ORDE' DR SUPPLIES OR SERVICESI PAGE IF PAGES1 4IMPORTANT: Mark all packages and papers with contract andlor order numbers. BPA NO.

1. DATE OF ORDER 2. CONTRACT NO. (If any) 6. SHIP TO:GS35F0751J

3. ORDER NO. MODIFICATION NO. 4. REQUISITION/REFERENCE NO. a. NAME OF CONSIGNEE

03-08-079 U.S. Nuclear Regulatory CommissionNRC-DR-03-08-079 N NRR-08-079 b. STREET ADDRESS

5. ISSUING OFFICE (Address correspondence to) Attn: Matt Johnson

U.S. Nuclear Regulatory Commission Mail Stop: 013-F19Div. of Contracts 11555 Rockville PikeAttn: Jeffrey R. Mitchell, 301-492-3639 d. STATE ZIP CODEMail Stop: TWB-01-BlOM c. CITY

Washington, DC 20555 Rockville MD 20852

7. TO: f. SHIP VIA

a.NAME OF CONTRACTOR

SOLUTRON INC 8. TYPE OF ORDER

b. COMPANY NAME -Fla. PURCHASE - b. DELIVERYREFERENCE YOUR Except for billing instructions on the reverse, this

Please furnish the following on the terms and delivery order is subject to instructionsc. STREET ADDRESS conditions specified on both sides of this order contained on this side only of this form and is

1395 PICCARD DR STE 308 and on the attached sheet, If any, including issued subject to the terms and conditionsdelivery as indicated, of the above-numbered contract.

d. CITY - e. STATE If. ZIP CODEROCKVILLE I MD 1208504349

9. ACCOUNTING AND APPROPRIATION DATA 10. REQUISITIONING OFFICE NRR820-15-111-122 J4143 252A 31x0200.820Obligate $40,000.00

11. BUSINESS CLASSIFICATION (Check appropriate box(es)) 12. F.O.B. POINT

.a. SMALL D- b. OTHER THAN SMALL D-1 C. DISADVANTAGED g g. SERVICE- N/A

DISABLED

[: d. WOMEN-OWNED e. HUBZIne f. EMERGING SMALLBUSINESS OWN-S0E. OWNED

13. PLACE OF 14. GOVERNMENT B/L NO. 15. DELIVER TO F.O.B. POINT 16. DISCOUNT TERMSON OR BEFORE (Date)

a. INSPECTION b. ACCEPTANCE Net 30

17. SCHEDULE (See reverse for Rejections)

QUANTITY UNIT QUANTITYITEM NO. SUPPLIES OR SERVICES ORDERED UNIT PRICE AMOUNT ACCEPTED

(a) (b) (c) (d) (e) (f) (g)The U.S. Nuclear Regulatory Commission (NRC) herebyissues this Delivery Order entitled "Technical Assistance

to Support NRC in the Administration of the Human FactorsInformation System (HFIS)" to Solutron, Inc., per the

attached Statement of Work and additional terms andconditions not specified under the Federal Supply

Schedule GS-35F-0751J.

ORCA.GOV online Reps and Certs incorporated by reference.

18. SHIPPING POINT 19. GROSS SHIPPING WEIGHT 20. INVOICE NO:

21, MAIL INVOICE TO: 17(h)

TOTALSEE BILLING a. NAME $130,55B.28 (Cont.

INSTRUCTIONS Department of Interior / NBC pages)ON NRCPayments@nbc. gov

REVERSE b. STREET ADDRESS (or P.O. Box)Attn: Fiscal Services Branch - D2770 17(I).7301 W. Mansfield Avenue GRAND

TOTALCITY d. STATE e. ZIP CODE

Denver CO 80235-2230

22. UNITED STATES OF AME C/ 23. NAME (Typed)

BY (Signature) Jeffrey R. Mitchell

Contracting officerTITLE: CONTRACTINGIORDERING OFFICER

PWU6 OPIO,/U• • '7 (REV.* 412006)

APR 5. 201W •APFAR 46 CFR 53.213(f)8UNSI REVIEW COMPLETE-

NRC-DR-03-08-079

SinPPLEMENTAL INVOICING INFORMATION

If desired, this order (or copy thereof) may be used by the Contractor as the Contractor's invoice, instead of a separate invoice, provided the followingstatement, (signed and dated) is on (or attached to) the order: "Payment is requested in the amount of $ . No other invoice will be submitted."However, if the Contractor wishes to submit an invoice, the following information must be provided: contract number (if any), order number, item number(s),description of supplies or services, sizes, quantities, unit prices, and extended totals. Prepaid shipping costs will be indicated as a separate item on theinvoice. Where shipping costs exceed $10 (except for parcel post), the billing must be supported by a bill of lading or receipt. When several orders areinvoiced to an ordering activity during the same billing period, consolidated periodic billings are encouraged.

RECEIVING REPORT

Quantity in the "Quantity Accepted" column on the face of this order has been: D7 inspected, [ accepted, B received by me andconforms to contract. Items listed below have been rejected for the reasons indicated.

SHIPMENT ARTIAL DATE RECEIVED SIGNATURE OF AUTHORIZED U.S. GOVT REP. DATE

NUMBER FINAL

TOTAL CONTAINERS GROSS WEIGHT RECEIVED AT TITLE

REPORT OF REJECTIONSUNIT QUANTITY

ITEM NO. SUPPLIES OR SERVICES UNIT REJECTED REASON FOR REJECTION

OPTIONAL FORM 347 (REV. 412006) BACK

GS35F0751 J NRC-DR-03-08-07,

TASK ORDER TERMS AND CONDITIONS

NOT SPECIFIED IN THE CONTRACT

A.1 NRC Acquisition Clauses - (NRCAR) 48 CFR Ch. 20

A.2 Other Applicable Clauses

r See Addendum for the following in full text (if checked)

[] 52.216-18, Ordering

0 52.216-19, Order Limitations

[ 52.216-22, Indefinite Quantity

r 52.217-6, Option for Increased Quantity

r] 52.217-7, Option for Increased Quantity Separately Priced Line Item

[] 52.21.7-8, Option to Extend Services

[X] 52.217-9, Option to Extend the Term of the Contract

A.3 SEAT BELTS

Contractors, subcontractors, and grantees, are encouraged to adopt and enforce on-the-job seat belt policiesand programs for their employees when operating company-owned, rented, or personally owned vehicles.

A.4 WHISTLEBLOWER PROTECTION FOR NRC CONTRACTOR AND SUBCONTRACTOREMPLOYEES (JULY 2006)

(a) The U.S. Nuclear Regulatory Commission (NRC) contractor and its subcontractor are subject to theWhistleblower Employee Protection public law provisions as codified at 42 U.S.C. 5851. NRC contractor(s) andsubcontractor(s) shall comply with the requirements of this Whistleblower Employee Protection law, and theimplementing regulations of the NRC and the Department of Labor (DOL). See, for example, DOL Procedureson Handling Complaints at 29 C.F.R. Part 24 concerning the employer obligations, prohibited acts, DOLprocedures and the requirement for prominent posting of notice of Employee Rights at Appendix A to Part 24.

(b) Under this Whistleblower Employee Protection law, as implemented by regulations, NRC contractor andsubcontractor employees are protected from discharge, reprisal, threats, intimidation, coercion, blacklisting orother employment discrimination practices with respect to compensation, terms, conditions or privileges of theiremployment because the contractor or subcontractor employee(s) has provided notice to the employer,refused to engage in unlawful practices, assisted in proceedings or testified on activities concerning allegedviolations of the Atomic Energy Act of 1954 (as amended) and the Energy Reorganization Act of 1974 (asamended).

