for approval, disapproval, or suspension for supplies / services required under the contract. The Contracting Officer is responsible for. directing or negotiating any changes in tems , conditions, or amounts cited in the centract.
For guidance from the Project Officer to the Contractor to be valid, it must: (1) be consistent with the description of work set forth in the contract; (2) not constitute new assignment of work or change to the expressed terms, conditions or specifications incorporated into this contract; (3) not constitute a basis for an extension to the period of performance or contract delivery schedule; and, as stated above, (4) not
! constitute a basis for any increase in the centract cost.
B. Name and Mail Code: Sid Feld Office Address: Office of Nuclear Regulatory Research l Telephone Number: (301) 492-7340
!
- To be incorporated into any resultant contract G.6 Travel Reimbursement
- a. The Contractor will be reimbursed for reasonable domestic travel I costs incurred directly and specifically in the performance of '
i 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 Conterminous United States (CONUS), the standard CONUS rate, the allowance for meals and incidental expenses (M&IE), the cost of travel by privately owned automobile, and the items which require receipts. The Contractor can obtain the Regulations from the Superintendent of Documents, Government Prir. ting Office,
. Washington, DC 20402
- b. When the Government changes the Federal Trade Regulations, it is the responsibility of the Contractor to notify the Contracting Officer in accordance with the Limitation of Cost clause of this 4 contract if the Contracter will be unable to make all of the ,
i approved trips and remain within the cost and fee limitations of l this contract.
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- c. Foreign travel must be approved in advance by the Commission on NRC Fom 445 and comply with the requirements of FAR clause 52.247-63 " Preference for U.S. Flag Air Carriers." The rates for foreign travel are established by the U.S. Department of State and are listed in a publication entitled " Maximum Travel Per Ofem Allowances For Foreign Areas". Copies of this publication may be obtained f rom U.S. Government Printing Office, Washington, DC 20402.
G.7 Payment Due Date (a) Payments under this contract will be due 30 calendar days after the later of:
(1) The date of actual receipt of a proper invoice (original and 4 copies) to:
U.S. Nuclear Regulatory Comission 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 detennining 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 caluse 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.
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l G.8 Invoice Requirements l Invoices shall be submitted in an original and 4 copies to:
U.S. Nuclear Regulatory Commission ,
Division of Accounting and Finance Office of Resource Management ATTN: GOV /COM Accounts Section
- Washington, D.C. 20555. ;
To constitute a proper invoice, the invoice must include the following 't
- information and/or attached documentation
(1) Name of the business concern and invoice date.
(2) Contract number or other authorization for delivery of propertV or services.
l (3) Description price and quantity of property and services actually delivered or rendered.
(4) Shipping and payment terms.
i (5) Name (where practicable), title, phone number, and complete mailing address of responsible official to whom payment is to be sent.
j (6) Other substantiating documentation or information as required by the contract, i
- G.9 Interest on Overdue Payments i
i (a) The Prompt Payment Act, Public Law 97-177 (96 STAT. 85, 31 USC 1801) is applicable to payment of the expiration invoice under i
this contract and requires the payment of interest to Contractors on overdue payments 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 Office of Management and Budget Circular A-125, Vol. 47 Federal Register 37321, August 25, 1982. Among other considerations, OMB Circular A-125 provides that:
(1) Interest penalties are not required when payment is delayed because of a disagreement over the amount of payment or other issues concerning -compliance with the terms of the contract.
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. y ORM-87-223 Page 17 i
(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.
G.10 Task Order Procedures
- 1. Task Orders for services under this contract shall be issued at tne sole option of the NRC, and it is understood that NRC undertakes nc obligation to issue task orders hereunder beyond the guaranteed minimum amount specified in Section I., " Minimum and Maximum Contract Amount." Additionally, NRC reserves the right to withdraw a proposed task order at any time prior to its formal award. Only Contracting Gfficers of the U.S. Nuclear Regulatory Commission may authorize the initiation of work under this contract. The provisions of this contract shall govern all task orders issued hereunder.
- 2. Request for Proposal For each task order issued, the Contracting Officer will transmit to the contractor a written letter task order request for proposal. That task order request for proposal will specify all pertinent information regarding the work to be perfonned including the following, as applicable:
- 1. Scope of Work / Meetings / Travel and Deliverables
- 2. Reporting Requirements
- 3. Period of Performance - Place of Performance
- 4. Applicable Special Provisions
- 5. Technical Skills Required
- 6. Estinated Level of Effort
- 3. Technical Proposal By the date specified in the task order request for proposal (from three (3) to five (5) working days), the contractor shall deliver to the NRC Contracting Officer with a copy to the Technical Assistance Project Officer a written technical task order proposal that provides, when applicable, the following:
- 1. A discussion of the scope of work requirements to substantiate the contractor's understanding of the requirements of the task order and his proposed method of approach to ncet the objective of the order.
.s ORM-87-223 Page 18
- 2. Resumes for professional personnel proposed to be utilized in the performance of any resulting task order if_ not previously provided. Include educational background, specific pertinent work experience and a 11st of any pertinent publications authored by the individual.
- 3. Identification of administrative support personnel and/or facilities that are needed to assist the professional personnel in completing work on the task order.
- 4. Identification of " Key Personnel" and the number of staff hours that will be committed to completion of work on the task order.
- 5. Description of any significant former or current contractual and organizational relationships of the offeror, its employees, consultants or expected subcontractor (s), with industries regulated by the NRC, e.g., utilities, etc., and suppliers thereof, e.g., architect engineers, reactor manufacturers, or applicants / licensees, etc., that might give rise to an apparent or actual conflict of interest in the event of issuance of a particular task order.
A negative statement, if applicable, is required to be submitted.
4 Cost Proposal The contractor shall also submit a cost proposal with each task order technical proposal, utilizing the Standard Form 1411, Contract Pricing Proposal. Each task order cost proposal shall be fully supported by the cost and pricing data adequate to establish the reasonableness of the proposed amounts, including:
- 1. Direct labor by categories, quantity of bours and applicable hourly rates and extensions hereof
- 2. Indirect cost rates, bases, and extensions thereof -
- 3. Itemized material costs, when applicable 4 Itemized travel costs, when applicable
- 5. Total estimated cost ;
- 6. Fixed fee (to be negotiated per task) l 4
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3 ORM-87-223 Page 19
- 5. Task Order Award Following negotiation of the contractor's task order proposal, the NRC Contracting Officer will issue a formal, definitized task order to include the following as applicable:
- 1. Statement of Work and Deliverables
- 2. Period of Performance
- 3. Name of Lead Engineer
- 4. Reporting Requirements
- 5. Total Estimated Cost and Obligations
- 6. Applicable Security Requirements and/or Privacy Act l
Considerations
- 7. Special Terms and Conditions l
- 8. Lead Personnel
- 6. Accelerated Procedure The contractor normally shall not commence work prior to receipt of a definitized task order signed by the NRC Contracting Officer. However, in some circumstances, it may be necessary for the contractor to consnence work before he has submitted his 1 proposal and before a final cost has been agreed upon and a definitized task order is issued. Accordingly, when the NRC Contracting Officer so authorizes, the contractor shall, within
- 4 hours (or as otherwise stated) of receipt of verbal task order request for proposal, proceed with the work subject to an agreeable limitation (based on telephone negotiations).
Where the contractor is authorized as indicated above to commence work prior to the definitization of a task order, the NRC Contracting Officer, within 30 days or such additional period as may be mutually agreed upon after receipt of the contractor's proposal, shall either:
- 1. Notify the contractor of the need for further negotiations.
When an agreement on cost is reached, the NRC Contracting Officer shall then definitize the task order.
- 2. Definitize the task order, thereby accepting the contractor's proposed price.
- 3. Terminate the task order either in part or in its entirety in accordance with the termination clauses of this contract.
o 4 ORM-87-223 Page 20
- 7. Task Order Ceiling Each task order will be subject to the Limitation of Cost Clause (Section I, 52.232-20) or Limitation of Funds clause (52.232-22) as applicable.
" Minimum and Maximum Contract Amount" During the life of this contract, the Government shall place orders totalling a minimum of .50 staff years of effort. Total-orders placed during the life of the contract shall not exceed 7.0 staff years of effort. For the purposes of this contract, a staff year is defined as 2080 hours0.0241 days <br />0.578 hours <br />0.00344 weeks <br />7.9144e-4 months <br /> per year of both professional and non-professional labor.
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.
- SEA MATHTEC (SUB)
Eddie Claiborne, Project Director Barrett Riordan Robert Clark Frank Sciacca SC&A (SUB)
Sanford Cohen The Contractor agrees that such personnel shall not be removed fran the contract work or replaced without compliance with paragraphs (b) and (c) hereof.
(b) If one or more of the key personnel for whatever reason becomes, or is expected to become, unaveilable 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 innediately 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 Centracting Officer or needed by him to approve or disapprove the proposed substitution. The Contracting Officer or his authorized representative will evaluate such requests and promptly notify the Contractor of his approval or disapproval thereof in writing.
ORM-87-223 Page 21 (d) If the Contracting Officer determines that suitable and timely replacement of key personnel who have been reassigned, tenninated or have otherwise becon.e 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 Com parable Empicyment Services of Contractor Employees (OMB Clearance humber 3150-0112)
The Contractor shall require all employees who are employed full-tirre (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 com received under terms of a contract with the Commission)pensation 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 chall 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 Commission except with the prior approval of the Contractor.
H.3 Safety, Health, and Fire Protection The Contractor shall take all reasonable precautions in the perfonrtr.ce of the work under this contract tc 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 requirefrents) of the Commission and the Department cf Labor. In the event that the Contractor fails to comply 4
with said regulations or requirements, the Contracting Officer may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the discretion of the Contracting Officer. The Contractor shall make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage.
, . 6 ORM-87-223 Page 22 H.4 Dissemination of Contract Information (0MB Clearance Number 3150-0112)
The Contractor shall not publish, permit to be published, or disseminate to the public any information, oral or written, concerning the work perfomed under this contract without the prior written consent of the Contracting Officer. Two copies of any information proposed to be published or disseminated shall be submitted to the Contracting Officer. Failure to comply with this clause shall be grounds for termination of this contract.
H.5 Private Use of Contract Information and Data Except as otherwise specifically authorized by Section H., publication of contract work of this contract, or es othemise approved by the Contracting Officer, information and other data developed or acquired by or furnished the Contractor in the performance of this contract, shall be used only in connection with the work under this contract.
H.6 Drawings, Designs, 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 i foregoing relating to the work or any part thereto, 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 subcontractors), shall be the property of the Government and may be used by the Government for cry 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 Contrector either as the Contracting Officer may from time to time direct ouring the progress of the work or in any event as the Contracting Officer shall direct upon completion or termination of this contract. The Contractor's right of retention and use shall be subject to the security, patent, and use of infomation provisions, if any, of this contract.
H.7 Proprietary Data and Confidential Infomation In connection with the performance of the work under this contract, the Contractor may be furnished, or may develop or acquire, proprietary data (trace 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 otbcr information which has ,
not been released to the public or has been determined by the Commission to be otherwise exempt from disclosure to the public. j Contractor agrees to hold such information in confidence and not to ,
directly or indirectly duplicate, disseninate, or disclose such information in whole or in part to any other person or organization ;
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except as may be necessary to perform the work under this contract.
Contractor agrees to return such infomation to the Commission or
- otherwise dispose of it either as the Contracting Officer may from time tc 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 termination of this contract.
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! H.E Security (0MB Clearance Number 3150-0112) !
i j (a) It is the Contractor's duty to safeguard Restricted Data, Formerly Restricted Data, and other classified infomation. The i Contractor shall, in accordance with the Commission's security
- regulations and requirements. be responsible for safeguarding '
] Restricted Data, Fomerly Restricted Data, and other classified j infomation and protecting against sabotage, espionage, loss and theft, the classifieo documents and material in the Contractor's -
possession in connection with the perfomance of work under this contract. Except as otherwise expressly provided in this contract,
. the Contractor shall, upon completion or termination of this contract. -
l transmit to the Commission any classified matter in the possession of the Contractor or any person under the Contractor's control -in 1l connection with performance of this contract.
I I If retention by the Contractor of any classified natter is required 1 after the completion or temination of the contract and such retention l 1s approved by the Contracting Officer, the Contractor will complete a certificate of possession to be furnished to the Commission specifying the classified matter to be retained. The certification shall '
] identify the items and types or categories of matter retained, the l conditions governing the retention of the matter and their period of l retention, if known. If the retention is approved by the Contracting i
! Officer, the security provisions of the contract will continue to be i applicable to the matter retained, i *
- (b) Regulaticns. The Contractor agrees to confom to all security i regulations and requirements of the Commission.
i i (c) Definiticn of Restricted Data. The term " Restricted Data," as
! used in this clause, means all data concerning (1) design, manufacture, or utilization of atomic weapons; (2) the production of special nuclear material; or (3) the use of special nuclear material in the production of energy, but shall not include data declassified
- or rereved from the Restricted Data. category pursuant to section 142 i of the Atomic Energy Act of 1954, as amended, j i (d) Definition of Formerly Restricted Data. The tem "Fomerly
- ' Restricted Data " as used in this clause, means all data removed from i the Restricted Data category under section 142-d. of the Atomic Energy Act of 1954, as amended.
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_ - ~ . - - . - - . - . _ = _ _- ~ . - - - - - _ - - - - .- .- .
ORM-87-223 Page 24 1 e, i (e) Security Clearance Personnel. The Contractor shall not pemit any individual to have access to Restricted Data, Formerly Restricted Data, or other classified information, except in accordance with the
, Atomic Energy Act of 1954, as amended, and the Commission's regulations or requirements applicable to the particular type or category of classified infomation to which access is required.