(c) The contractor shall insert this or the substance of this clause in any subcontracts involving workperformed under this contract.

Page 3

GS35F0751J NRC-DR-03-08-07,I

A.5 OPTION PERIODS - TASK ORDER/DELIVERY ORDER UNDER A GSA FEDERAL SUPPLYSCHEDULE CONTRACT (MARCH 2007)

The Period of Performance (PoP) for this requirement may extend beyond the Offeror's current PoP on theirGSA Schedule. Offerors may submit proposals for the entire PoP as long as their current GSA Schedulecovers the requested PoP, or their GSA Schedule contains GSA's "Evergreen Clause" (Option to Extend theTerm of the Contract), which covers the requested PoP if/when the option(s) are exercised. Offerors areencouraged to submit accurate/realistic pricing for the requirement's entire PoP, even if the proposed GSASchedule does not include pricing for the applicable option years, etc.

For proposal evaluation purposes, the NRC assumes that applicable Evergreen Clause Option(s) will beexercised and the NRC will apply price analysis, as applicable. It is in the best interest of the Offeror to explainmajor deviations in escalation, proposed in any Evergreen Clause option years. Resulting GSA task/deliveryorder option years subject to the Evergreen Clause will be initially priced utilizing the same rates proposedunder the last GSA-priced year of the subject GSA Schedule. Upon GSA's exercise of the GSA Scheduleoption year(s) applicable to the Evergreen Clause, the NRC will modify the awarded task/delivery order toincorporate either the proposed pricing for the option years or the GSA-approved pricing (whichever is lower).

It is incumbent upon the Offeror to provide sufficient documentation (GSA-signed schedule, schedulemodifications, etc.) that shows both the effective dates, pricing and terms/conditions of the current GSASchedule, as well as Evergreen Clause terms/conditions (as applicable). Failure to provide this documentationmay result in the Offeror's proposal being found unacceptable.

Page 4

NRC-DR-03-08-079 Terms and Conditions

AAI PRICE/COST SCHEDULE

BASE YEAR (1st Year/ 09/01/2008 - 08131/2009CLIN TASK TASK DESCRIPTION / LABOR EST.LEVEL FIXED ESTIMATED

NO CATEGORY OF EFFORT RAo. LIT001 1 Review of Facility LERs/NRC Facility

IRs (Subject Matter Expert II)002 2 Categorize, Code LER/IR Human

Performance Issues (Subject MatterExpert II)

003 Sr. Systems Architect 1.11

004 Travel *OT NTE005 Postage (ODC) ** LOT NTE006 Parking_ (ODC) **LOT NTE

ESTIMATE: $42,376.58

BASE YEAR (2na Year) 09/01/2009 - 08/31/2010CLIN TASK TASK DESCRIPTION / LABOR EST. LEVEL FIXED ESTIMATED

NO CATEGORY 2"FFORT RATF= AM007 1 Review of Facility LERs/NRC Facility J

IRs (Subject Matter Expert I1)008 2 Categorize, Code LER/IR Human a -

-Performance Issues (Subject Matter____Expert 11) n

009 Sr. Systems Architect _ _ _

010 Travel** LOT NTE011 Postage (ODC) LOT NTE012 Parking (OD)** LOT NTE

ESTIMATE: $43,508:24

BASE YEAR (3rd Year) 09/01/2010 - 08/31/2011CLIN TASK TASK DESCRIPTION / LABOR EST. LEVEL FIXED ESTIMATED

NO CATEGORY OF EFFORT RATE " INIT

013 1 Review of Facility LERs/NRC FacilityIRs (Subject Matter Expert II)

014 2 Categorize, Code LER/IR Human,Performance Issues (Subject Matter

015 Expert 11)015_ Sr. Systems Architect

.016 Travel LOT NTE~017 Postage (ODC)* LOT NTE018 Parking (OD)** LOT NTE

ESTIMATE: _ $44,673.46

OPTION YEAR 1 09/01/2011 - 08/31/2012CLIN TASK TASK DESCRIPTION /.LABOR EST. LEVEL FIXED ESTIMATED

NO CATEGORY OF EFFORT RATE I.. ...019 1 Review of Facility LERs/NRC Facility

IRs (Subject Matter Expert II)020 2 Categorize, Code LERIIR Human

Performance Issues (Subject MatterExpert II) .......

021 Sr. Systems Architect W _1

022 Travel ** LOT NTE023 Postage (ODC) ** LOT NTE024 Parking (ODC) ** LOT NTE

ESTIMATE: _.$45,872.77

OPTION YEAR 2 09/01/2012 - 08/31/2013CLIN TASK TASK DESCRIPTION / LABOR EST. LEVEL FIXED ESTIMATED

NO CATEGORY OFfFOR RATE AQL025 1 Review of Facility LERs/NRC Facility " iI• Sbect Matter Expert 11)

026 2 Categorize, Code LER/IR HumanPerformance Issues (Subject Matter

027 Sr. Systems Architect ______

028 Travel **LOT NTE029 Postage (OD•) LOT NTE030 Parking (ODC) **LOT NTE ',

I ESTIMATE: _ _ $47,109.27

TOTAL BASE YEAR PLUS OPTION YEARS ONE AND TWO $223,540.32

I

** These items are Open Market and do not apply to the Federal Supply Schedule Terms and Conditions.These items must comply with the following clauses incorporated by reference:

NUMBER TITLE DATEREFERENCE

REFERENCE

FAR 52.212-4 CONTRACT TERMS AND CONDITIONS MARCH 2001COMMERCIAL ITEMS

FAR 52.212-5 CONTRACT TERMS AND CONDITIONS MARCH 2001REQUIRED TO IMPLEMENT STATUES OREXECUTIVE ORDERS - COMMERCIAL ITEMS

A.2 CONSIDERATION AND OBLIGATION--COST REIMBURSEMENT (JUN 1988) ALTERNATE I(JUN 1988)

(a) The total estimated cost to the Government for full performance under this contract is $130,558.28.

(b) The amount presently obligated by the Government with respect to this contract is $40,000.00.

(c) It is estimated that the amount currently allotted will cover performance through the effective period of thesubject contract.

A.3 DURATION OF CONTRACT PERIOD (MAR .1987) ALTERNATE 2 (MAR 1987) tThis contract shall commence on 09/01/2008 and will expire on 08/31/2011. The term of this contract may

be extended at the option of the Government for an additional two 1-year options.

A.4 2052.209-71 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST(REPRESENTATION) (OCT 1999)

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

The award to __SOLUTRON, INC. of a contract or the modificationof an existing contract does / / does not / X/ involve situations or relationships of the type set forth in 48 CFR2009.570-3(b).

(a) If the representation, as completed, indicates that situations or relationships of the type set forth in 48CFR 2009.570-3(b) are involved, or the contracting officer otherwise determines that potential organizationalconflicts of interest exist, the offeror shall provide a statement in writing which describes in a concise.mannerall relevant factors bearing on his representation to the contracting officer. 'If the contracting officer determinesthat organizational conflicts exist, the following actions may be taken:

(1) Impose appropriate conditions which avoid such conflicts,

(2) Disqualify the offeror, or

(3) Determine that it is otherwise in the best interest of the United States to seek award of the contractunder the waiver provisions of 48 CFR 2009-570-9.

(b) The refusal to provide the representation required by 48 CFR 2009.570-4(b), or upon request of thecontracting officer, the facts required by 48 CFR 2009.570-3(b), must result in disqualification of the offeror foraward.

A.5 2052.209-72 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (JAN 1993)

(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 interests (financial, contractual,organizational, or otherwise) which relate to the work .under this contract; and

(2) Does not obtain an unfair competitive advantage over other parties by virtue of its performance of thiscontract.

(b) Scope. The restrictions described apply to performance or participation by the contractor, as defined in

48 CFR 2009.570-2 in the activities covered by this clause.

(c) Work for others.

(1) Notwithstanding any other provision of this contract, during the term of this contract, the contractoragrees to forego entering into consulting or other contractual arrangements with any firm or organization theresult of which may give rise to a conflict of interest with respect to the work being performed under thiscontract. The contractor shall ensure that~all employees under this contract abide by the provision of this

clause. If the contractor has reason to believe, with respect to itself or any employee, that any proposedconsultant or other contractual arrangement with any firm or organization may involve a potential conflict ofinterest, the contractor shall obtain the written approval of the contracting officer before the execution of suchcontractual arrangement.

(2) The contractor may not represent, assist, or otherwise support an NRC licensee or applicantundergoing an NRC audit, inspection, or review where the activities that are the subject of the audit, inspection,or review are the same as or substantially similar to the services within the scope of this contract (or task orderas appropriate) except where the NRC licensee or applicant requires the contractor's support to explain ordefend the contractor's prior work for the utility or other entity which NRC questions.

(3) When the contractor performs work for the NRC under this contract at any NRC licensee or applicantsite, the contractor shall neither solicit nor perform work in the same or similar technical area for that licenseeor applicant organization for a period commencing with the award of the task order or beginning of work on thesite (if not a task order contract) and ending one year after completion of all work under the associated taskorder, or last time at the site (if not a task order contract).

(4) When the contractor performs work for the NRC under this contract at any NRC licensee or applicantsite,

(i) The contractor may not solicit work at that site for that licensee or applicant during the period ofperformance of the task order or the contract, as appropriate.

(ii) The contractor may not perform work at that site for that licensee or applicant during the period ofperformance of the task order or the contract, as appropriate, and for one year thereafter.

(iii) Notwithstanding the foregoing, the contracting officer may authorize the contractor to solicit or performthis type of work (except work in the same or similar technical area) if the contracting officer determines thatthe situation will not pose a potential for technical bias or unfair competitive advantage.

(d) Disclosure after award.

(1) The contractor warrants that to the best of its knowledge and belief, and except as otherwise set forth inthis contract, that it does not have any organizational conflicts of interest as defined in 48 CFR 2009.570-2.

(2) The contractor agrees that if, after award, it discovers organizational conflicts of interest with respect tothis contract, it shall make an immediate and full disclosure in writing to the contracting officer. This statementmust include a description of the action which the contractor has taken or proposes to take to avoid or mitigatesuch conflicts. The NRC may, however, terminate the contract if termination is in the best interest of theGovernment.

(3) It is recognized that the scope of work of a task-order-type contract necessarily encompasses a broadspectrum of activities. Consequently, if this is a task-order-type contract, the contractor agrees that it willdisclose all proposed new work involving NRC licensees or applicants which comes within the scope of work ofthe underlying contract. Further, if this contract involves work at a licensee or applicant site, the contractoragrees to exercise diligence to discover and disclose any new work at that licensee or applicant site. Thisdisclosure must be made before the submission of a bid or proposal to the utility or other regulated entity andmust be received by the NRC at least 15 days before the proposed award date in any event, unless a writtenjustification demonstrating urgency and due diligence to discover and disclose is provided by the contractorand approved by the contracting officer. The disclosure must include the statement of work, the dollar value ofthe proposed contract, and any other documents that are needed to fully describe the proposed work for theregulated utility or other regulated entity. NRC may deny approval of the disclosed work only when the NRChas issued a task order which includes the technical area and, if site-specific, the site, or has plans to issue a

task order which includes the technical area and, if site-specific, the site, or when the work violates paragraphs(c)(2), (c)(3) or (c)(4) of this section.

(e) Access to and use of information.

(1) If in the performance of this contract, the contractor obtains access to information, such as NRC plans,policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (5 U.S.C. Section552a (1988)), or the Freedom of Information Act (5 U.S.C. Section 552 (1986)), the contractor agrees not to:

(i) Use this information for any private purpose until the information has been released to the public;

(ii) Compete for work for the Commission based on the information for a period of six months after eitherthe completion of this contract or the release of the information to the public, whichever is first;

(iii) Submit an unsolicited proposal to the Government based on the information until one year after therelease of the information to the public; or

(iv) Release the information without prior written approval by the contracting officer unless the informationhas 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 (5 U.S.C. Section 552a (1988)), or the Freedom of Information Act (5U.S.C. Section 552 (1986)), or other confidential or privileged technical, business, or financial informationunder this contract, the contractor shall treat the information in accordance with restrictions placed on use ofthe information.

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

(f) Subcontracts. Except as provided in 48 CFR 2009.570-2, the contractor shall include this clause,including this paragraph, in subcontracts of any tier. The terms contract, contractor, and contracting officer,must be appropriately modified to preserve the Government's rights.

(g) Remedies. For breach of any of the above restrictions, or for intentional nondisclosure ormisrepresentation of any relevant interest required to be disclosed concerning this contract or for sucherroneous representations that necessarily imply bad faith, the Government may terminate the contract fordefault, disqualify the contractor from subsequent contractual efforts, and pursue other remedies permitted bylaw or this contract.

(h) Waiver. A request for waiver under this clause must be directed in writing to the contracting officer inaccordance with the procedures outlined in 48 CFR 2009.570-9.

(i) Follow-on effort. The contractor shall be ineligible to participate in NRC contracts, subcontracts, orproposals therefor (solicited or unsolicited), which stem directly from the contractor's performance of workunder this contract. Furthermore, unless so directed in writing by the contracting officer, the contractor may notperform any technical consulting or management support services work or evaluation activities under thiscontract on any of its products or services or the products or services of another firm if the contractor has beensubstantially involved in the development or marketing of the products or services.

(1) If the contractor, under this contract, prepares a complete or essentially complete statement of work orspecifications, the contractor is not eligible to perform or participate in the initial contractual effort which isbased on the statement of work or specifications. The contractor may not incorporate its products or services

in the statement of work or specifications unless so directed in writing by the contracting officer, in which casethe restrictions in this paragraph do not apply.

(2) Nothing in this paragraph precludes the contractor from offering or selling its standard commercial itemsto the Government.

A.6 2052.215-70 KEY PERSONNEL (JAN 1993)

(a) The following individuals are considered to be essential to the successful performance of the workhereunder:

Joe Orth, Project ManagerAndrea Cross-Dial, Subject Matter SpecialistDenise Brooks, Subject Matter Specialist

The contractor agrees that personnel may not be removed from the contract work or replaced withoutcompliance with paragraphs (b) and (c) of this section.

(b) If one or more of the key personnel, for whatever reason, becomes, or is expected to become,unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected todevote substantially less effort to the work than indicated in the proposal or initially anticipated, the contractorshall immediately notify the contracting officer and shall, subject to the con-cUrrence of the contracting officer,promptly replace the personnel with personnel of at least substantially equalability and qualifications.