(f) Criminal Liabilities. It is understood that disclosure of i Restricted Data, Formerly Restricted Data,.or other classified
- information relating to the work or services ordered hereunder to any
! person not entitled to receive it, or failure to safeguard any Restricted Data, Formerly Restricted Data, or any other classified matter that may come to the Contractor or any person under the -
! Contractor's control in connection with work under this contract, may
, subject the Contractor, its agents, employees, or subcontractors to criminal liability under the laws of the United States. (See the Atomic Energy Act of.1954, as amended, 42 U.S.C. 2011 et seq.; 18 .
l U.S.C. 793 and 794; and Executive Order 11652.)
a :
j (g) Subcontracts and Purchase Orders. Except as otherwise authorized in writing by the Contracting Officer, the Contractor shall insert--
I provisions similar to the foregoing in all subcontracts and purchase f orders under this contract.
I j (h) In perfoming the contract work, the Contractor shall assign j- classifications to all documents, material, and equipment originated
- or generated by the Contractor in accordance with classification
! guidance by the Commission. Every subcontract and . purchase order i issued hereunder involving the origination or generation of classified documents, material, or equipment shall provide that the subcontractor !
I or supplier shall assign classifications to all' such documents, i material, and equipment in accordance with classification- guidance furnished by the Contractor.
h.9 Contractor Organizational Conflicts of Interest (OMB Clearance Number j 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 i because of current or planned interest (financial, contractual,
, organizational, or otherwise) which relate to the work under this i contract, and (2) does not obtain an unfair competitive advantage over other par ties by virtue of its perfomance of this contract.
(b) Scope. The restrictions described herein shall apply to 7 performance or participation by the Contractor as defined in 41 CFR
[ 920-1.5402(f) in the activities covered by this clause.
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ORM-87-223 Page 25 (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 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 20-1.5402(a).
(2) The Contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an 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 infornation.
(1) If the Contractor in the perfomance 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) lise such infomation for any private purpose until the infomation has been released to the public; (ii) compete for work for the Commission based on such infomation for a period of six (6) months after either the completion of this contract or the release of such infomation to the public, whichever is first; (iii) submit an unsolicited proposal to the Government based on such information until one year after the release of such information to the public, or f
- _ . . .- .. . - . - . = _- .- - -.
ORM-87-223 Page 26 i
(iv) release the information without prior written approval by the Contracting Officer unless such infomation has
, previously been released to the public by the NRC.
i (2) In addition, the Contractor agrees that to the extent it receives or is given access to proprietary data, data protected i by the Privacy Act of 1974 (Pub. L.93-579), or other 4 confidential or nrivileged technical, business, or financial information under this contract, the Contractor shall treat such
- information in accordance with restrictions placed cn use of the infomation.
(3) The Contractor shall have, subject to patent and security j provisions of this contract, the right to use technical data it i produces under this contract for private purposes provided that l all requirements of this contract have been met.
3 j (f) Subcontracts. Except as provided in 41 CFR 20-1.5402(h), the
- Contractor shall include this clause, including this paragraph, in j subcontracts of any tier. The tems " contract," " Contractor," and
) " Contracting Officer," shall be appropriately modified to preserve the j Government's rights.
, (g) Remedies. For breach of any of the above prescriptions or for
- intentional nondisclosure or misrepresentation of any relevant 4
interest required to be disclosed concerning this contract or for such errcneous representations as necessarily imply bad faith, the i Government may teminate 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 throu for Operations (gh the in EDO) Contracting accordanceOfficer to the with the Executive procedures Director outlined in 620-1.5411.
H.10 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.
1 (b) Within seven days after the effective date of the contract, the l Contractor shall fonvard the following information in writing to the Contracting Officer to facilitate wire transfer of contract 4
payments. In the event that the Contractor's financial institution has access to the Federal Re.;erve Communications System, Contractor shall complete all items except items 7 - 9.
In the event the Contractor's financial institution does not have ;
l access to the Federal Reserve Communications System, Contractor shall complete all items except item 4 I
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ORM-87-223 l Page 27
- 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 C. Account number at Contractor's financial institution if it receives electronic funds transfer messages through the Federal Reserve Communications System
- 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 Communications 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 information furnished under paragraph (b) of this clause shall be furnished to the Contracting Officer in writirs. It is the Contractor's responsibility to furnish these changes promptly to avoid payments to erroneous bank accounts.
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! ORM-87-223 l Page 28 l : .
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i PART II - CONTRACT CLAUSES 52.252-2 CLAUSES INCORPORATED BY REFERENCE. (APR1984) l 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 f Contracting Officer will make their full text available. ;
j I.FEDERALACQUISITIONREGULATION(48CFRCHAPTER1) CLAUSES Section I - Contract Clauses j 52.216-18 ORDERING. (APR1984)
I (a) Any supplies and services to be furnished under this contract shall be
] ordered by issuance of delivery orders by the individuals or activities
! designated in the Schedule. Such orders may be issued from effective date of 1 the centract through 30 months thereaf ter.
- (b) All celivery orders are subject to the terms and conditions of this
! contract. In the event of conflict between a delivery order and this contract,
- the contract shall control, j (c) If mailed, a delivery order is considered " issued" when the Government .
j deposits the order in the mail. Orders may be issued orally or by written '
j telecommunications only if authorized in the Schedule, i (Endofclause) 1 (R7-11011968JUN) 52.216-22 INCEFINITE QUANTITY. (AFR 1984)
(a) This is an indefinite-quantity contract for the supplies or services s
specified, and effective for the period stated, in the Schedule. The quantities of suoplies and services specified in the Schedule are estimates only and are not purchased by this contract.
j (b) Delivery or performance shall be made only as authorized by orders issued in accordance with the Ordering clause. The Contractor shall furnish to I the Govemaent, when and if ordered, the supplies or services specified in the
! Schedule up to and including the quantity designated in the Schedule as the l " maximum." The Government shall order at least the quantity of supplies or services designated in the Schedule as the " minimum."
- (c) Except for any limitations on quantities in the Delivery-Order 1 Limitations clause or in the Schedule, there is no limit on the number of orders j that may be issued. The Government may issue orders requiring delivery to '
i multiple destinations or performance at multiple locations.
! (d) Any order issued during the effective period of_ this contract and not j completed within that period shall be completed by the Contractor within the
- time specified in the order. The contract shall govern the Contractor's and
! Governmer,t's rights and obligations with respect to that order to the same i extent as if the order were completed during the contract's effective period; I provided, thdt the Contractor shall not be required to make any deliveries under I this contract after 30 months from the effective date of the contract '
I (Endofclause)
{ (R 7-1102.3(b) 1965 AUG) l k
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. . l ORM-87-223 Page 29 52.222-2 PAYMEh7 FOR DVERTIME PREMIUMS. (APR1984)
(a) The use of overtime is authorized under this contract if the overtime premium cost does not exceed -0 . In aodition to this dollar ceiling, overtime is pemitted only for work--
(1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or occasional production bottlenecks of a sporadic nature; <
(2) By indirect-labor employees such as those perfoming duties in connection with administration, protection, transportation, maintenance, stanoby plant protection, operation of utilities, or accounting; (3) To perform tests, industrial processes, laboratory procedures.
4 loading or unloading of transportation conveyances, and operations in flight or afloat that ne continuous in nature and cannot reasonably be interrupted or completed otherwise; or (4) That will result in lower overall costs to the Government.
(b) Any request for estimated overtime premiums that exceeds the amount specified above shall include all estimated overtime for contract completion and shall--
(1) Identify the work unit; e.g., department or section in which the requested overtime will be used, together with present workload, staffing, and other data of the affected unit sufficient to permit the Contracting Officer to evaluate the necessity for the overtime; (2) Demonstrate the effect that denial of the request will have on the contract delivery or perfomance schedule; (3) Identify the extent to which approval of overtime would affect the
- perfomance or payments in connection with other Governrtnt contracts, together with identification of each affected contract; and (4) Provide reasons why the recuired work cannot be performed by using multishift operations or by employing adcitional personnel.
, (Endofclause)
(R 7-203.27 1967 JUN) 52.233-3 PP0TESTAFTERAWARD(JUN1985)
(a) Upon receipt of a notice of protest (as defined in 33.101 of the .FAR)
, the Contractirs Officer may, by written order to the Contractor, direct the Contractor to stop perfonnance 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 innediately 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 either--
i (1) Cancel the stop-work order; or
. (2) Terminate the work covered by the order as provided in the 1 Default, or the Termination for Convenience of the Government, 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 l Centracting Officer shall make an equitable adjustment in the delivery schedule or contract price, or both, and the contract shall be modified, in writing, l
accordingly, if--
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- ORM-87-223 Page 30 (1) The stop-work order results in an increase in the time required for, or in the Contractor's cost properly allocable to, the perfomance of any part of this contract; and (2) The Contractor requests an adjustment within 30 days after the end of the period of work stoppage; provided, that if the Contracting Officer decides the facts justify the action, the Contractino 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 4
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.
(EndofClause) 52.252-2 CLAUSES INCORPORATED BY REFERENCE. (APR1984)
This contract incorporates the followinc clauses by reference, with the sare force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available.
I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES Section E Section F 52.212-13 STOP-WORK ORDER.-- Alternate 1 (APR 1984) 52.247-34 F.0.8. DESTINATION. (APR1984)
Section 1 52.202-1 DEFINITIONS. (APR 1984) 52.203-1 0FFICIALS NOT TO BENEFIT. (APR 1984) 52.203-3 GRATUITIES. (APR1984) 52.203-5 COVENANT AGAINST CONTINGENT FEES. (APR 1984) 52.203-6 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT (JUL 1985) 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL. (APR1984) 52.215-2 AUDIT--NEGOTIATION. (APR 1984) 52.215-22 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA.
(APR 1984) 52.215-23 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA-- l MODIFICATIONS. (APR1985) l 52.215-24 SUBCONTMCTOR COST OR PRICING DATA. (APR1985) 52.215-25 SUBCONTRACTOR COST OR PRICING DATA--MODIFICATIONS.
(APR 1985) 52.215-26 INTEGRITY 52.215-30 FACILITIES CAPITAL OF COSTUNIT PRICES OF MONEY. (JUL 1986)(APR 198 l
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ORM-87-223 Page 31 52.215-31 WAIVER OF FACILITIES CAPITAL COST OF MONEY. (APR1984) 52.215-33 ORDER OF PRECEDENCE. (JAN 1986) 52.216-7 ALLOWABLE COST AND PAYMENT. (APR1984) 52.216-8 FIXED FEE. (APR1984) 52.217-8 OPTION TO EXTEND SERVICES. (APR1984) 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERh5 AND SMALL DISADVANTAGED BUSINESS CONCERNS. (JUN 1985) 52.219-9 SMALL BUSINESS AND SMALL DISADVANTAGED BUSINESS SUBCONTRACTING PLAN. (APR1984) 52.219-13 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES. (APR1984) 52.220-3 UTILIZATION OF LABOR SURPLUS AREA CONCERNS. (APR1984 52.220-4 LABCR SURPLUS AREA SUBCONTRACTING PROGRAF. (APR1984))
52.222-1 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES. (APR1984) 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 (APR1984) 52.222-36 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS (APR 1984) 52.223-2 CLEAN AIR AND WATER. (APR 1984) 52.227-1 AUTHORIZATION AND CONSENT. (APR 1984)--Alternate I.
(APR 1984) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT INFRINGEMENT. (APR 1984) 52.227-12 PATENT RIGHTS--RETENTION BY THE CONTRACTOR (LONG FORM).
f (APR 1984) 52.228-7 INSURANCE LIABILITY TO THIRD PERSONS. (APR1984) 52.230-3 COST ACCOUNTING STANDARDS. (APR1984) 52.230-4 ADMINISTRATION OF COST ACCOUNTING STANDARDS. (APR1984) 52.230-5 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES.
(APR 1984) 52.232-17 INTEREST. (APR 1984) 52.232-18 AVAILABILITY OF FUNDS. (APR 1984 52.232-22 LIMITATION OF FUNDS. (APR1984))
52.232-23 ASSIGNMENT OF CLAIMS. (JAN 1986) l 52.233-1 DISPUTES, (APR 1984) l 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS. (APR1984) 52.243-2 CHANGES--COST-REIMBURSEMENT. (APR 1984)--Alternate I.
(APR 1984) 52.244-2 SUBCONTRACTS (C0ST-REIMBURSEMENTANDLETTERCONTRACTS) I (JUL 1985) 52.244-5 COMPETITION IN SUBCONTRACTING. (APR 1984) 52.246-25 LIMITATION OF LIABILITY--SERVICES. (APR 1984 52.249-6 TERMINATION (C0ST-REIMBURSEMENT). (MAY 1986))
52.249-14 EXCUSABLE DELAYS. (APR 1984)
ORM-87-223 Page 32 PART III - LIST OF DOCUMENTS, EXPIBITS, AND OTHER ATTACHMEtlTS Section J - List of Attachnents Attachment Number Title
- 1 hP.C Organization Chart 2 NRC Contractor Organizational Conflicts of Interest (41 CFRPart20) 3 fiRC Manu61 Chapter 3202 4 Standard Form 1411 with Instructions 5 Billing Instructions j
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Attachment 1 Enclosure A Attachment 1 RESUME FORMAT Name: Date:
Company Position / Title Date Available:
Area of Activity for the Contract:
Number of Years Experience:
Education:
Institutions of Higher Education; Dates Attended; Degrees or Semester Hours Completed; Major Subjects Related Training:
I (Include relevant information for training received relating directly to the proposed position).
Experience Summary:
(A one-paragraph summary of the individual's overall experience and capabilities).
Current Assignment:
Client; Description of Assignment; Assignment Start Date; Period of Commitment; Reference.
(A description of the proposed staff member's current assignment, including a name and phone number of the client that may be used for reference checking.)
Previous Experience: (in reverse chronological order)
Company or Client; Assignment Dates; Position / Title; Reference; Description of Work Performed; List of Pertinent Publications with Citations.
Statement of Availability:
(Either current employee or to be placed on retainer; minimum number of staff-hours to be devoted to this contract.)
13
ATTACHMENT 2 PART 20-1 -- GENERAL i Subpart 20-1.54--Contractor Organizational Conflicts of Interest Sec.
20-1.5401 Scope and policy.
20-1.5402 Definitions.
20-1.5403 Criteria for recognizing contractor organizational conflicts of interest.
20-1.5404 Representation.
20-1.5405 Contract clauses.
20-1.5405-1 General contract clause.
20-1.5405-2 Special contract provisions.
20-1.5406 Evaluation, findings, and contract award..
20-1.5407 Conflicts identified after award.
20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-1.5410 Subcontractors.
20-1.5411 Waiver.
20-1.5412 Remedies.
AUTHORITY: Sec. 8, Pub. L.95-601, adding Sec.170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch. 14) 520-1.5401 Scope and Policy (NRC)(a) It is the policy of the U.S. Nuclear Regulatory Commissionto av 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?
(c) The conflict of interest rule contained in this subpart applies to contractors and offerors only. Individuals or firms who have other relationships with NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC
7590-01 l-l agreements with other government agencies, international organizations, I or state, local or foreign governments; separate procedures for avoiding i conflicts of interest will be employed in such-agreements, as appropriate. )
520-1.5402 Definitions (a) " Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which: (1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a i biased work product, or (2) may result in its being given an unfair competitive advantage.
(b) "Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation.
(c) " Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy.
2 (d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the formulation or administration of its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available to the public or proprietary information. Such services typically include assistance in the preparation of program plans; and preparation of preliminary designs, specifications, or ,
statements of work.
(e) " Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401(c).
(f) " Contractor" means any person, firm, unincorporated association, joint venture, co-sponstor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, i 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 $ l-1.606-1(e)).
(h) " Subcontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of $10,000 or less.
(i) " Prospective contractor" or " offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract.~
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7590-01 (j) " Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The term " potential conflict of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract performance.
I20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in detennining 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 NRC7 (2) May the contractor be given an unfair competitive advantage based on the performance of the contract?
The ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of comon sense and good busine'ss 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 infonnation concerning relationships which may give rise to organizational l conflicts of interest under the following circumstances:
(i) Where the offeror or contractor provides advice and recommendations to the NRC in a technical area in which it is also providing consulting assistance in the same arec to any organization regulated by the NRC.
(ii) Where the offeror or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to any organization regulated by the NRC.
(iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offeror or contractor has been substantially involved in their development or marketing.
(iv) Where the award of a contract would otherwise result in slacing the offeror or contractor in a conflicting role in which its judgnent may be biased in relation to its work for the NRC or may otherwise result in an unfair comoetitive advantage for the offeror or contractor.
3
l 7590-01 t
(2) The contracting officer may request specific information from an offeror or contractor or may require special contract provisions such as provided in 520-1.5405-2 in the following circumstances:
(1) Where the offeror or contractor prepares specifications which are to be used in competitive procurements of products or services covered by such specifications.
(ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurements using such approaches or methodologies.
(iii) Where the offeror or contractor is granted access to information not available to the public concerning NRC plans, policies, or programs which could form the basis for a later procurement action.
(iv) Where the offeror or contractor is granted access to proprietary information of its competitors.
(v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise j 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 1 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 i on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.
7590-01 Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.
(3) Example. As a result of operating problems in a certain type of comercial nuclear facility, it is imperative that NRC secure specific data on various operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer has extensive experience with that type of plant. Consequently, that i
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 i
time. That company has a definite interest in any NRC decisions that j might result from the data produced because those decisions affect the reactor's design and thus the company's costs.
Guidance. This situation would place the manufacturer in a role in
, which its judgment could be biased in relationship to its work for NRC.
Since the nature of the work required is vitally important in tems of
! NRC's responsibilities and no reasonable alternative exists, a waiver of i the policy may be warranted. Any such waiver shall be fully documented i and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.
(4) Example. The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's performance for the purpose of developing standards that are important to the NRC program. The ABC Co.
has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component.
Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors 1 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 t work, it shall not be used in the contractor's private activities unless such information is generally available to others.' Further, the contract will stipulate that the contractor will inform the NRC contracting
- officer of all situations in which the information developed under the contract is proposed to be used.
i
7590-01 (5) Example. The ABC Corp., in response to a RFp proposes to assemble a map showing certain seismological features of the Appalachian fold belt. In accordance with the representation in the RFP and 5 20-1.5403(b)(1)(1), ABC Corp. informs the NRC that it is presently doing seismological studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study.
Guidance. The contracting officer would nonnally 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 5 20-1.5405-1(c) would preclude ABC Corp. from accepting work during the term of the NRC contract which could create a conflict of interest.
(d) Other considerations. (1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the performance of a contract is not relevant to a determination of the existence of such conflicts prior to the award of a contract.
(2) It is not relevant that the contractor has the pr'ofessional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis.
520-1.5404 Representation (a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor.
(b) Representation procedure. The following organizational conflicts of interest representation provision shall be included in all solicitations and unsolicited proposals for: (1) Evaluation services or activities; (2) technical consulting and management support services; l i
(3) research; and (4) other contractual situations where special organizational conflicts of interest <rovisions are noted in the solicitation and would be included in toe resulting contract. This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the " changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.
7590-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:
The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR 520-1.5403(b)(1).
(c) Instructions to offerors. The following shall be included in all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 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 detennines that organizational conflicts exist, the following actions may be taken: (1) Impose appropriate conditions which avoid such conflicts, (ii) disqualify the offeror, or (iii) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 520-1.5411.
(2) The refusal to provide the representation required by 520-1.5404(b) or upon request of the contracting officer the facts required by 120-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or 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 i of the competitive posture of the other offerors, the proposal must be ejected 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.
i 20-1.5405 Contract clauses i 20 1.5405 1 General contract clause 7590-01 All contracts of the types set forth in 520-1.5404(b) shall include the following clauses:
, (a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor: (1) Is not placed in a conflicting role because of current or planned interest (financial, contractual, organizational, or othemise) 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 i 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 4 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.
4 The contractor shall ensure that all employees who are employed full i time under this contract and employees designated as key personnel, if dny, under this contract abide by the provision of this clause. If the 1
- I contractor believes with respect to itself or any such employee that any l proposed consultant or other contractual arrangement with any firm or ,
organization may involve a potential conflict of interest, the contractor l shall obtain the written approval of the contracting officer prior to '
i execution of such contractual arrangement.
1 (d) Disclosure after award. (1) The contractor warrants that to !
i the best of its knowledge and belief and except as othemise 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 j imediate and full disclosure in writing to the contracting officer.
i 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.
l (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 infomation has been released to the public; (ii) compete for work for the Comission based i
i
. . j i
7590-01 on such information for a period of six (6) months after either the i completion of this contract or the release of such infonnation to the
} public, whichever is first, (iii) submit an unsolicited proposal to the i government based on such information until.one year after the release of l
such information to the public, or (iv) release the information without i prior written approval by the contracting officer unless such information has previously been released to the public by the NRC.
(2) In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the l contractor shall treat such information in accordance with restrictions i placed on use of the information, s
! (3) The contractor shall have, subject to patent and security j provisions of this contract, the right to use technical data it produces j under this contract for private purposes provided that all requirements of this contract have been met.
l (f) Subcontracts. Except as provided in 41 CFR 5 20-1.5402(h), the contractor shall include this clause, including this paragraph, in j subcontracts of any tier. The terms " contract," "contreetor," and
" contracting officer," shall be appropriately modified to preserve the government's rights.
l (g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disc,losed concerning this contract or for such erroneous d
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 l Director for Operations (EDO) in accordance with the procedures outlined in 520-1.5411.
520-1.5405-2 Special contract provisions.
l (a) If it is determined from the nature of the proposed contract
! that organizational conflicts of interest exist, the contracting officer j 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 l negotiate the terms and conditions of these clauses, including the I
extent and time period of any such restriction. These provisions include but are net limited to:
i.
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75 E- I (1) Haroware exclusion clauses wnich prohibit the acceDtance of procuction contracts following a related nonproduction contract previously performed by the contractor; (2) Software exclusion clauses; (3) Clauses wnich require the contractor (and certain of his key personnel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data and guard against its unauthorized use.
(b) The following additional contract clause may be included as section (1) in the clause set forth in: 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest.
(i) Follow-on effort. (1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of work under this contract. Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products or services of another firm if the contractor has been substantially involved in the development or marketing of such products or services.
, (2) If the contractor under this contract prepares a complete or essentially completa 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 tne restriction in this subparagraph shall not apply.
(3) Nothing in this paragraph shall preclude the contractor from offering or selling its standard commercial items to the government.
I 20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation recuirements of 120-1.5404(b) and other relevant information. After evaluating this information against tne criteria of 1 20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror. If it nas oeen determined that conflicts of interest exist, tnen :ne contract.ng officer shall eitner:
(a) Disqualify the offeror from award,
7590-01 (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of 5 20-1.5411.
120-1.5407 Conflicts identified after award.
If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting officer determines that such conflicts 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) s20-1.5409 (Reserved) 520-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with f20-1.5404(b) from subcontractors and consultants: The contracting officer shall require the contractor to include contract clauses in accordance with f 20-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection.
I20-1.5411 Waiver In the first instance, detemination 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 recomendation of the contracting officer, and af ter 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 l
justification and accroval cocuments shall be placed in the Public 4
Document Room.
7590-01 620-1. 5412 Remedies In addition to such other remedies as may be permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.
Dated at Washinaton. 0.C this 27th day of March 1979.
For the Nuclear Regulatory Commission CRuudhJ. Chilk
. Samuel CCs4 '
Secretary of the Commission J
1 4
Attachment 3 Form NRC 489 (1 76)
U. S. NUCLEAR REGULATORY COMMISSION
, NRC MANUAL l TRANSMITTAL NOTICE CHAFER h?C-3202 FU5LICATION CF TECHNICAL FEPORTS FEEFAFED BY NEC.
CO?TIFACTOFS, INCIEDING EEFORTS FFIFAFID UNCER CR CUSSUA1.T 'IO ThTE9MENCY AGFFFhERS SUPERSEDED: TRANSMITTED:
I
- Number Date Number Date 1
TN 3200-21 3
Chapter NRC-3202 4/29/82 Chapter NRC-3202 8/29/04 Page Page I
i i Appendix NF7-3202 4/20d2 Appendix NEC-32C2 6/29/04 REMARKS:
! This revisien of Chapter 3202 expands the chapter frem ccverage of unclassified reports to include the rarkir6 and handling of sensitive uncinesified infomation (Official Use Only and Limited Official Use Infomation, Safeguards Inforratien, Freprietary Infomatien) and classified ir.forratien (Tcp Secret, Secret, and Ccnfidential). A secticn has also been added to set forth procedures for the handling of unclassified reports en NRC ccoperative p:rgrars with foreign
- gcVerrtents and ersani:atiens and with U.S. industry.
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4 U.S. NUCLEAR REGULATORY CO>D11SSION NRC MANUAL Volume: 3000 Information and Foreign Activities Part : 3200 Technical Information and Document Control AOM CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3202-01 COVERAGE i 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-ports. This chapter does not cover NRC staff-generated documents, NRC docket material, or the documents generated by NRC boards, panels , '
j advisory committees and Offices that report to the Commission.
3203-02 OBJECTIVES 021 to assure production and dissemination of technical reports as required by the Energy Reorganization Act of 1974 and the Freedom of Infor-mation Act.
022 to assure that dissemination of technical reports is consistent with i
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 AUTHORITIES 1
1 031 The Director, Office of Administration:
{ a. develops and maintains, in consultation with Directors of Offices
- and Divisions and Regional Administrators, NRC standards, proce-dures and guides for the production and dissemination of technical
, contractor reports.
I i Approved: August 29, 1984
_ _ _ _ _ _ _ _ _ . _ _ _ _ ~ _ _ . , . . __ _, , _ _ _
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS b, periodically surveys report activities throughout NRC to ascertain that the provisions of this chapter are adequate and are being l
implemented; makes any changes needed, I 032 The Director, Division of Technical Information and Document j Control:
- a. develops and administers a central report control system for identi-fying, printing and distributing contractor reports and responding to requests for unclassified reports.
- b. develops and maintains guides and standards for the documentation, formatting, printing, dissemination, and public sale of unclassified contractor reports.
- c. assures that a system exhits for review of unclassified contractor i reports for adherence to patent, copyright and disclosure policies prior to dissemination.
- d. establishes and administers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports and controls duplication and printing of contractor reports to assure adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP). Congress of the United States,
- e. in response to requests of Directors of Offices and Regional Administrators, establishes distribution data banks, maintains official standard distribution lists for automatic distribution of unclassified contractor reports, and controls distribution to assure adherence to i the Government Printing and Binding Regulations, the Privacy Act, l and the Freedom of Information Act.
l 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-l ing, Copying, Graphics and Photography and its appendix; and Chapter NRC-1102, Procedures for Placement of Work with the Department of Energy. In the Statement of Work:
(1) specify what reports will be reviewed for policy, management, and legal issues by NRC staff in draft prior to printing and distribution. If the report is to be reviewed by NRC staff, give the conditions under which .the contractor may publish documents in the event of unresolvable differences relative to the draf t, including the type of disclaimer to be used in addi-tion to the standard government disclaimer (see Exhibit 6).
i *In the case of DOE work, this is NRC Form 173, Standard Order for DOE l 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 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 'he contractor if the contractor has a JCP-authorized federal print-ing plant (see Appendix, Parts !! and IV).
(5) specify that all formal reports required by NRC shall be distributed by NRC.
(6) establish the number of copies the contractor may retain or request for internal and external distribution and charge against NRC. Written justification meet be provided , and approval obtained of the NRC JCP repre - atative (the Director, Division of Technical Information and Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reports.
(7) assure the protection of classified and sensitive unclassified information , if any, in contractor reports (see Appendix, Part V).
- b. assure adherence to instructions and authorizations regarding the reproduction and distribution of reports,
- c. recommend standard distribution category (ies) for contractor reports to the Division of Technical Information and Document Control.
- d. provide changes to the official standard distribution lists to the Division of Technical Information and Document Control.
- e. establish procedures for review of contractor's proposed press and other media releases.
034 The Orrice of the Executive Legal Directer provides legal review and advice to NRC staff on questions regarding inventions, patents, proprietary information, use of copyrighted material, national security, and other sensitive unclassified and classified information.
035 The Director, Office of Public Affairs, upon request of the project manager, revtews proposed contractor's press or other media releases for appropriateness .