(c) Each request for approval of substitutions must be in writing and contain a detailed explanation of thecircumstances necessitating the proposed substitutions. The request must also contain a complete resume forthe proposed substitute and other information requested or needed by the contracting officer to evaluate theproposed substitution. The contracting officer and the project officer shall evaluate the contractor's requestand the contracting officer shall promptly notify the contractor of his or her decision in writing.

(d) If the contracting officer determines that suitable and timely replacement of key personnel who havebeen reassigned, terminated, or have otherwise become unavailable for the contract work is not reasonablyforthcoming, or that the resultant reduction of productive effort would be so substantial as to impair thesuccessful completion of the contract or the service order, the contract may be terminated by the contractingofficer for default or for the convenience of the Government, as appropriate. If the contracting officer finds thecontractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward tocompensate the Government for any resultant delay, loss, or damage.

A.7 2052.215-71 PROJECT OFFICER AUTHORITY (NOVEMBER 2006)

(a) The contracting officer's authorized representative (hereinafter referred to as the project officer) for this

contract is:

Name: Matthew Johnson

Address: Mail Stop: 013-F1911555 Rockville PikeRockville MD 20852

Telephone Number: 301-415-2267

(b) Performance of the work under this contract is subject to the technical direction of the NRC project officer.The term "technical direction" is defined to include the following:

(1) Technical direction to the contractor which shifts work emphasis between areas of work or tasks,authorizes travel which was unanticipated in the Schedule (i.e., travel not contemplated in the Statement ofWork (SOW) or changes to specific travel identified in the SOW), fills in details, or otherwise serves toaccomplish the contractual SOW.

(2) Provide advice and guidance to the contractor in the preparation of drawings, specifications, or technicalportions of the work description.

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

(c) Technical direction must be within the general statement of work stated in the contract. The project officerdoes not have the authority to and may not issue any technical direction which:

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

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

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

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

(5) Terminates the contract, settles any claim or dispute arising under the contract, or issues any unilateraldirective whatever.

(d) All technical directions must be issued in writing by the project officer or must be confirmed by the projectofficer in writing within ten (10) working days after verbal issuance. A copy of the written direction must befurnished to the contracting officer. A copy of NRC Form 445, Request for Approval of Official Foreign Travel,which has received final approval from the NRC must be furnished to the contracting officer.

(e) The contractor shall proceed promptly with the performance of technical directions duly issued by theproject officer in the manner prescribed by this clause and within the project officer's authority under theprovisions of this clause.

(f) If, in the opinion of the contractor, any instruction or direction issued by the project officer is within one ofthe categories as defined in paragraph (c) of this section, the contractor may not proceed but shall notify thecontracting officer in writing within five (5) working days after the receipt of any instruction or direction and shallrequest the contracting officer to modify the contract accordingly. Upon receiving the notification from thecontractor, the contracting officer shall issue an appropriate contract modification or advise the contractor inwriting that, in the contracting officer's opinion, the technical direction is within the scope of this article anddoes not constitute a change under the "Changes" clause.

(g) Any unauthorized commitment or direction issued by the project officer may result in an unnecessarydelay in the contractor's performance and may even result in the contractor expending funds for unallowablecosts under the contract.

(h) A failure of the parties to agree upon the nature of the instruction or direction or upon the contract actionto be taken with respect thereto is subject to 52.233-1 -Disputes.

(i) In addition to providing technical direction as defined in paragraph (b) of the section, the project officershall:

(1) Monitor the contractor's technical progress, including surveillance and assessment of performance, andrecommend to the contracting officer changes in requirements.

(2) Assist the contractor in the resolution of technical problems encountered during performance.

(3) Review all costs requested for reimbursement by the contractor and submit to the contracting officerrecommendations for approval, disapproval, or suspension of payment for supplies and services requiredunder this contract.

(4) Assist the contractor in obtaining the badges for the contractor personnel.

(5) Immediately notify the Security Branch, Division of Facilities and Security (SB/DFS) (via e-mail) when acontractor employee no longer requires access authorization and return of any NRC issued badge to SB/DFSwithin three days after their termination.

(6) Ensure that all contractor employees that require access to classified Restricted Data or NationalSecurity Information or matter, access to sensitive unclassified information (Safeguards, Official Use Only, andProprietary information) access to sensitive IT systems or data, unescorted access to NRC controlledbuildings/space, or unescorted access to protected and vital areas of nuclear power plants receive approval ofSB/DFS prior to access in accordance with Management Directive and Handbook 12.3.

(7) For contracts for the design, development, maintenance or operation of Privacy Act Systems ofRecords, obtain from the contractor as part of closeout procedures, written certification that the contractor hasreturned to NRC, transferred to the successor contractor, or destroyed at the end of the contract in accordancewith instructions provided by the NRC Systems Manager for Privacy Act Systems of Records, all records(electronic or paper) which were Created, compiled, obtained or maintained under the contract.

A.8 2052.215-77 TRAVEL APPROVALS AND REIMBURSEMENT (OCT 1999)

(a) All foreign travel must be approved in advance by the NRC on NRC Form 445, Request for Approval ofOfficial Foreign Travel, and must be in compliance with FAR 52.247-63 Preference for U.S. Flag Air Carriers.The contractor shall submit NRC Form 445 to the NRC no later than 30 days before beginning travel.

(b) The contractor must receive written approval from the NRC Project Officer before taking travel that wasunanticipated in the Schedule (i.e., travel not contemplated in the Statement of Work, or changes to specifictravel identified in the Statement of Work).

(c) The contractor will be reimbursed only for those travel costs incurred that are directly related to thiscontract and are allowable subject to the limitations prescribed in FAR 31.205-46.

(d) It is the responsibility of the contractor to notify the contracting officer in accordance with the Limitationsof Cost clause of this contract when, at any time, the contractor learns that travel expenses will cause thecontractor to exceed the estimated costs specified in the Schedule.

(e) Reasonable travel costs for research and related activities performed at State and nonprofit institutions,in accordance with Section 12 of Pub. L. 100-679, shall be charged in accordance with the contractor'sinstitutional policy to the degree that the limitations of Office of Management and Budget (OMB) guidance arenot exceeded. Applicable guidance documents include OMB Circular A-87, Cost Principles for State and LocalGovernments; OMB Circular A-1 22, Cost Principles for Nonprofit Organizations; and OMB Circular A-21, CostPrinciples for Educational Institutions.

A.9 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 2000)

(a) The Government may extend the term of this contract by written notice to the Contractor within 60 days;provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 60days days before the contract expires. The preliminary notice does not commit the Government to anextension.

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

(c) The total duration of this contract, including the exercise of any options under this clause, shall notexceed five years.

A.10 52.232-7 PAYMENTS UNDER TIME-AND-MATERIALS AND LABOR-HOUR CONTRACTS(FEB 2007) ALTERNATE I (FEB 2007)

The Government will pay the Contractor as follows upon the submission of vouchers approved by the

Contracting Officer or the authorized representative:

(a) Hourly rate.

(1) Hourly rate means the rate(s) prescribed in the contract for payment for labor that meets the laborcategory qualifications of a labor category specified in the contract that are--

(i) Performed by the Contractor;

(ii) Performed by the subcontractors; or

(iii) Transferred between divisions, subsidiaries, or affiliates of the Contractor under a common control.

(2) The amounts shall be computed by multiplying the appropriate hourly rates prescribed in the Scheduleby the number of direct labor hours performed.

(3) The hourly rates shall be paid for all labor performed on the contract that meets the labor qualificationsspecified in the contract. Labor hours incurred to perform tasks for which labor qualifications were specified inthe contract will not be paid to the extent the work is performed by employees that do not meet thequalifications specified in the contract, unless specifically authorized by the Contracting Officer.

(4) The hourly rates shall include wages, indirect costs, general and administrative expense, and profit.Fractional parts of an hour shall be payable on a prorated basis.

(5) Vouchers may be submitted once each month (or at more frequent intervals, if approved by theContracting Officer), to the Contracting Officer or authorized representative. The Contractor shall substantiatevouchers (including any subcontractor hours reimbursed at the hourly rate in the schedule) by evidence ofactual payment and by--

(i) Individual daily job timekeeping records;

(ii) Records that verify the employees meet the qualifications for the labor categories specified in thecontract; or

(iii) Other substantiation approved by the Contracting Officer.

(6) Promptly after receipt of each substantiated voucher, the Government shall, except as otherwiseprovided in this contract, and subject to the terms of paragraph (e) of this clause, pay the voucher as approvedby the Contracting Officer or authorized representative.

(7) Unless otherwise prescribed in the Schedule, the Contracting Officer may unilaterally issue a contractmodification requiring the Contractor to withhold amounts from its billings until a reserve is set aside in anamount that the Contracting Officer considers necessary to protect the Government's interests. TheContracting Officer may require a withhold of 5 percent of the amounts due under paragraph (a) of this clause,but the total amount withheld for the contract shall not exceed $50,000. The amounts withheld shall be retaineduntil the Contractor executes and delivers the release required by paragraph (g) of this clause.

(8) Unless the Schedule prescribes otherwise, the hourly rates in the Schedule shall not be varied by virtueof the Contractor having performed work on an overtime basis. If no overtime rates are provided in theSchedule and overtime work is approved in advance by the Contracting Officer, overtime rates shall benegotiated. Failure to agree upon these overtime rates shall be treated as a dispute under the Disputes clauseof this contract. If the Schedule provides rates for overtime, the premium portion of those rates will bereimbursable only to the extent the overtime is approved, by the Contracting Officer.

(b) Materials.

(1) For the purposes of this clause--

(i) Direct materials means those materials that enter directly into the end product, or that are used orconsumed directly in connection with the furnishing of the end product or service.

(ii) Materials means--

(A) Direct materials, including supplies transferred between divisions, subsidiaries, or affiliates of theContractor under a common control;

(B) Subcontracts for supplies and incidental services for which there is not a labor category specified inthe contract;

(C) Other direct costs (e;g., incidental services for which there is not a labor category specified in thecontract, travel, computer usage charges, etc.); and

(D) Applicable indirect costs.

(2) If the Contractor furnishes its own materials that meet the definition of a commercial item at 2.101, theprice to be paid for such materials shall not exceed the Contractor's established catalog or market price,adjusted to reflect the--

(i) Quantities being acquired; and

(ii) Actual cost of any modifications necessary because of contract requirements.

(3) Except as provided for in paragraph (b)(2) of this clause, the Government will reimburse the Contractorfor allowable cost of materials provided the Contractor--

(i) Has made payments for materials in accordance with the terms and conditions of the agreement orinvoice; or

(ii) Ordinarily makes these payments within 30 days of the submission of the Contractor's payment requestto the Government and such payment is in accordance with the terms and conditions of the agreement orinvoice.

/

(4) Payment for materials is subject to the Allowable Cost and Payment clause of this contract. TheContracting Officer will determine allowable costs of materials in accordance with Subpart 31.2 of the FederalAcquisition Regulation (FAR) in effect on the date of this contract.

(5) The Contractor may include allocable indirect costs and other direct costs to the extent they are--

(i) Comprised only of costs that are clearly excluded from the hourly rate;(ii) Allocated in accordance with the Contractor's written or established accounting practices; and(iii) Indirect costs are not applied to subcontracts that are paid at the hourly rates.

(6) To the extent able, the Contractor shall--

(i) Obtain materials at the most advantageous prices available with due regard to securing prompt deliveryof satisfactory materials; and

(ii) Take all cash and trade discounts, rebates, allowances, credits, salvage, commissions, and otherbenefits. When unable to take advantage of the benefits, the Contractor shall promptlynotify the ContractingOfficer and give the reasons. The Contractor shall give credit to the Government for cash and trade discounts,rebates, scrap, commissions, and other amounts that have accrued to the benefit of the Contractor, or wouldhave accrued except for the fault or neglect of the Contractor. The Contractor shall not deduct from gross coststhe benefits lost without fault or neglect on the part of the Contractor, or lost through fault of the Government.

(7) Except as provided for in 31.205-26(e) and (f), the Government will not pay profit or fee to the primeContractor on materials.

(c) If the Contractor enters into any subcontract that requires consent under the clause at 52.244-2,Subcontracts, without obtaining such consent, the Government is not required to reimburse the Contractor forany costs incurred under the subcontract prior to the date the Contractor obtains the required consent. Anyreimbursement of subcontract costs incurred prior to the date the consent was obtained shall be at the solediscretion of the Government.

(d) Total cost. It is estimated that the total cost to the Government for the performance of this contract shallnot exceed the ceiling price set forth in the Schedule, and the Contractor agrees to-use its best efforts toperform the work specified in the.Schedule and all obligations under this contract within such ceiling price. If atany time the Contractor has reason to believe that the hourly rate payments and material costs that will accruein performing this contract in the next succeeding 30 days, if added to all other payments and costs previouslyaccrued, will exceed 85 percent of the ceiling price in the Schedule, the Contractor shall notify the ContractingOfficer giving a revised estimate of the total price to the Government for performing this contract withsupporting reasons and documentation. If at any time during performing this contract, the Contractor hasreason to believe that the total price to the Government for performing this contract will be substantially greateror less than the then stated ceiling price, the Contractor shall so notify the Contracting Officer, giving a revisedestimate of the total price for performing this contract, with supporting reasons and documentation. If at anytime .during performing this contract, the Government has reason to believe that the work to be required inperforming this contract will be substantially greater or less than the stated ceiling price, the Contracting Officerwill so advise the Contractor, giving the then revised estimate of the total amount of effort to be required underthe contract.

(e) Ceiling price. The Government will not be obligated to pay the Contractor any amount in excess of theceiling price in the Schedule, and the Contractor shall not be obligated to continue performance if to do sowould exceed the ceiling price set forth in the Schedule, unless and until the Contracting Officer notifies the

Contractor in writing that the ceiling price has been increased and specifies in the notice a revised ceiling thatshall constitute the ceiling price for performance under this contract. When and to the extent that the ceilingprice set forth in the Schedule has been increased, any hours expended and material costs incurred by.theContractor in excess of the ceiling price before the increase shall be allowable to the same extent as if thehours expended and material costs had been incurred after the increase in the ceiling price.

(f) Audit. At any time before final payment under this contract, the Contracting Officer may request audit ofthe vouchers and supporting documentation. Each payment previously made shall be subject to reduction tothe extent of amounts, on preceding vouchers, that are found by the Contracting Officer or authorizedrepresentative not to have been properly payable and shall also be subject to reduction for overpayments or toincrease for underpayments. Upon receipt and approval of the voucher designated by the Contractor as the"completion voucher" and supporting documentation, and upon compliance by the Contractor with all terms ofthis contract (including, without limitation, terms relating to patents and the terms of paragraph (g) of thisclause), the Government shall promptly pay any balance due the Contractor. The completion voucher, andsupporting documentation, shall be submitted by the Contractor as promptly as practicable followingcompletion of the work under this contract, but in no event later than 1 year (or such longer period as theContracting Officer may approve in writing) from the date of completion.