Approved: August 29, 1984
PUBLICATZON OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC-3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ,
I 036 The Director, Division of Security:
1
- 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. t
- b. advises staff of NRC Offices and Regions 'on the preparation and
^
- handling of reports containing classified, proprietary and other sen-sitive unclassified information.
1 037 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 l in the terms and conditions of applicable contracts as they pertain j to report production and distribution.
J i 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 j 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.
3202-04 DEFINITIONS
- 1 041 camera-ready copy - pages ready for printing by the offset printing l process. This is a coloquial term used even though the printing process may
] not involve the so-called copy camera (see also reproducible masters).
, 042 central report control system - means for developing' and maintaining i
the policies, procedures and guides needed to identify and produce regulatory i 4 and technical reports and to assure adherence to requirements and standards
, for documentation, formatting, printing and distribution.
043 contractor report - record of work done (a report) prepared in j accordance with the provisions of a contract or 'under or pursuant to an j interagency agreement.
! s l Words underscored in definitions are also defined in list.
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Approved: August 29, 1984 j .
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC. CONTRACTORS, INCLUDING REPORTS PREPARED l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-044 044 copyright - a form of protection provided by the laws of the United States (Title 17, U.S. Code) to the authors of " original works of authorship" including literary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works.
Copyrighted material may not be reproduced without the permission of the author or publisher.
045 disseminate - to announce the publication of reports and make them available for free distribution, sale or copying.
046 distribute - to dispense reports to specific organizations and indi-viduals to assure their participation in the regulatory process and support of research and technological investigations. Such distribution may be accom-plished by the use of standard distribution data banks established and main-tained by the Division of Technical Information and Document Control based on the requests of the originating Office or Region.
047 documentation - classification and associated markings required for classified or sensitive unclassified documents , the NRC report number unique to the report, title (and subtitle, if any), author or correspondent (if any), organization identification and contract number (or FIN number), date and availability.
048 draft or final material for inclusion in " Safety Evaluation Reports" or " Environmental Statements" (ES) - written material requested for input to SERs or ESs to be issued as NUREGs. Such material may be edited or modi-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 NRC project manager - the NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement.
0411 patent review - examination by legal staff to assure protection rights in inventions.
0412 proprietary information - trade secrets; privileged or confidential research, development., commercial or financial information, exempt from manda-tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.5); and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC 0413 publiclv available documents - information (reports and references) i which is available in the NRC Public Document Room (PDR) for public inspec- l 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-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 reproducible masters - camera-ready copy which includes (1) origi-nals of line drawings (or prints that can be copied), (2) glossy prints of 4 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 final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and eval-uation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to , informal (interim) progress reports, quick-look reports, data reports .
status summary reports, project descrip tions , 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, 1
panels , advisory committees and Offices which report directly to the I
Commission, the handling of reports prepared by consultants and contractors t
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 i Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, " Biblio-graphic Data Sheet" (Exhibit 7), and NRC Form 190. " Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided in the appendix.
053 Appendix 3202. This appendix contains standards and procedures for the preparation of reporting requirement portions of Statements of Work, and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies in accordance with c6ntract requirements or interagency agreements. I Approved: August 29, 1984
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-054 054 Preparation Requirements
- a. Reports to be Printed by NRC. All contractor reports to be printed by NRC shall be prepared according to Appendix 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 reproduciole master and suffi-cient copies for standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control.
accompanied by completed NRC Form 426A, signed by the authorized contractor official. Each such report shall include, as'the last pa>;e, a completed NRC Form 335.
055 References. The NRC chapters referenced and NUREG-0794 (ref. j) and NUREG-0650 (ref. i) are available from the Division of Technical Informa-tion and Document Control . The other publications are available from the Government Printing Office.
- a. Chapter NRC-0060. " Printing, Copying, Graphics and Photography "
- b. Chapter and Appendix NRC-2101, "NRC Security Program."
c Chapter NRC-3203, " Distribution of Unclassified NRC Staff- and Contractor-Generated Documents."
- d. Chapter ,N7C-1102, " Procedures for Placement of Work with the Department of Energy."
- e. Chapter NRC-3206, "NRC Contractor Speeches. Papers and Journal Articles on Regulatory and Technical Subjects."
- f. Chapter N B C-3207, " Conferences and Conference Proceedings . "
- g. Title 44, U.S. Code "Public Printing and Documents." Government Printing Office.
- h. Government Printing and Binc.ing Regulations of the Joint Committee on Printing, Congress of the Unite d States. No. 24. April 1977 (JCP Regulations). Government Printing Office.
- i. Title 5. l' . S . Code. " Government Organization and Employees . "
Government Printing Office.
Approved: August 29, 1984
! I PUBLICATION OF TECHNICAL REPORTS PREPARED BY i
NRC CONTR ACTORS. INCLUDING REPORTS PREPARED i NRC-3:'02-055 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS '
1 j j. " Technical Writing Style Guide, A. W. Savolainen et al. , compilers. !
i U.S. NRC Report NUREG-0650, November 1979, and Supplement 1.
- February 1982. ,
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- k. " Protection of Unclassified Safeguards Information , D. J. Kasun, :
- USNRC Report NUREG-0794, October 1981, !
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- 1. Chapter NRC-0255, " Mail Management," and Appendix 0255, Part V, Annex A. '
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Approved: August 29, 1984 l . ,
J PUBLICATION OF TECHNICAL REPORTS PREPARED BY
', NRC CONTRACTORS. INCLUDING REPORTS PREPARED
? ,
URDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 ,
t
- CONTENTS PAGE PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS t
OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR 00E WORK i A. LIST OF TECHNICAL REPORT REQUIREMENTS......................... 1 2
- 8. REQUIREMENTS FOR FORMAL REP 0RTS...............................
2 C. REQUIREMENTS FOR ORAFT REP 0RTS................................
D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPER 5...................... 3 i
4 -
i E. TYP0 GRAPHY....................................................
4
! F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND 4
! CLASSIFIED INFORMATION........................................
1
) G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES 4
j AND WORKSH0PS.................................................
S S
l H. WRITING AND PUBLISHING UNCLASSIFIED 800KS.....................
I i
- 1. DISTRIBUTION OF REPORTS TO CONTRACTORS........................ S 1
- J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSIFIED INFORMATION................................... S l
7 PART II UNCLASSIFIE0 FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC...
f A. 7 00CUMENTATION.................................................
Applicability............................................ 7 1.
- 2. Front Cover and Title Page............................... 7
- 3. Availability Information................................. 9
- 4. Disclaimer............................................... 9 l 9
- 5. Previous Reports in Serie5...............................
- 6. Abstract................................................. 9 References and Bibliographies............................ 9 l 7. {
- 8. Bibliographic Data Sheet................................. 10 3
)
i PATENT AND SECURITY REVIEWS.................................... 10 B.
i 10
- 1. Patent Review.... .......................................
Security Review.......................................... 10 j 2.
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I i Approved: August 29. 1981 i
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY i
NRC CONTRACTORS. INCLUDING REPORTS PREPARED
- NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued)
! PAGE i
j C. PROCEDURES FOR PRINTING AND DISTRIBUTING...................... 11 l
- 1. Printing................................................. 11
- 2. Reprinting............................................... 11
- 3. Distribution of Reports.................................. 11 EXHIBITS
- 1. Sample Cover for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing P1 ants........................................... 13
- 2. Sample Title Page for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by 00E Laboratories with JCP Authorized Federal Printing P1 ants................................ 14
- 3. Sample Cover for Unclassified Formal Reports Printed by 00E Laboratories with JCP Authorized Federal Printing Plants.......... 15
- 4. Sample Title Page for Unclassified Formal Reports Printed by 00E Laboratories with JCP Authorized Federal Printing Plants............................................................ 16
- 5. NRC Form 426A, Publications Release............................... 17
- 6. Disclaimer and Availability Statements............................
18
- 7. NRC Form 335. Bibliographic Data Sheet............................ 19 PART III UNCLASSIFIED TECHNICAL LETTER REP 0RTS........................ 21 A. F0RMAT....................................................... 21
- 1. Applicability........................................... 21
?. Requirements............................................ 21
- B. PATENT AND SECURITY REVIEWS................................. 21 l
l 1. Patent Review........................ ................. 21
- 2. Security Review........................................ 22 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE '
OF NUCLEAR REGULATORY RESEARCH BY 00E LABORATORIES WITH i JCP-AUTHORIZED FEDERAL PRINTING PLANTS...................... 23 A. 00CUMENTATION............................................... 23
- 1. Applicability.......................................... 23
- 2. Front Cover and Title Page............................. 23 Approved: August 29, 1984 11
PUBLICATION 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
- 8. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 1 C. PROPRIETARY INFORMATION..................................... 30 D. SAFEGUARDS INFORMATION...................................... 31
! E. CLASSIFIED INFORMATION...................................... 31 EXHIBITS
- 8. Sample Cover for a Contractor Report Containing Official Use Only Information.................................................. 33
- 9. Sample Title Page for a Contractor Report Containing Official Use Only Information.............................................. 34
- 10. Sample Back Cover for a Contractor Report Containing Official Use Only Information.............................................. 35
- 11. Sample Cover for a Contractor Report Containing Limited Official Use Information.......................................... 36
- 12. Sample Title Page for a Contractor Report Containing Limited 37 Official Use Information..........................................
lii Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREE.\ TENTS CCNTENTS (Continued)
PAGE
- 13. Sample Back Cover for a Contractor Report Containin Limited Official Use Information...........................g............... 38
- 14. Sample Cover for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization..................... 39
- 15. Sample Cover Page for a Contractor Report Containing Proprietary Information Obtained from a Foreign Source............ 40
- 16. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization......... 41
- 17. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a Foreign Source............ 42
- 18. Sample Back Cover for a Contractor Report Containing Proprietary Information.... .................. .................. 43
- 19. Cover Sheet for Reports Containing Proprietary Information........ 44
- 20. Sample Cover for a Contractor Report Containing Unclassified Safeguards Information............................... 45
- 21. Sample Title Page for a Contractor Report Containin Unclassified Safeguards Information................g............... 46
- 22. Sample Back Cover for a Contractor Report Containin Unclassified Safeguards Information................g............... 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 ORAFT PRELIMINARY REPORTS FOR COMMENT......... 49 B. DISTRIBUTION BY NRC PROJECT MANAGERS......................... 50 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT............... 50
- 0. REPORT 10ENTIFIERS........................................... 50 E. MAILING TO PROGRAM PARTICIPANTS.............................. 51 F. SECURITY..................................................... 51 Approved: August 29, 1984 iv
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRP CONTRACTORS. INCLUDING REPORTS PREPARED l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued)
PAGE EXHIBITS
- 24. Sample Cover for a Draft Preliminary Report (Code) for Comment... 52
- 25. Transmittal t.etter from Contractor to NRC Project Manager for Draft Preliminary Report (Code)................................... 53
- 26. Transmittal Sheet for Requesting Mailing to Cooperative Program Participants...................................................... 54 v Approved: August 29, 1984
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 TECHNICAL REPORT REQUIREMENTS List the technical reports required from each project, task or subtask, as applicable. State when and to whom they should be submitted and what they should contain. These reports may be unclassified, sensitive unclassified or classified. Standards for each of these categories are presented in Parts 11 through V. The following definitions describe the types of reports that may be specified:
technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP series , or draft or final material for inclusion in SERs or ESs (see definitions below).
technical letter reports (also called technical evaluation reports) -
interun or final letters that provide information on the technical i 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 draf t 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 TECHN! CAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part i UNDER OR PURSUANT TO INTERAGENCY AGREE >1ENTS draft or final material for publication or inclusion in SERs. ESs.
letters, or license amendments - written material requested for use in the NRC licensing process. Such material 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-sultant, grantee, another State or Federal Agency working under an interagency agreement, or a DOE / facility or National Laboratory (con-tractor) and subcontractors.
B. REQUIREBIENTS FOR FORotAL 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 !! 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 TechnicalInformation and Document Control, NRC, Washington, D.C. 20555, by first class mail. For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101.
Unclassified reports printed for the Office of Nuclear Regulatory Research should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102.
C. REQUIRE >1ENTS FOR DRAFT REPORTS If a draft is desired prior to completion of a final technical letter report, formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-ernments and organizations and with U.S. industry, state that require-ment and the time frame for delivering the final camera-ready copy after regelving 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 i i the contractor to prepare the final copy and submit it to the project l 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 l Approved: August 29, 1984 2 l
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PUBLICATION ~OF TECHNICAL REPORTS PREPARED BY NRC, CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
. UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 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 tc be issued in the NUREG/CR series is not reached, the NRC project manager may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Exhibit 6), any caveats deemed necessary to cover NRC objections. Such caveats may range from the "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text.
State that if NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE / National Laboratory reports , the DOE Operations Office Manager responsible for that !abora-tory should 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 a private contractor, the person who executed the contract should simi-larly be informed by the NRC Contracting Officer. The contractor is then free to publish without NRC identification of the report. Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.
D. PUBLISHING UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS If the contractor's principal investigator is to be allowed to publish in the open literature instead of submitting a final report and/or present papers at public or association meetings during the course of the work, add the following statement to the Statement of Work:
The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or present papers at public or association meetings at interim stages of the work.
If the project manager wants to review the paper or journal article prior to presentation or submission for publication, state this in the Statement of Work, as follows:
The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or pre-sent papers at public or association meetings at interim stages of the work, if the article or paper has been reviewed by the NRC project 3
1 3 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REP' ORTS PREPARED BY
< - NRC . Appendix ; 3202 .NRC CONTRACTORS, INCLUDING . REPORTS PREPARED-Part I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS-manager in draft form and agreement has been reached on the con-tent. The applicable procedures set forth in Chapters NRC-3206 or
[ .
NRC-1102 must be fouowed.
If agreement is not reached. NRC_ may also ask that the paper include in addition' to the standard statement " Work supported by the U.S.
L 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).
L 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. TYPOGRAPHY The text of reports must be single spaced on 8h x 11-in, paper, unless otherwise specifically authorized. Occasionally , reports with many sym-bois and mathematical expressions may require one and one-half spacing to provide for superscripts and subscripts. This spacing should be allowed where needed, but should be considered an exception, not. the standard.