(g) Assignment and Release of Claims. The Contractor, and each assignee under an assignment enteredinto under this contract and in effect at the time of final payment .under this contract, shall execute and deliver,at the time of and as a condition precedent to final payment under this contract, a release discharging theGovernment, its officers, agents, and employees of and from all liabilities, obligations, and claims arising out ofor under this contract, subject only to the following exceptions:

(1) Specified claims in stated amounts, or in estimated amounts if the amounts are not susceptible of exactstatement by the Contractor.

(2) Claims, together with reasonable incidental expenses, based upon the liabilities of the Contractor to thirdparties arising out of performing this contract, that are not known to the Contractor on the date of the executionof the release, and of which the Contractor gives notice in writing to the Contracting Officer not more than 6years after the date of the release or the date of any notice to the Contractor that the Government is preparedto make final payment, whichever is earlier.

(3) Claims for reimbursement of costs (other than expenses of the Contractor by reason of itsindemnification of the Government against patent liability), including reasonable incidental expenses, incurredby the Contractor under the terms of this contract relating to patents.

(h) Interim payments on contracts for other than services.

(1) Interim payments made prior to the final payme nt under the contract are contract financing payments.Contract financing payments are not subject to the interest penalty provisions of the Prompt Payment Act.

(2) The designated payment office will make interim payments for contract financing on the 30 day after thedesignated billing office receives a proper payment request. In the event that the Government requires an auditor other review of a specific payment request to ensure compliance with the terms and conditions of thecontract, the designated payment office is not compelled to make payment by the specified due date.

(i) Interim payments on contracts for services. For interim payments made prior to the final payment underthis contract, the Government will make payment in accordance with the Prompt Payment Act (31 U.S.C. 3903)and prompt payment regulations at 5 CFR part 1315.

() The terms of this clause that govern reimbursement for materials furnished are considered to have beendeleted.

NRC-DR-03-08-079 STATEMENT OF WORK (SOW)

Technical Assistance to Support NRC in the Administration of theHuman Factors Information System (HFIS)

1. BACKGROUND

The Nuclear Regulatory Commission (NRC) Office of Nuclear Reactor Regulation (NRR) hasthe responsibility for the licensing and regulatory oversight of nuclear power reactors in thecivilian .sector. Among other things, NRR identifies and takes action regarding conditions andlicensee performance that may adversely affect public health and safety, the environment, orthe safeguarding of nuclear reactor facilities, and assesses, recommends or takes actionregarding incidents or accidents.

NNRR's Operator Licensing and Human Performance Branch (IOLB), Division of Inspection andRegional Support (DIRS) evaluates the effectiveness of licensee performance by integratinginputs from several programs and activities and conducts programmatic reviews of humanperformance and training at nuclear power plants. The staff also reviews human performanceand training at individual facility licensee sites. One of the primary tools used by the staff is theHuman Factors Information System (HFIS). HFIS is an automated management informationsystem that contains human performance information derived from NRC Form 366, "LicenseeEvent Reports (LERs)," and from NRC Inspection Reports (IRs). The reports are available tothe general public through the Commission's Agency-wide Documents Access andManagement System (ADAMS) electronic database on the NRC's public website.

2. OBJECTIVES

The objective of this contract is to obtain specialized technical assistance to support the NRC inthe administration of the HFIS. Specific assistance includes conducting humanfactors/performance review of facility LERs and NRC facility IRs, classifying and coding humanperformance issues identified from the review; and orming data entry of the coded isuesinto the NRC's HFIS database. The contractor will be required to provide a monthly businessstatus letter (MBSL) to the NRC for its use in managing the project.

3. TECHNICAL AND OTHER SPECIAL QUALIFICATIONS REQUIRED

Contractor technical personnel shall be subject matter experts in the fields of nuclear powerplant technology and evaluation of human performance (e.g., human factors engineering) forreview and coding of human performance issues identified in LERs and IRs. Contractorpersonnel shall be experienced and proficient with accurately entýeri coded information ontohedata etAry s. The contractor shall have knowledge and experience in managing

projects of similar size and complexity. Additionally, the contractor shall provide to the NRCupdated resumes of project management and technical personnel to be assigned to thiscontract.

4. WORK REQUIREMENTS AND SCHEDULE

The contractor shall perform the tasks listed below and shall follow the specific guidance setforth in Attachment 1, entitled, "Human Factors Information System (HFIS) Coding Schedule."

1

Task 1 Conduct Human Performance Review of Facility Licensee Event Reports (LERs) andNRC Facility Inspection Reports (IRs)

The contractor shall review facility docketed NRC Form 366, "Licensee Event Report (LER)" andNRC facility inspection reports (IRs) for human factors/performance issues. The contractortechnical reviewer shall discern and identify human performance issues discussed in the LERsand IRs abstract and narrative/detail sections.

The NRC will periodically review, on a sampling basis, reviewed LERs and IRs for comparisonto its HFIS database to discern if any deficiencies have been made in contract performance.

Task 2 Categorize and Code LER/IR Human Performance Issues

The contractor shall categorize and code each reviewed LER and IR human performance issueas set forth in Attachment 1, "Human Factors Information System (HFIS) Coding Scheme." Thecontractor technical reviewer shall categorize whether or not the human performance issue isrelated to training (T), procedures and reference documents (P), fitness-for-duty (F), oversight(0), problem identification and resolution (R), communication (C), human-system interface andenvironment (H), and or work planning and practices (W). The contractor technical reviewershall further discern the appropriate "Area" and "Details" coding scheme based upon definitionsprescribed in Attachment 1.

Finally, the contractor technical reviewer shall accurately enter the coded information onto eithera paper copy and or an electronic copy of Attachment 2, "HFIS Data Entry Form for LERs," andor Attachment 3, "HFIS Data Entry Form for Inspection Reports." The contractor shall assembleand provide, on a batch basis (a minimum of 10), a -copy of the completed data entry forms forHFIS database entry, via U.S. mail (and or electronic means), with 15 working days followingthe first of each month to the NRC's Project Manager or Technical Monitor (or to designateddata entry personnel assigned to the HFIS project as directed by NRC).

The NRC will periodically review, on a sampling basis, completed LER and IR data entry formsfor comparison to its HFIS database to discern whether or not a contract performance deficiencyexist.

5. DELIVERABLES

The below deliverables shall be provided in hard copy and/or electronic format in the NRC-approved version of Microsoft Word or other word processing software and/or in Adobe Acrobatfile (pdf). All Task 2 deliverables shall be provided to the NRC Project Officer and/or TechnicalMonitor unless stated otherwise.

Task 2 Categorize, Code LER and IR Human Performance Issues

Deliverable: Provide LER/IR human performance coded reports on a batch basis on a batchbasis (a minimum of 10) and associated data entry sheets (electronic pdf files and or papercopy, upon request)

Due: No later than 15 working days following the first of each month.

6. REPORTING REQUIREMENTS

2

The contractor shall provide a Monthly Letter Status Report, in the same general format asprescribed in Attachment 4, "MLSR Financial Status Report Format," to the NRC Project Officer(PO), Technical Monitor (TM), Contracting Officer (CO), Director of the Division of Inspectionand Regional Support, and the Branch Chief, Operator Licensing and Human Performance bythel5th working day of each month following the report period. The report must identify the titleof the project, contract number, Job Control Number (JCN), project manager and/or principalinvestigator, the contract period of performance, and the period covered by the report. Thereport shall be transmitted electronically to program personnel, with a hard copy sent to the CO.The report shall provide the technical and financial status of the effort.

The technical status section of the report shall contain a summary of the work performed undereach task during the reporting period, and milestones reached, or if missed, an explanation why;any problems or delays encountered or anticipated with recommendations for resolution; andplans for the next reporting period. The status shall include information on travel during theperiod to include purpose of travel, trip start and end dates, destination, and travelers for eachtrip.

The financial status section of the report shall include the total contract award amount and fundsobligated to date; total costs incurred in the reporting period, broken down by direct and indirectcosts, and total cumulative costs incurred to date. The status shall also contain the balance ofobligations remaining at the end of the period and balance of funds required to complete thecontract/task order. Additionally, the report shall address the status of the contractor SpendingPlan (CSP), showing the percentage of project completion and any significant changes in eitherprojected expenditures or percentage of completion. The report should also identify, if any, theacquisition cost, description (model number, manufacturer) and acquisition date of anyproperty/equipment acquired for the project during the month with an acquisition cost more than$500.

If the data in this report indicates a need for additional funding beyond that already obligated,this information may only be used as support to the official request for funding required inaccordance with the Limitation of Cost (LOC) Clause (FAR 52.232-20) or the Limitation ofFunds (LOF) Clause FAR 52.232-22.

7. OVERALL PERFORMANCE STANDARDS AND DEDUCTION SCHEDULE

The following processes will be used by NRC to motivate successful performance of the SOWrequirements stated herein:

1. Failure by the contractor to comply with any of the procedures and/or SOWrequirements stated herein shall constitute a "valid-deficiency" under thiscontract, unless the failure can be shown to be caused by circumstances beyondthe contractor's control.

2. No more than one (1) SOW-deficiency shall be allowed by NRC per calendar-month period, in which the NRC Project Officer (PO) determines the discrepancyis a "valid-deficiency" for non-compliance with any SOW Requirements.

The contractor shall invoice monthly with a single invoice that includes a breakdown of the costof all support provided during the previous calendar-month's period. For any month in which thecontractor fails to comply with the SOW requirements stated herein, NRC reserves the right todeduct the following amounts from that month's total monthly invoice payment:

3

Number of Deduction Schedule Per Monthly Invoice

Deficiencies

0 to 1 0%

2-3 5%

3-4 6%

5-6 8%

7 or more 10%

Under the performance Incentives listed above, NRC will not deduct more than a total of 10%from the monthly invoice. The deductions'listed above do not prevent NRC from taking otherappropriate actions to correct performance problems under this contract.

8. EXPECTED CLASSIFICATION OR SENSITIVITY

The contractor shall consider written reports to be informal draft reports, which contain sensitiveunclassified information. While preparing reports, the contractor shall handle the reports as"Official Use Only" documents. If the contractor obtains propriety or company confidential datafor this contract, the contractor shall agree not to release such information in accordance with10 CFR 2.390 and not to release such information to any person not directly involved inperforming work under this contract unless such release is authorized in writing by the NRCcontracting officer. On completion or termination of this contract, the contractor shall return tothe NRC all copies of any proprietary confidential data.

9. MEETING AND TRAVEL

NRC anticipates the following travel in support of this contract. For purposes of preparing theproposal, all contractors shall propose $4,685 for travel.One, one-person, one-day trip to Rockville, Maryland one week after contract award for

orientation and exchange of materials.

Annually, one-person, one-half-day trip to Rockville, Maryland for briefing on contract status.

One, one-person, one-day trip to Rockville, Maryland at the conclusion of the contract to briefDivision and Branch Management on contract results and accomplishments.

10. NRC FURNISHED MATERIALS

NRC shall provide the contractor a hard copy and/or electronic copy of LERs and IRs for reviewon a batch basis. The NRC will also make available access to its public website fordownloading facility LERs and or NRC facility IRs.

4

11. OTHER APPLICABLE INFORMATION

License Fee Recovery

The work under this contract is not license fee recoverable.

12. ATTACHMENTS

Attachment No. 1 Human Factors Information System (HFIS) Human Performance

Attachment No. 2

Attachment No. 3

Attachment No. 4

Coding Scheme

HFIS Data Entry Form for Inspection Reports

HFIS Data Entry From for LERS

MLSR Financial Status Report Format

5

ATTACHMENT 1

Human Factors Information System (HFIS)Human Performance Coding Scheme

The purpose of Attachment 1, "Human Factors Information System (HFIS) Human PerformanceCoding Scheme" is to ensure that human performance issues identified from technical reviewsof NRC facility inspection reports (IRs) and licensee event reports (LERs) are uniformlycharacterized utilizing the prescribed coding scheme laid out in this attachment.

General Instructions

Upon receiving a batch (usually twelve reports - more or less) of reports for review, thecontractor shall review only reports related a facility licensees' docketed nuclear power plant(Each NRC power facility has a docket pre-fix number beginning with 05000 followed by a twoor three number unique to that unit.) The scope of review does not include reviewing duplicatecopies or non-power reactor facilities or any other NRC licensed facility.

In general, the contractor technical reviewer obtains the report of interest, reviews it for humanperformance issue(s), and then assigns the appropriate coding schemes as described in thisattachment. The reviewer is expected to annotate on the reviewed report margin as necessarythe human performance issue identified. A data entry form for each and every reviewed reportmust be completed. If no human performance issue(s) is (are) identified in the reviewed report,check the appropriate space on the data entry form and fill out the section that contains thereport number, document date, and NRC ADAMS number. Upon review completion, attachedthe completed data entry form to its associated report. Finally, the contractor shall forward thebatch of coded reports along with their data entry forms to the NRC Project Manager (and orNRC Technical Monitor) within 15 working days of the first of each month.

Should any report problems such as missing pages or other relevant information is apparent,the NRC Project Manager/Technical Monitor should be contacted for resolution. All cancelledinspections should be coded as 'None." If two facility licenses are included on one report (e.g.,Hope Creek and Salem), complete a separate data entry form for each facility. Do not capturehuman performance issues in closed LERs or closed violations, unless they are additionalitems/issues discovered during the corrective action phase and not reported in a supplementalLER or inspection report. For the most part, issues reported in accordance with 10 CFR 50.72and 50.73 are LERs and are coded again in inspection reports. Performance deficienciesidentified by facility licensee self-assessments/audits should be coded unless it is apparent thatthey were previously captured.

If multiple examples of a particular type of human performance problem are cited in the report,code each individually. For example, if a "couple" of individuals or instances were involved,code as two issues. If "several" or "multiple" individuals or instances were involved, code asmore than two issues. If numerous individuals or instances are involved, such as dozens, lookfor a more systematic problem in the report.

I

The contractor technical reviewer shall capture multiple entries under the followingcircumstances: (1) if more than one unit involved, code one entry for each unit (e.g., two unitswould get two data entries - the data for each docket/unit entry would be identical, except for theunit docket number; (2) if a personnel error is made and a checker/verifier fails to catch theerror, then code two data entries - one for each human error; and, (3) if a communication issueis involved, then code two data entries, one for each side involved in the communication. Thedetails for the codes would be identical, except for the personnel information may be differentfor each entry.