F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND . CLASSIFIED INFORMATION Details of the marking of reports designated Official Use Only. Limited 1' Official Use, Proprietary Information . Safeguards Information,- and.
classified (Confidential, Secret, and Top Secret) are provided in Part V '
of this appendix and in NRC Appendix 2101.
G. . PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND l
- j. WORKSHOPS
! NRC publishes or assists in the publication -of compilations of. papers presented at meetings , conferences, and symposiums ~ in which NRC 4
Approved: . August 29, 1984 4
.' . l
. . . m
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I 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 4 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 l NRC/TIDC. If the additional distribution is _ approved by the NRC i 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.
J. COORDINATION OF PRESS OR OTHER MEDI A RELEASES OF UNCLASSI-FIED INFORMATION A contractor may request permission to issue a press or other media release on the rork 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.
5 Approved: August 29, 1984
.4 o- 1 l
PUBLICATION OF TECHNICAL REPORTS PREPARED BY l NR,C CONTRACTORS, INCLUDING REPORTS PREPARED ,
,' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 ;
PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A. DOCUMENTATION
- 1. Applicability
- a. The requirements of this part apply to contractor and inter-agency agreement reports that are to be printed by NRC.
Contractors may not print reports prepared for NRC except those DOE laboratories with JCP-authorized printing plants and then only those reports prepared for NRC's Office of Nuclear Regulatory Research.
- b. With respect to sensitive unclassified and classified reports, the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.
- c. The requirements of this part do not apply to consultants and contractors of the NRC boards, panels, and advisory commit-tees which report directly to the Commission.
- 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 ANSI 239.18-1974, Guidelines for Format and Production of Scientific and Technical Reports, and ANSI 239.23-1974, Technical Report Numbers.
7 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS The NRC identification number will have the form:
NUREG/CR-XLLY 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 e .-
l PUBLICATION OF TECHNICAL REPORTS PREPARED BY ;
. NRG CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 l 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 fo'llowing 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 If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issu-ance dates. Place this list on the back of the title page.
- 6. Abstract An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on 'a separate page between the list of previous documents in the 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
. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS,' INCLUDING REPORTS PREPARED Part II- UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS (e.g..
information an'd information with restricted distribution 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 G uide , "
published in November 1979 (see Appendix A, pp. 19-23, for specific guidance) and Supplement I dated February 1982.
- 8. Bibliographic Data Sheet i 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 i 4
for public release so that disclosure _ will not adversely affect the - l 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 I the contractor to perform the patent review . The result of such i
, review shall be reported on NRC Form 426A in item 11 (Exhibit 5). l 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. .
, 1
- 2. Security Review -I 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 4 officer. The standards for marking and handling such reports are given in Part V of this appendix and_NRC Appendix 2101.
s Approved: August 29, 1984 10 l
l c ,
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRQ CONTRACTORS, INCLUDING REPORTS PREPARED NRC' Appendix 3202 -
' Part 11
.' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
C. PROCEDURE
S 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.
i . .
l The Division of Technical Information and Document Control ~ will' 4 review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributing j the report. Unsatisfactory masters will be reported to the NRC 4
project-manager for appropriate contractual action by the contract-ing officer or, in the case of government agency or interagency the performing _
4 agreement work, the publications manager of organization.
- 2. Reprinting
- Requests for reprinting any report subsequent to the initial print-ing require approval of the Division of Technical Information and 3 Document Control. Each request shall include a written justification
~
and the project manager's ' approval for reprinting along with ad-dress labels for the recipients.
- 3. Distribution of Reports t
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 i arrange automatic distribution of these reports-. to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.
! If any -distribution is to be made other than, or in addition to, the
- standard distribution established for the report, written justification and the project manager's approval for printing additional copies i j 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.
4 Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on-a case-by-case basis _.
l
.11 Approved: ' August 29, 1984 l
i
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
- UNOER OR PURSUANT TO INTERAGENCY AGREEMENTS '
- c t ?!
EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED L 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 Tiue Using Advanced Process Monitoring to improve Material Control Subtitle and Type of Report Final Report
( Annual, Topical, etc.) September 1979 - September 1980 Author (s) Prepared t:v R L. Hawkins. R. L. Lynch. R. F. Lumb Contractor NUSAC Incorporated US lear Regulatory 13 Approved : August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part !! __
UNDER OR PURSUANT TO INTERAGENCY AGREE >1ENTS EXHIBIT 2 SAMPLE TITLE P AGE FOR UNCLASSIFIED FORMAL CONTR ACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No. NUREG/ CR.1676 Contractor Report No. (if any) U, SAC 556 Vol., Part, Rev., etc. (if any)
Distribution Category No. (if any) rice Using Advanced Process Monitoring to improve Material Control Subtitle and Type of Report Final Report September 1979. September 1980 (Annual, Topical, etc.)
Report Dates and Bases g co,o.c.o s e., isso Author (s), Editor (s), e- w , ,,
Compiler (s), etc.
Contractor Name gujac =g.o and Address wt . v. wo:
! NRC Sponsorship Pr.p.r.d for 81T.*",*4.5.'.?"?'.','.e.,
c s..... . . s.... . ..
Yv.*J,"e*,': "*a"s3 2 **"'"""*"
' NRC FIN 86437 N RC Contrar* No.
l l
1 l
August 29, 1984 Mpproved: 14 I
_m . . . . _ _ _ n-------------------
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRr Ann naiv 39n9 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Prt !.
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 or Subtitle Independent Verification Test-1 Prepared bv LB n k,2,cn W" L'*'" "' $
Author (s). Editor (s) ., o d AB Eff N C Contractor saad.a National Laboratories Sponsorship h$'*E',ss[ionf Comm
,,', p ,9,i,,,,,
15 Approved: August 29. 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 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
$$$3W R4 Category me LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Subtitle independent verification Testing Program independent Verification Test 1 Report Dates
. ;p im Author (s), Editor (s) * .o e, w'n'n"/4
- ,e"a'e T.'*. N.c' " ' ' ** *
- 0 ~ '**
j Contractor's Sq;ygg**
Name and Address NRC Sponsorship {g*,8 ',oy,,
Office of Inspection and Enforcement U S. Nucleer Regulatory Commission NRC FIN No. NEiot 1
I l
Approved: August 29, 1984 16 e
O .
~
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED N R (' Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS g-.,..
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1 17 Approved: August 29, 1984 l l
1
l PUBLICATION OF TECHNICAL REPORTS PREPARED BY i NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED {
Part !! UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS EXHIBIT 6 )
DISCLAIMER AND AVAILABILITY STATEMENTS '
(BACK OF COVER)
I l
l PeOTICE This report was prepared as an acmeunt of work spenserad by an agency of ew United Steens Gooernment. Neither tfu United $4stes Government not any assity teureof, or any of their employees, makes any warranty, espressed or imedied, or asumes any legal liebelity of re-sponsibility for any tNrd party's use, or the results of such ves, of any informetten, apparehm.
product or process deoclosed in tNs report, or represents that its use IPy such therd party esculd 2
riet infrings prrvete6y owned rights. I l
l NOTICE Availability of Reference Matenals Cited in NRC Publicaters f Most documents cited in N R C publications will be eveitable from one of the follounng sources:
- 1. The NRC Public Occument Room,1717 H Street, N.W.
Washington, OC 20555
- 2. The NRC/GPO Sales Program. U.S. Nuclear Roplatory Commission, Wouhmston, OC 20555
- 3. The National Technical Information Service, Sormgfield. V A 22161 Although the listmg that follows recrements the mopority of documents cited in NRC publicatiore, I it is not intended to be enheustrue. i Referenced documents aveelable for inspection and copyme for a fee from the NRC Public Docu.
ment Room include NRC correnoonderte and internal NRC memorende: NRC Office of trupaction art Enforcement bulletins, circulars, informaten noticas, insoscten and investigsten notice; Lkensee Event Reports: vendor reports and correspondence:Commession pacers: and applicant end licoruse documents and correspondence i The following documents in the NUREG series are eveelable for purchese from the NRC/GPO Seles Program: formel NRC staff and contractor reports. NRC sponsored confersnoe proceedings, and NRC booklets and brochures Also available a o Replatory Guides, NRC regulations en the Code of Fedevel Repulerens, and Nucaser Regulatory Commossoon Issuencee.
Documens eve +lable from the National Technical Information Service include NUREG series reports and technecol reports propered by other federal agencies and reports prepared by the Atomic Energy Commission, forerunner agency to the Nucteer Repletary Commiseen.
Documenu aveelable from public and special technical libranes include all open litereture items. l each as books. joumel and periodical articles and trenesetions. Federal Aeprefer notices, federal and l l
state legaistion. and congressional reports can veuelly be obtained from these librones.
Documents each as theses, donnertations, foreign recorts and trarstatione, and non-NRC conference procesemgs are eveilable for purchese from the orgarnastion sponeonne the publication cited.
Segie copies of NRC draft reports are ava.lable free,to the entent of supply,upon wertten roguest to the Division of Tor.hnical Informaten and Document Control. U S. Nuclear Replatory Com-mission. Washmgton, DC 20555.
Copees of induetry codes and stenderde used in a substantive manner m the NRC replatory process are meinmined at the NRC Ubrary, 7920 Norfolk Avenue, Bethende. Meryland, and are eveelebte there for reference USD by the publ*C. Codes and stener$ are usually copynghted and may be purchased from tne ongmeteg organisaten or, if they are American Nationel Standseds, from the Amencen Nationel Stenderds inntreute.1430 Broedumy, Neur York, NY 10018.
Gro Pese coe, ones:
s i Approved : Augtist 29, 1981 18 l
0
- PUBLICATION OF TECHNICAL REPORTS PREPARED BY NFC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSUANT TO INTER AGFNCY AGREEMENTS Fart II EXHIBIT 7 NRC FORM 335. BIBLIOGRAPHIC DATA SHEET g.
7 E' SISUOGRAPHIC DATA SHEET
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- 19 Approved
- August 29, 1984
PUBL1 CATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 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 i
tNSTRUCTIONS NRC FORM 335. BisLtOGRAPHic OATA SHEET.13 SASED ON GulOELINES FOR FORMAT AND PRCOUCTION OF SCIENTIFIC AND TECHNICAL REPORTS. ANSI 239.18-1974 AVAILABLE FROM AMERICAN NATIONAL STANDAROS INSTITUTE.1430 SROAOWAY. NEW YORK. NY 10018. EACH SEPARATELY 80VNO REPORT FOR EXAMPLE. EACH VOLUME IN A MULTIVOLUME SET-SH ALL HAVE ITS UNICUE SisLIOGR APHIC OATA SHEET.
- 1. REPORT NUMSER. Each individually bound resort smett 10. SPONSORING ORGANIZATION. L.sg NRC Division. Ott ce, carry a waiove alon awa meric designetion (NUREGI assigned U S. Nwcreer Requistorv Commiss.ca. Wasn estoa. OC 20$55.
tv tme Division of Tecmnicos laformation and Document control. A O M. in accordance with American National 11. 8. TYPE OP REPORT. Stero draf t. fiasi oreumieerv. topices.
Staaderd ANSI Z39.23-197e. Tecmaicat Rooort Nwmeer teemaicat reg #etory, overteriv. etc , and, d econceose.
(ST ANL use wooercose letters. Areoic nurmerois, steenee, and .actuseve dates
- vemens oniv. as in the foitowing enamoses NU R EG.0100.
NUREG/CP 0010. NUREGICR 0100, and NUREG.8R 0010. b. PERICOCOVEREO.
For recorts in a series ace Vol., Swoo.. Revie.on, sad Addeacum, ween eecessary. Add Contractor crose. reference 12. SUPPLEMENTARY NOTES. Eater aforrastica act inciwded identification aurnber tit savl below NUREG numoor. e g . eisewaere out vsefus, sucm as Precerad sa cocoerat on witm P N L.x x x x. SA NO x x.x x x x. S Al.x x x x. Presented at coatereace of To ee ovos,smed . Oocaet N o. . Waen a report is revised. ad'cate wastaer tPe new
- 2. TITLE ANO SUOTITLE. Title snow de indicere cieerev and reoort swoersedes or swooieraents ene oider recort.
tr efly the subiect (coverage) of tPe recort; incewdeag say swDtitle to the main titte. When a report is propered in recce 13. ASSTR ACT. lacewde e brief 1200 words or lensi f actuoi swm-teen orie volume, recent the ortmary titte. edd volume a encer v raary of tme most siga f. cent information coatsieed in tPo and include swDtitle for the specific volume. Use wooer sad recort. If tme recort coatsias a sitad caat D'Ohogroomy or lower cose letters, but caostahse corrowter code names. Do literature survey or mu st o's volwraes
- eat.ca if mere Abstreet act use acronyms and tastialisms in tittes; may be adoed in es to be orecered by avtmor or protect meaager oorenthesis.
- 14. DOCUMENT ANALYSIS
- 3. LEAVE SLANK.
- e. K EY WOROS/DESCRIPTORS. Seiect from tae Eaergy 4 DATE REPORT COMPLETEO. Each report smali estry a cate Oote Gese Sveiwt Thesawtws. OCE/ TIC 700m R.S. tme
.adicating incata sad veer protect / test cornoieted crocer swinorized terms that .deatify tae ras or conceot of the research and are swff c.eativ specific and precise to S. AUTHOR (SL Give aeme(s) a coaveat'oase order te g., Joan De used as indes entr.es for cats'oging R. Doe, J. Robert Oost List author's offiliation if it .s differ, eat from the oerforming organiserion. b. IDENTIFIE RS AND OPEN.ENOEO TERMS. Use .deati.
f.ers for protect asmes, code esmes, eoworaeat des'gaetors.
- 4. CATE REPORY ISSUEO. Each report smaa carry a care etc. Use ocea-eaded f kev *ordst terms written in descriptor indicattag moath and voor owbiished. form Itaal for tmose sveiects for an ch no descriptor enests in ime tassovrws.
- 7. PERFORMING ORGANIZATION NAME AND MAILING ADORESS. Give name, street, city, state. and ZIP code. 15. AVAILAtiLITY STATEMENT. Deacte oweiic reieasso.hty.
List no more tPan two 'ews of an orgenstational hierarcmy. for enamose "wahrmted. or heitet.oa for ressoas otaer Disolev the name of the organisation esectly es follows- then security.
Division. Office. Orgeassation or Governraent egency, ead address. 14. SECURITY CLASSIFICATION. Enter u $ Securety C:sss.fi.
cation in accordeace with US Seewrity Regwtat.ons fi e .
- 8. PROJECT / TASK / WORK UNIT NUMSER. Use tPe protect, waciensel.ed) test and work unit numbers weder which the recort was precered til anyl 17 NUMeER OF PAGES. Leave otaan I Added av NTISI
- 9. FIN OR GRANT NUMSER. laseet the FIN or graat aweneer it. PRICE. Leave treak. ( Added av NTIS) wace, an.ch ,ecort w.s oreo.,ed.
Approved: August 29, 1984 20 s *
+
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED
,' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix- 3202 PART III UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT
- 1. Applicability
- a. The requirements of this part apply t'o unclassified contractor technical letter reports. (See Part I. A for definition.)
- b. The' requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory commit-tees which report directly to the Commission.
- 2. Requirements Technical letter reports are prepared, duplicated and distributed in accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the project. The number of copies to be prepared and the distribution of those copies win 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 con'sidered 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 l consulted , and the responsible NRC project manager shall consider
, the patent implications.
If there is a possibility that there is disclosure of developments of an inventive nature , the NRC contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.
21 Approved: August 29, 1984
PUBLICATION OF 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.
i Ap' proved: August 29, 1984 22
- ' 6
- PUBLICATION.OF TECHNICAL REPORTS PREPARED BY l NRC, CONTRACTORS. . INCLUDING REPORTS PREPARED
. UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ~ NRC ' Appendix 3202 4 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 i 1. Applicability I
- 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 t
which report directly to the Commission.
! 2. Front Cover and Title Page
- a. Separate covers (of different paper than that of the text) and
- title page are required.*
f j b. Items such as those shown in Exhibits 3 and 4 and discussed
, below shall appear on the front cover and title page, as appro-j p riate . ** While layouts and typefaces .need not be exactly the j same as in Exhibits 3 and 4,' the items shall appear in approxi-
! mately the locations indicated and with the same relative prominence. 1 l
l (1) NRC Report Number i
! Each report shall be identified by - an NRC-controlled 4
- 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 S
- The cover stock of the performing organization may -be used; however it must include the data elements shown in Exhibit 3.
- l These requirements meet the specifications of American National Standard l ANSI Z39.18-1974, " Guidelines for Format and Production of Scientific and Techni:al Reports," and ANSI Z39.23-1974, " Technical Report Numbers . " ,
l i
23 Approved: August 29, 1984 4 ,
- - - -.--_.l
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-XLLX 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 l
(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 authors' contributions are as editors , compilers ,
etc., so indicate on title page and cover following the names. In addition, list affiliation of each author 4 only if affiliated with an organization other than the organization generating the report.
(b) Authors may be identified on backstrips (spines) of bound volumes.
(4) Organization Identification (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by i
" Prepared for the U.S. Nuclear Regulatory Commission. "
s Approved: August 29, 1984 24
. . ~ . -
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NR,C CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 l 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 twith the date on the title page. Various bases for dating are possible; e.g. , date report completed, date reviews completed, date published, date distributed, etc.
(b) More than one date, with the basis for each, may be shown where this is necessary.
- 3. Availability and Price Information All formal reports will be made available for sale by NRC and NTIS.
The statement shown in Exhibit 6 is required on the inside of the front cover.
- 4. Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government.
Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow-ing additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part I .C. ,
Requirements for Draft Reports).
- 5. Previous Reports in Series If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.
I
- 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.*
- This preferred positioning of the abstract in the document need not be fol- i lowed if the style manual of the originating organization requires a different location .
l 25 Approved: August 29, 1984 l l
l
PUBLICATION OF TECHNICAL REPORTS - PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
- 7. References and 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. Bibliograpic Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page.
B. PATENT AND SECURITY REVIEWS
- 1. Patent Review 3
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.
Approved: August 29, 1984 26
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NBC CONTRACTORS, 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 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.
27 Approved: August 29, 1984 l
.. r -
x -. = . =. : - - - - -
+ '.~
l c PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRQ CONTRACTORS, INCLUDING REPORTS PREPARED
- UNDIR OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 L PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION
- A. APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi-fled and classified reports prepared by NRC contractors . These reports include those designated:
! Official Use Only i
Limited Official Use
! Proprietary Information Safeguards Information Confidential i 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, t Details of the NRC Security Program and specific provisions for deter-j mining when to use the markings exhibited are contained in NRC Appendix 2101.
i The reports covered are defined as sensitive unclassified or classified.
i Sensitive unclassified information refers to information designated Official Use Only , Limited Official Use, and Proprietary Information.
! Sensitive unclassified information also includes Safeguards Information i that must be protected from unauthorized. disclosure pursuant to i 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 l
exported to or disclosed to foreign countries.
- Classified information as used in this part includes Restricted Data, Formerly Restricted Data or National Security Information that requires protection in one of the three classification categories described in Executive O.rder 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 '
i following sections. All sensitive unclassified and classified reports are t to be sent directly to the project manager.
i B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.
i NRC regulations require an Official Use Only marking to be placed on a l report only when the originator or other holder believes the marking is l l
l l
29 Approved: August 29, 1984-
PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREE 31ENTS 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 information originated by the U.S.
Department of State. A report originated by an NRC contractor that contains Limited Official Use information shall be marked as shown in Exhibits 11 through 13.
Procedures for reproducing, transmitting, p rotecting , and handling reports containing Official Use Only and Limited Official Use information and removing such reports from those categories are detailed in NRC Appendix 2101.
C. PROPRIETARY INFOR31ATION Proprietary information is a specific type of Official Use Only informa-tion . Proprietary information includes:
- 1. trade secrets.
- 2. privileged or confidential research, development, commercial or financial information exempt from mandatory disclosure under 10 CFR Part 2, " Rules of Practice for Domestic Licensing Proceed-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 i Official Use Only )
t Approved: August 29, 1984 30 U.__ _ _ _ _ _ . _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ . _ _ _ _ _ _ _ . _ . _ _ _ _ _ _ _ _ _ _ _ _ _ ._
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRQ 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 unclassdied information used in a report which specifically identifies certain licensee's or applicant's detailed:
- 1. security measures for the physical protection of special nuclear material
- 2. security measures for the physical protection and location of certain plant equipment vital to - the safety of production or utilization facilities .
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.
31 Approved: August 29, 1984 I
L
PUBLICATION OF TECHNICAL REPORTS PREPARED- BY NRC Appendix 3202 NRC CONTRACTORS, TNCLUDING 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
l l
l Approved: August 29, 1984 32
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V 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 u or . Editortsi
. u leet flegulatory Commission WiTMHOLO FROM PUBLIC OtSCLOSURE l
l 1
OFFICIAL USE ONLY i i
33 Approved: August 29, 1984 1
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS *-PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I
EXHIBIT 9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION l
OFFICIAL USE ONLY l
J E
NUREG/CR XXXX (S) s Title !
l Subtitle and Type of Report ,
oeIe' IMn.YEe Awthodsl. Eoitonst contractor narne and scorese a:Peto"'*' l S uclear R ulatory Commission Weehington, D .20055 NRC FIN No.
I i
\
l l
l OFFICIAL USE ONLY l
.. Approved: August 29. 1984 34
- ,e
. O PUBLICATION OF TECHNICAL REPORTS PREPARED BY NBC CONTRACTORS INCLUDING REPORTS PREPARED. NRC Appendix 3202 Pi? V l UNbER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY 1
OFFICIAL USE ONLY 35 Approved: August 29, 1984 l
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 uthor Editorts!
. lost Regulatory Commission WifMHOLD FROM PUBLIC DISCLOSURE LIMITED OFFICIAL USE Approved: August 29, 1984 36 4 0
+-
r PUBLICATION OF TECHNICAL REPORTS PREPARED BY NPC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Pet 1; 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 u.aweenoi como i.e tes' i S*[iIsNeU*
m i..m., - - ,
- ret l,;'
uct gug commission l
l LIMITED OFFICIAL USE
.i 37 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3002 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION l
LIMITED OFFICIAL USE 4
LIMITED OFFICIAL USE
.. Approved: August 29, 1984 38
j
. s 1
PUBLICATION OF TECHNICAL REPORTS PREPARED BY l NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 I U$* DER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V l I
EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREGICR XXXX (P)
Title Subtitle and Type of Report Author (s). Editor (s)
Contractor Prepared for U.S. Nuclear Regulatory Commission aft AL OR IN NCI iNFOR ibN TNs doc egnt es Wormaten 4ame of Compaa, and Name of Soommeo be proor arv cor anc a t$
2 790 ten (10CFR 9 Si f10CFR Peat 211 end is e ovehe a sc:osv e a put-et tege WITHMOLO FROM PVOLIC OISCt05UpE
.s.va... r . .no o <.. .c....
PROPRIETARY INFORMATION 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 EXHIBIT 15 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREG,CR-XXXX IPI Title Subtitle and Type of Report Author (s). Editorisi Contractor Prepared for U.S. Nuclear Regulatory Commission FOREIGN ih7CRMAT10N TNs doc contees informaten Name of Compan, and Name of Suomm and mee a o e WITHMoto FacM Pueuc or$CLosynt
>$qaature f.rie ano 0"ces >Oates PROPRIETARY INFORM ATION Approved: August 29, 1984 40
s D
. o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRee CONTRACTORS INCLUDING REPORTS PREPARED NRC Appendix 3202 Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 16 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREGlCR XXXX (P)
Title Subtttle and Type of Report sie P mea i te, y e Aetece'er. Eastoress Contractor merce and scorene Prepared for Diviolon Office U.S. Nuclear Regulatory Commission Weehington, D.C. 20656 NRC FIN No.
GMME C LC FIN A iAL NFORMAT N Th. ument conte.ns enformation subrmfted I
Name o' Comosa, and Ne=e os Suomeen t be a c ee t CC7R 2 790 ten 110CFR 9 St 110CFR Port 211 and es Cl"t i E,"*,"**t I '"* '~' "
WITMMOLD FROM PueLIC DISCLOSURE l
, Sco reu T.rie and On<e. Deeet l PROPRIETARY INFORM ATION 41 Approved: August 29, 1984
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PUBLICAT!ON OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREG/CR-XXXX (P)
Title Subtitle and Type of Report 5.**e'RoEene[IEoUn.'#U. ,
Avinort s: Ecworist a A se mon . s Avtaer'ss. Editorist Contractor nee end 6JJeets Propered for Olvision Office U.S. Nuclear Regulatory Commiselon Washington, D.C. 20666 NRC FIN No.
FOREIGN INFORMATION MeOd!C"f' ' "*'**'*"
.Name ce Comcaav and Nm of Ssometeen ssme e,o.m es.a .ca o
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WITMMOLO FROM PUGUC DiSClosumE I l
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i PROPRIETARY INFORMATION 1
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. Approved: August 29, 1984 42 1
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC, CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 l
- UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Far'. 7 l EXHIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION PROPRIETARY INFORMATION 43 Approved: August 29, 1984
PUBLICATION OF TECliNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION NOTICE THE ATTACHED 00CUMENT CONTAINS "PROPRtETARY iNFOR-MAT 10N" AND SMOULO 8EMANDLEO AS NRC OFFICIALUSEONLY" tNFORMATION. IT SHOUT 0 NOT BE OtSCUSSED Om VACE AVAiLABLE TO ANY PERSON NOT REQUIRING SUCH INFORMA-T10N IN THE CONOUCT OF OFFICIAL SussNESS AND SHOULO 8E STORED. TRANSFERRED. ANO DISPOSED OF SY EACM REC:PtENT IN A MANNER WHICH WtLL ASSURE THAT ITS CONTENTS ARE NOT MADE AVAILA8LE TO UNAUTHORIZED PERSONS.
COPY.
DOCKET NO.
CONTROL.
REPORT.
REC'D W/LTR DTD.
PROPRIETARY INFORMATION Accrowed Decameer 10. tsuo Approved: August 29, 1984 44
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annandiv 370'/
- UN'OER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREGICR-XXXX (SG)
Title Subtitle and Type of Report Authortel Editor (s)
Contractor Propered for U.S. Nuclear Regulatory Commission i
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SAFEGUARDS INFORMATION 45 Approved: August 29, 1984 1
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendi:< 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREE 31ENTS EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORM ATION NUREGICR-XXXX (SG)
Title Subette and Type of Report 5.7.'T2.'!ff2%,L*',
C.R.'*:L ,.
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s ve , ggug commi.. ion SAFEGUARDS INFORM ATION
.. Approved: August 29, 1984 46
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- l PUBLICATION OF TECHNICAL REPORTS PREPARED BY !
NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Anoendix 3202 l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V l EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION l
l SAFEGUARDS INFORMATION 47 Approved: August 29, 1984
PUBLICATZON OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION
-el$i.$ su .\
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. Th SAFEGUARDS INFORMATION
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., S4 THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM 1 UNAUTHORIZED OlSCLOSURE.10 CFR 73.21 AND SECTION 147, ATOMIC ENERGY ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO CIVIL OR CRIMINAL PENALTIES. ,
THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED i PERSONS. WHEN NOT IN USE, IT MUST BE STORED IN A LOCKED SECURITY STORAGE e f CONTAINER.
IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS g DOCUMENT FROM COMPROMISE, THEFT OR UNAUTHORIZED DISCLOSURE.
l IN
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. . _ . _ _ _ , _ _ , , . - . , . . - _ . , - . . - ___ ,-._...m . , . , _ _.m__ _ . . -. .,
, e a s PUBLICATION OF TECHN1 CAL REPORTS PREPARED BY-NRC CONTRACTORS, INCLUDING REPORTS PREPARED
- - UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 -
PART VI HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPEilATIVE 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. 1 A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of information by a contractor shall be designated
" Draft Preliminary Report (or Code)," and shall include the cover sheet :
shown in Exhibit 24. ,
The following notice is to be printed on the bottom of the cover sheet (Exhibit 24):
NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action . It has not have received patent review and may con-tain information received in confidence. Therefore, the con-tents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office.
The recipient is requested to take the necessary action to ensure the protection of this report.
49 Approved: August 29, 1984
PUBL8 CATION OF TECHNICAL REPORTS PREPARED BY.
NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREE 31ENTS
-This notice has been agreed to by the legal staffs of both NRC and . DOE and is not to be added to or changed. Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult with the NRC legal staff.
The " Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of copies specified by the project manager (in most instances this will be fewer than 20 copies).
The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall not distribute copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be designated " Draft Preliminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report.
"Draf t Preliminary Reports (or Codes )" shall not be identified as NUREG/CR ' reports or carry any contractor report number or NRC dis-tribution codes.
B. DISTRIBUTION BY NRC PROJECT MANAGERS The NRC project manager will distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know, and (3) others authorized by the program or project manager. Trans-i 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 Express Mail ( Air Mail weighing more than 10 ounces)
(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A)
C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six months will be allowed for comments and resolution of comments . At the end of the comment period, the NRC project manager shall, with the concurrence of the participants, authorize the contractor to issue the information as a NUREG/CR report in accordance with the provisions of this Chapter.
D. REPORT IDENTIFIERS The " Draft Preliminary Reports (or Codes)" will be uniquely identified only by the Financial Identification Number (FIN) assigned by NRC and l
Approved: August 29, 1984 50
. - - - - - ~
m m_. . - _ _ _ _
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NR.Q CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 Part VI
- UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 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, i
J 51 Approved: August 29, 1984 i
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 ORAFT 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 00E 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.
I Approved: August 29, 1984 52
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT TO: NRC Project Manager
SUBJECT:
ORAFT PRELIMINARY REPORT (CODE) 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: Augus't 29, 1984
PUBLICATTON OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 26 i
TRANSMITTAL SHEET FOR REQUESTING i MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients: Addresses on attached labels Method of Mailing:
// First Class Postal Service to U. S. addresses C/ Express man to U. S. addresses *
/~/ Air mail to foreign addresses
- 1
_/ Surface man to foreign addresses
/-
(may require up to three (3) months)
THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENSITIVE UNCLASSIFIED INFORMATION Special Instructions:
Individual Requesting Mailing:
- Project Manager or High Authority
Enclosures:
- 1. Address labels
- 2. Documents to be maned
- If premium cost mail services are to be used, a Division Director or compar-able or higher authority must certify to the need on NRC Form 420, " Request
- for Premium Cost Mail Service," Premium cost mail is
- 1. Express Mail, Priority Mail (First Class weighing more than 12 ounces)
- 2. International Express Mail ( Air Mail weighing more than 10 ounces)
- (See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, Annex A) 4 1
54 Approved: August 29, 1984
- -, .-- - , - , - , na - - - -- ,a- - - . - - - = - . . - - . - - - - ,. - , - -~- - - , . . ~
l A l ATTACHMENT ~.4 l
STANDARD FORM 1411 WITH INSTRUCTIONS l
- 1. SF.1411 provides a vehicle for the offeror to submit to the Government a pricing proposal of estimated and/or incurred costs by contract line item with supporting information adequately cross-referenced, suitable for detailed analysis. A cost-element breakdown, using the applicable fonnat prescribed in 7A, B, or C below, shall be attached for each proposed line item and must reflect any specific requirements established by the Contracting Officer. Supporting breakdowns must be furnished for each cost element, consistent with offeror's cost accounting system.
When more than one contract line item is proposed, summary total amounts covering all line items must be furnished for each - cost element. If agreement has been reached with Government representatives on use of forward pricing rates / factors, identify the agreement, include a copy, and describe its nature. Depending on offeror's system, breakdowns shall be provided for the following basic elements of cost, as applicable:
Materials - Provide a consolidated priced sununary of individual material quantities included in the various tasks, orders, or contract line items bein proposed and the basis for pricing (vendor quotes, invoice prices, etc. .
Subcontracted Items - Include parts, components, assemblies, and services ;
that are to be produced or perforined by others in accordance with offeror's design, specifications, or direction and that are applicable only to the prime contract. For each subcontract over $500,000, the support should i provide a listing by source, item quantity, price, type of subcontract, degree of competition, and basis for establishing source and reasonableness of price, as well as the results of review and evaluation of subcontract proposals when required by FAR 15.806.
Standard Comercial Items - Consists of items that offeror nonnally fabricates , in whole or in part, and that are generally stocked in inventory. Provide an appropriate explanation of the basis for pricing. If price is based on cost, provide a cost breakdown; if priced at other than cost, provide justification for exemption from submission of cost or pricing data, as required by FAR 15.804-3(e). >
Interorganizational Transfer (at other than cost) - Explain pricing method used. (See FAR 31.205-26).
Raw Material - Consists of material in a form or state that requires further processing. Provide priced quantities of items required for the proposal.
l Purchased Parts - Includes raterial items not covered above. Provide priced quantities'of items required for the proposal.
Interorganizational Transfer (at cost) - Include separate breakdown of cost )
by element.
i Direct Labor - Provide a time-phased (e.g., monthly, quarterly, etc.)
- breakdown of labor hou rs ', rates, and cost by appropriate category, and
- furnish bases for estimates.
l Indirect Costs - Indicate how offeror has computed and applied offeror's indirect costs, including cost breakdowns, and showing trends 'and budgetary data, to provide a basis - for evaluating _ the reasonableness of proposed
- rates. Indicate the rates used and provide an appropriate explanation.
- Other Costs - List all other costs not otherwise included in the categories 4 . described above (e.g., special tooling, travel, computer and consultant i services, preservation, packaging and packing, spoilage and rework, and 4 Federal excise tax on finished articles) and provide bases for pricing, i
Royalties - If more than $250, provide the following information on separate l page for each separate royalty or license fee: name and address of licensor; date of license agreement; patent numbers, patent application j serial numbers, or other basis on which the royalty is payable; brief j description (including any part or model numbers of each contract item or
{ component on which the royalty is payable); percentage or dollar rate of royalty per unit; unit price of contract item; number of units; and total
( dollar amount of royalties. In addition, if specifically requested by the 4 Contracting Officer, provide a copy of the current license agreement and identification of applicable claims of specific patents. (See FAR 27.204 r and 31.205-37).
Facilities Capital Cost of Money - When the offeror elects to claim i facilities capital cost of money as an allowable cost, the offeror must ;
! submit Form CASB-CMF and show the calculation of the proposed amount (see i s
FAR31.205-10).
f 2. As part of the specific information required, the offeror must submit with ,
j offeror's proposal, and clearly identify as such, cost or pricing data (that i is, data that are verifiable and factual and otherwise as defined at FAR
! 15.801). In addition, submit with offeror's proposal any information j reasonably required to explain offeror's estimating process, including;
- a. The judgmental factors applied and the mathematical or other methods i used in the estimate, including those used in projecting from known j j data; and
- b. The nature and amount of any contingencies included in the proposed j price.
- 3. There is a clear distinction between submitting cost or pricing data and merely making available books, records, and other documents without identification. The requirement for submission of cost or pricing data is i- met when all accurate cost or pricing data reasonably available to the j offeror have been submitted, either actually or by specific identification, i to the Contracting Officer or an authorized representative. As later i information comes into the offeror's possession, it should be promptly submitted to the Contracting Officer. The requirement for submission of cost or pricing data continues to the time of final' agreement on price. ,
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- 4. In submitting cfferor's prop; sal, offeror must include an appropriately referenced, of all the cost or pricing data and infonnation
- ** accompanying or identified in the proposal. In addition, any future additions and/or revisions, up to the date of agreement on price, must be annotated on a supplemental index.
- 5. By submitting offeror's proposal, the offeror, if selected for negotiation, grants, the Contracting Officer or an authorized representative the right to examine those books, records, documents, and other supporting data that will permit adequate evaluation of the proposed price. This right may be exercised at any time before award.
- 6. As soon as practicable after final agreement on price, but before the award resulting from the proposal, the offeror shall, under the conditions stated in FAR 15.804-4, submit a Certificate of Current Cost or Pricing Data.
- 7. Headings for Submission of Line-Item Sumaries:
A. New Contracts (including Letter contracts).
Proposed Contract Proposed Contract Cost Elements Estimate-Total Cost Estimate-Unit Cost Reference (1) (2) (3) (4)
Under Column (1) - Enter appropriate cost elements.
Under Column (2) - Enter those necessary and reasonable costs that in offeror's judgment will properly be incurred in efficient contract performance. When any of the costs in this column have already been incurred (e.g., under a letter contract or unpriced order), describe them on an attached supporting schedule. When preproduction or startup costs are significant, or when specifically requested to do so by the Contracting Officer, provide a full identification and explanation of them.
Under Column (3) - Optional, unless required by the Contracting Officer.
Under Column (4) - Identify the attachment in which the information supporting the specific cost element may be found. Attach separate pages as necessary.
B. Chang 2 Orders (modificaticns).
Cost Of Estimated Deleted Cost of All Work Cost Work Already Net Cost To Cost Of Net Cost Of Elements Deleted Performed Be Deleted Work Added Change Reference (1) (2) (3) (4) (5) (6) (7)
Under Column (1) - Enter appropriate cost elements.
Under Column (2) - Include (1) current estimates of what the cost would have been to complete deleted work not yet performed, and (ii) the cost of deleted work already performed.
Under Column (3) - Include the incurred cost of deleted work already performed, actually computed if possible, or estimated in the Contractor's accounting records. Attach a detailed inventory of work, materials, parts, components, and hardware already purchased,
' manufactured, or performed and deleted by the change, indicating the cost and proposed disposition of each line item. Also, if offeror desires to retain these items or- any portion of them, indicate the amount offered for them.
Under Column (4) - Enter the net cost to be deleted which is the 'i estimated cost of all deleted work less the cost of deleted work already performed. Column (2) less Column (3) = Column (4).
Under Column (5) - Enter the offeror's estimate for cost of work added by the change. When nonrecurring costs are significant, or when I specifically requested to do so by the Contracting Officer, provide full l identification and explanation of them. j Under Column (6) - Enter the net cost of change which is the cost of work added, less the net cost to be deleted. When this result is negative, place the amount in parentheses. Column (4) less Column (5) =
Column (6).
Under Column (7) - Identify the attachment in which the information supporting the specific cost element may be found. Attach separate l pages as necessary.
l l , 4 m
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- C. Price Revision /Redetsreination
- Number of Number of Redetermina-Units Units To Be Contract tion Proposal i Cutoff Date Completed Completed Amount Amount Difference V
- (1) (2) (3) (4) (5) (6) 4 i
I Incurred Incurred Incurred i Cost- Cost- Cost- Total Estimated t Cost Preproduc- Completed Work In Incurred Cost To Estimated Elements tion Units Process Cost Complete Total Cost Reference
]
(7) (8) (9) (10) (11) (12) (13) (14) 1 l
l Under Column (1) - Enter the cutoff date required by the contract, if j applicable.
Under Column (2) - Enter the nus6er of units completed during the period for which experienced costs of production are being submitted.
j Under Column (3) - Enter the number of units remaining to be completed under i the contract. ;
a Under Column (4) - Enter the cumulative contract amount.
!l Under Column (5) - Enter the offeror's redetemination proposal amount. ,
l i Under Column (6) - Enter the difference between the contract amount and the redetemination proposal amount. When this result is negative, place the amount in parenthesis. Coluan (4) less Column (5) = Column (6).
~
Under Column (7) - Enter appropriate cost elements. When residual inventory 4
exists, the final costs established under fixed-price-incentive and
{ fixed-price-redeteminable arrangements should be net of the fair market j value of such inventory. In support of subcontract costs, submit a listing
- of all subcontracts subject to repricing action, annotated as to their j status.
Under Column (8) - Enter all costs incurred under the contract before starting production and other nonrecurring costs (usually referred to as
! startup costs) from offferor's books and records as of the cutoff date.
l These include such costs as preproduction engineering, special plant ,
4 rearrangement, training program, and any identifiable nonrecurring costs i such as initial rework, spot' age, pilot runs, etc. In the event the amounts !
l are not segregated in or othemise available from offeror's mcords, enter i in this column offeror's best estimates. Explain the basis for each estimate and how the costs are charged on offeror's accounting records '
1 i
l u_._._._._ _ _ _ _ _ _ _ _._ _ _ _ _
(e.g., included manufacturing in production overhead, etc.). costs as direct engineering labor, charged to units at their various states of contract completion.Also how the costs would be a
{
Under Columns (9) and (10) - Enter in Column (9) the production costs from Column (8) of the units completed as of the cutoff date. offeror's Enter in Column I
(10) the costs of work in process as determined from offeror's records or inventories at the cutoff date. When the amounts for work in process are not available in Contractor's records but reliable estimates for them can b made, enterbetween the estimated amounts in Column (10) and enter in Column (9) the differences the total costs) as of the cutoff date and these estimates. incurred costs (exclusive of preprodu estimates, including identification of any Explain the basis for the anticipated allowances, such as shrinkage, provision for experienced rework, design or changes, etc.
Furnsih contract experienced unit or lot costs (or labor hours) from inception of production to the cutoff date, improvement curves, and any other available cost history pertaining to the item (s) to which offeror's proposal relates.
and(10)).Under Column (11) - Enter total incurred costs (Total of Columns (8), (9),
Under Column (12) - Enter those necessary and reasonable costs that in work to proposal Contractor's be performed relates. under the contract with respect to th Under (12)). Column (13) - Enter total estimated cost (Total of Columns Under Column (14) -
Identify the attachment in which the infonnation supporting the specific cost element may be found.
necessa ry. Attach separate pages as
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- 3. SOLICIT A T aON/ CONT R AC T / MOOS FICAT 60N FORM APPROVED
" - 1"J" -
CONTBACT PRICING PROPOSAL COVER SHEET 3000-0116 NOTE This form is used in contract eetions if submission of cose ce pricing date is required. (See FAR 15 8044f6H
- 2. NAME AND ADORE 55 OF OFFE ROR tinclude ElP Codes 3A. NAME AND TIT LE OF OFFEROR'S POINT 38. T ELEPHONE No.
OF CONTACT
- 4. TYPE OF CONTRACT ACTION tchech)
A NEW CONTRACT D. LETTE R CONTRACT B. CHANGE ORDER E. UNPRICED ORDE R OTHE R (SpecifW C. PRICE REVISION /
RE DETE RMIN ATION
- 5. t yPE OF CONTR ACT tcheth) 6 PROPOSED COST fAes C)
]FFP CPFF CP6F CPAF A.CO5T B. PROFIT /F EE C. TOT AL OTHE R (specify)
] FPI $ $ $
- 7. PLACEt5) AND PE RIOO(5) OF PER FOR MANCE.
8 List and reference the identification. Quentity and totet price proposed for each contract line item. A line item Cost breakdown supporting this recap is re-Quired unless otherwise specified by the Contracting Of fecer. (Contsame on reverse, and then on plein paper,if necesesry. Use same headinas ;
A LINE ITEM NO. B. tDENTIFICATION C. QU ANTITY 0: TOTAL PRICE E.REF.
9 PROVIDE NAME, ADDRESS. AND TELEPHONE NUMBER FOR THE FOLLOWING fitevellebie)
A CONT R ACT ADMINISTRATION OFFICE 8. AUDIT OF F ICE
- 10. WiLL YOU R EQuiR E T HE USE OF AN v GOVE RNMENT PROPERT Y ll A. DO Y OU R EQUIR E GOV E RN- 118. TYPE OF FIN ANCING tv one)
IN T HE PE R F ORMANCE OF T HIS WORK ? tif "Yes." identify) MENT CONTR ACT FINANCING TO PE RFORM THis PROPOSED ADVANCE PROGRESS gCNgCT F fif "Yes " comedese PAYMENTS PAYMENTS YES NO YES NO GUAR ANTEED LOANS
- 12. HAVE YOU BEE N AW AROED ANv CONT R ACT5 OR SUSCONT R ACT5 13.15 THIS PROPOSAL CON 5tSTENT WITH YOUR EST ABLISHED ESTe-FOR THE SAME OR SIMILAR ITEMS WITHIN THE PAST 3 YE AR5? MATING AND ACCOUNTING PRACTICES AND PROCFOURES AND tif "Yes " 6dentify etemin). customerts) and contract numbertsp) F AR PAR T 31 CO5T PR1NCIPLE5? (if "No,"esplesn)
]YES NO YES
]NO
- 14. COST ACCOUNTING STANDARDS BOARD (CASB) DAT A (Pubise Lear 97 3 79 as amended and FAR PART 30)
A. WILL THIS CONT RACT ACT TON BE SUBJECT TO C A58 REGULA. 8. HAVE v0U 5UBMITTED A CA58 OISCLO5URE STATEMENT TION 5* tif "ho,"esplein in propoealI (CASB DS I or RIt til"Yes."specify en proposet the off6te to suhteh submitted and 6f determined to be edeeuetop YES ONO vrS NO C. HAV E YOU BEE N NOTIFiE O T HAT YOU ARE OR MA v BE IN NON- O. is ANY ASPECT OF TH15 PROPOSAL 'NCONSISTENT WITH YOUR COMPLI ANCE WIT H YOUR OISCLO5URE ST ATEMENT OR COST DISCLOSED PR ACTICES OR APPLICABLE COST ACCOUNTING LCCOUNTING ST ANDARO5'tif " Yes."esplesn an proposell S T AN D A R OS * (if "Yes," espleen in proposelp YES hNO YES NO This proposal is submitted in response to the R F P contract, modification, etc in item 1 and reflects our best estimetes and/or actual costs as of this date IS. NAME AND TITLE (Types 16. N AME OF F t RM
- 17. SIGN AT u kE 44. DAT E OF $UBMI5560N N5N 7540-01 142-9645 STANDARD FORM 1411 (10-tal 3 4 I a .101
- U.S. GOVERNMEft? PRINT 1M OFFICE e 1984 0 - 421-$26 (37) Ia"n"g'7cfR$215 2H)
- 4. wLiLi i o r ivN.c vN r .u.c r . voulu ss A r icN ,0 M AP* Ro u u "o - ove No CONTR ACT PRICING PROPOSAL COVER SHEET 3090-0116 NOTE: This form is used in contract actions if submession of cost or orieing data is required (See FAR F5 8044/87)
- 2. NAME AND AcuRE55 OF OFF LROR sinclude 2Jp Codes JA, NAME argO TliLE OF OF F EROR $ POINT Jts. T ELEPHONE NO.
OF CONT ACT
- 4. TYPE OF CONTR ACT ACTICN (Check)
A NEW CONTRACT D. LETTE R CONTRACT 8 CHANGE ORDER E UNPRICEO ORDER OTHER fSpecafyJ C. PRICE REvlSION/
REDETERMINATION
]FSP [CPFF CP)F CPAF A. COST B. PROFITjFEE C. TOT AL FPI OTHER tspeesfy; g g g
- 7. PLACE 15) AND PERIOOt5) OF PERFORM ANCE
- 8. List and referew the identification, quantity and total price proposed for each contract hne item A fine item cost breakdown supporting this recao es re-Quired unless otNrese specif eed by the Contracting Of f ecer. (con tmue on reverse. and then on phida paper, if necessary. Use some headiase J A LINE ITEM NO 8 IDENTIFICATION C. QU ANTITY O' TOTAL PRICE E.REF.
- 9. PROVIDE NAME, ADORESS. AND TELEPHONE NUMBER FOR THE FOLLOWING tif aceifeMe>
Q. CONT R ACT AOMaNiSTR ATION OF F 4CE 8. AvoiT OF FICE
- 10. WILL vou REQUIRE THE USE OF ANY GOVERNMENT PROPERTY &1 A. DO YOU REQutR E GOVERN. 118. TYPE OF FtNANCING tv one)*
IN THE PERFORM ANCE OF THIS WORK P(if "Yes." adentify) MENT CONT R ACT FINANCING TO PERFORM THl5 PROPOSEO ADVANCE PROGRESS C N C T ? (ff "Yee." comple te PAYMENTS PAYMENTS YES NO YES NO GUAR ANTE ED LOANS
- 12. HAVE YOU BEEN AWAROED ANY CONT R ACT5 OR SUSCONT R ACTS 3 3, as THis PROPOSAL CONSIST ENT wiTH VOUR ESTABLISHED ESTe, FOR THE SAME OR StMILAR ITEMS WITHIN THE PAST 3 YEARS? M ATING AND ACCOUNTING PR ACTICES AND PROCEDURES AND til "Yes." sdentary stemtes. customertes and contreet number (e)) F AR PA RT 3 5 COST PR INCIPLES? (If "No," espiemp YES- NO YES hNO
- 14. COST ACCOUNTING STANDARDS BOARD (CASB) DATA trubite Law SI 379 en emended and FAR PART J0)
A. WILL THis CONT R ACT ACTION BE SUBJECT TO CASS REGULA- 5.HAVE YOU SV8MtTTED A CASS DiSCLO5URE STATEMENT TSONP tif ".%e,"esplean in proponell ICASB DS I or 23 9 tif "Yes."speelfy m proposal the office to achich submitted and af denermined to be edeousteJ YES NO YES NO C.HAVE YOU BEEN NOTIFtEO THAT vou ARE OR MAY SE IN NON- D. i5 ANY ASPECT OF THis PROPOSAL INCON585 TENT wtTH YOUR COMPLI ANCE WITH VOUR DISCLOSURE STATEMENT OR COST DISCLOSED PR ACTICES OR APPLICABLE COST ACCOUNTING ACCOUNT lNG ST ANDAR05?(if " Yes,"espiam en proposell S T AN O A R 05 9 (if "Yes," esplem in proposell YES ONO ves O No This proposal is submitted in response to the AFP contract modification, etc. in item 1 and reflects our best estimates and/or actual costs as of this date
- 16. N AME AND T 6 T LE (Type) 16. N AME OF F 4 RM 4 7. 56 GNAT URE 18. DATE OF SuSMISSION NSN f54041-142-9645 343 g.got STANDARO FORM 1411110s3)
PrescrIDed by GSA
- U.S. 00VEseneNT PRDITDeG OFFICs : 1984 0 - 421-526 (37) F AR (se CFR) 53.215 2(c) o .
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Attachment 5 j
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(REVISE 0-6/84) l BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS l
General. The contractor shall submit touchers for cost-reimbursement in the manner and format described herein and as illustrated in the sample voucher.
Number of Copies.. An original and two copies should be mailed to the NRC office identified below.
Frequency. The contractor shall submit claims for reimbursement once each month unless otherwise authorized by the Contracting Officer.
Form. Claims shall be submitted on the Form DC-3 " Voucher for Purchases and Services 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. 1 l
Currency. Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records; payments will be made in that currency. However, the U. S. dollar equivalent for all invoices paid under the contract may not exceed the total U. S. dollars authorized in the contract. ;
Supersession. These instructions supersede all previous billing instructions.
,t'.
INSTRUCTIONS FOR PREPARING COST
, .. INFORMATION FOR NRC CONTRACTS e
Preparation and Itemization of the Voucher. The contractor shall furnish the information set forth in the explanatory notes below. These notes are keyed to the entries on the sample voucher.
Payor's Name and Address. (i) Address the original voucher (with 2 copies) to: U.S. Nuclear Regulatory Commission, Division of Accounting and Finance, Office of Resource Management, ATTN: GOV /COM Accounts Section, Washington, D.C. 20555.
Any questions regarding vouchers yet.to be paid by the NRC should be addressed to Division of Accounting (301-492-7535). Any questions regarding vouchers for which payment has been received (either in full or partially with suspensions or disallowances) should be ad-dressed to the Contracting Officer.
Payee's Name and Address. Show the name of the contractor as it appears in the contract and its correct address; except when an approved assign-ment has been made by the contractor, or a different payee or addressee has been designated, then insert the name and address of the payee.
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.
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(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 Cumulative Ca tegory Negotiated Hours Billed Rate Total Hours Billed (2) Fringe Benefits - This represents fringe benefits applicable to direct labor and billed as a direct cost. Where a rate is used, indicate the rate. Fringe benefits included in direct labor should not be identified here.
(3) Direct Equipment - For educational institu-tions list each item costing $500 or more, and having a life expect-ancy of more than one year. For contractors other than educational institutions list each item costing $200 or more, and having a life expectancy of more than one year. List only those items of equipment for which reimbursement is requested. A reference shall be made to the following (as applicable): (1) the item 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.
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?< \ . u All c:sts ass:ciated with cach trip must be shown in the following farmat: (Unicss the organizatien's travel policy has been n;gotiated
- 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 0 =
- 5. Heals:
- Date Breakt'ast Lunch Dinner
- If not included in Per Diem.
- 6. Tips, Misc.
'(Itemize if more than 510,00)
(8) Subcontracts - Include all costs paid to approved subcontractors during billing period. This includes the details of the subcontract terms (i.e.,
cost-plus-fixed-fee, direct labor, indirect costs, travel, profit, etc.)
(9) Other - List all other direct costs by cost elements and dollar amount separately.
(1) 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.
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(1) Cumulative Amount from Inception to Date of this Billing - Insert the cumulative amounts billed for the major cost elements and adjusted amounts claimed during this contract.
(m) Total Amounts Claimed - Insert the total amounts claimed for the current and cumulative periods.
(n) Adjustments - This includes amounts conceded by the contractor, outstand-ing suspensions, and disapprovals subject to appeal.
(o) Grand Totals S
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a r
{
.. n VOUCHERS FOR PURCHASLS AND SLRVICES OTHER 1HAN PERSONAL SAMPLE VOUCHER Payor's Name and Address (a) Contract Number NRC-10-81-624 The U.S. Nuclear Regulatory Commission Division of Accounting and Finance (b) Title of Project " Study of Nuclear Waste Office of Resource Management Concepts Attention: GOV /C0M Accts Section Washington, D.C. 20555 (c) Voucher Number 003 Payee _'s__Name and Address ABC 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)
(f) Total Fixed-Fee Indiividual to Contract 517,500.00 Regarding This Voucner:
,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 56,800 S2,400
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(1) Direct Labor *
- (2) Fringe Benefits @ l6.5 '-
! (if computed as percentaae) 600 1,200 (3) Direct 5,000 8,000 Eauipment *
(4) flaterials, Supplies and
- Other Expendable Items
- 2,000 4,000 i (5) Premium Pav 100 150
! (6) Consultants = 100 100 (7) Travel - Domestic
- 200 200 Foreien *
(8) Subcontract
- 200 200 (9) Other Costs
- 3,000 9,000 l
(i) INDIRECT COSTS A) Overhead 100 L of Total Direct Costs S13,600 $29,650 (Indicate Base)
Subtotal $27,200 $59.300 l 3,264 B) General & Administrative Expense 6.450 12 L of Cost Elements Nos.1-9. A Total Costs $30,464 565,750 (j) FIXED-FEE EARNED (Formula) 1.523 3.400 (m) Total Amounts Claimed $31.987 $69.150 (n) Adjustments Outstanding Suspensions
- 1,700 1,700
$30.{87 $67.450 (o) Grand Totals
- (REQUIRES SUPPORTING INF0rJ1AT10N.) k (SEE ATTACHED.) \
DC-3 2/82
\
SAMPLE
, SUPPORTING INFORMATION
- 1) Direct Labor - $2400 Labor Labor Hours Hours . Cumulative 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
$2400
- 3) Direct Equipment Spectrometer - General Electric (as approved in Property Schedule) $5,000
- 4) Materials, Supplies & Other Expendable Items 10 Radon Tubes 0 $110.00 =~ $1100.00 6 Pairs Electrostatic Gloves 0 $150.00 = $900.00 52000.00 4 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 580.00 Il DC Project 2) Rental Car 515.00 Officer 4) Per Diem _- 2 Days 0 $50.00 = $100.00 6 ) Tips, Mi sc. $5.00 TOTAL: $200 l
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As
, 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: 53000.00 (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.
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