IR Specific Coding Instructions

The following are codes for the type of inspection:

B: Baseline - the minimum level of inspection conducted at all power reactor facilities,regardless of performance.

S: Supplemental - inspections of performance issues beyond the baseline program. Theincreased inspection effort is based on criteria specified in the assessment program to addressdeclining licensee performance.

P: Special/infrequently performed/event followup - inspections implemented infrequently forspecial situations. This category includes event response inspections, such as incidentinvestigation team (liT) and augmented inspection team (AIT).

A list of the procedures that fall under each code will be provided separately.

Page Number

The page number where the human performance issue is documented will be recorded witheach "hit."

Risk Significance

Human performance issues documented in inspection reports can come from findings,violations, or other areas of the report (e.g., observations). Findings documented in inspectionreport represent a deficiency in a licensee's performance. Findings can be assigned colorsbased on risk significance or can be outside the scope of the ROP (i.e., traditional enforcement).The assigned colors are, in order of risk significance, green, white, yellow, red. The codes forrisk significance are:

G - GreenW - WhiteY- YellowR - Red

- Unresolved item (URI) - finding or risk significance determination has not been completedV - Violation but no color (cited or non-cited)N - Not associated with a finding or violation (e.g., observation)

2

Items coded as "U" must be tracked using their assigned URI number. Once resolved and thesignificance determined, the "U" must be changed to the appropriate risk significance code.

Cross-cutting issues

Cross-cutting issues generally manifest themselves as the root causes of performanceproblems and help in the development of common performance themes when inspectionfindings are reviewed. A finding can contain more than one cross-cutting issue/aspect. Thedetermination of cross-cutting issue/aspect is described in the finding writeup. The cross cuttingissues are:

H: Human performance - the role of plant personnel in plant operations.

P: Problem identification and resolution (PI&R) - detecting and correcting problems in a mannerthat limits the risk to members of the public.

S: Safety conscious work environment (SCWE) - an environment in which employees feel freeto raise safety concerns, both to their management and to the NRC, without fear of retaliation.

N: No cross-cutting issue

,LER Specific Coding Instructions

Page Number

The page number where the human performance issue is documented will be recorded witheach "hit."

Accident Sequence Precursor (ASP)

For events that are identified as potential Accident Sequence Precursors (ASP), the NRC staffcalculates the probability of that event leading to a core damage state. Depending on the typeof event, these calculations can either be conditional core damage probability (CCDP) orincrease in core damage probability (ACDP). These values are reported in the annual Office ofNuclear Regulatory Research Commission Paper, "Status of the Accident Sequence Precursor(ASP) Program and the Development of Standardized Plant Analysis Risk (SPAR) Models."After the status report is released each year, the CCDP or ACDP value should be categorizedfor all LERs that are identified as potential ASP events by using the following safety significancelevels:

H - ji value > 1E-4S - Substantial: 1 E-5 < value < 1 E-4M - Low to Moderate: 1 E-6 < value < 1 E-5L - Very low: value < 1 E-6N - Non ASP

3

Human Factors Information System (HFIS) Coding Scheme

Operator Training (T)

Category Areas Details

T Training T1 Initial 100 Training LTAT2 Continuing/requal 101 Training process problemT3 On-the-job training 102 Individual knowledge LTA

T4 Simulator training 103 Simulator training LTA

Procedures and Reference Documents (P)

Category Areas Details

P Procedures and Reference P1 General operating 110 No procedure/referenceDocuments P2 Abnormal/off normal/ documents

alarm condition 111 Procedure/reference documentP3 Emergency (EOPs & technical content LTAERPs) 112 Procedure/reference documentP4 Reactivity control contains human factors deficienciesP5 Maintenance/ modification 113 Procedure/reference documentP6 Surveillance/ development and maintenance LTAcalibration/testP7 Chemical/ radiochemicalP8 RefuelingP9 AdministrativeP10 Licensing DocumentsP11 SpecialP12 Other

Fitness-For-Duty (F)

Category Areas Details

F Fitness for Duty F1 Drugs 120 Testing LTAF2 Alcohol 121 Assessment LTAF3 Mental/emotional 122 Behavioral observation LTAF4 Fatigue 1.23 Self-declaration LTAF5 Unknown/other 124 Training missing/LTA

125 Work hour control (26, 27, 28)126 Task design/work environment127 Circadian factors/individualdifferences128 Non-compliance129 Impairment

4

Oversight (0)

Category Areas Details

O Oversight 01 Oversight 130 Inadequate supervision/command and control131 Management expectations ordirections LTA

Problem Identification and Resolution (R)

Category Areas Details

R Problem Identification and R1 Problem identification 140 Problem not completely orResolution accurately identified

141 Problem not properly classifiedor prioritized142 Operating experience (OE)* review LTA143 Tracking/trending LTA144 Audit/self-assessment/effectiveness reviewLTA

R2 Problem evaluation 145 Causal development LTA146 Evaluation LTA

R3 Problem resolution 147 Individual corrective action LTA148 Action not yet started oruntimely149 No action planned

R4 Corrective action program 150 Programmatic deficiency

R5 Safety conscious work 151 Willingness to raise concernsenvironment LTA

152 Preventing and detectingretaliation LTA

Communication (C)

Category Areas - Details

5

Category Areas Details

C Communication C1 Oral 160 No communication/informationC2 Written not communicated

161 Communication LTA162 Communication equipmentLTA

Human - System Interface and Environment (H)

Category Areas Details

H Human - System Interface H1 HSI 170 HSI or availability/quality LTAand Environment components/equipment

H2 Simulator 171 Simulator fidelity LTA172 Simulator use LTA

H3 Physical work 173 Physical conditions LTAenvironment

Work Planning and Practices (W)

Category Areas Details

W Work Planning and Practices WI Work planning and 180 Scheduling and planning LTAcoordination 181 Inadequate staffing/task

allocation182 Work package quality LTA183 Pre-job activities LTA184 Tag outs LTA

W2 Work practices 185 Procedural adherence LTA186 Failure to take action/meetrequirements187 Action implementation LTA188 Work practice or craft skill LTA189 Recognition of adversecondition/questioning attitude LTA190 Failure to stop work/non-conservative decision-making191 Team interactions LTA192 Work untimely193 Non-conservative action194 Housekeeping LTA195 Logkeeping or log review LTA196 Independent verification/planttours LTA

6

Category Areas [_Details

W3 Awareness/ attention 197 Self-check LTA198 Worker distracted/interrupted

Area and Detail Definitions

Training: Area Definitions

T1 Initial Training is basic training leading up to initialqualifications

T2 Continuing/requalification Training present advanced topics or presents refreshertraining on basic topics

T3 On-the-job training Training is job performance oriented, is leading to taskqualification and is conducted -in a work environment

T4 Simulator training Training is conducted using a control room simulator

Training: Details Definitions

100 Training less than adequate The problem is due to not providing any training on aspecific .topic or training is incomplete/incorrect

101 Training process problem The problem is due to a break down in the SAT(examples: inadequate job or task analysis, inadequateprogram evaluation or feedback, failure to keep lessonmaterials..current)

102 Individual knowledge less than adequate The worker-has received the appropriate training butfails to apply or inadequately applies .the relevantknowledge

103 Simulator training less than adequate The simulator model does not provide a means ofsimulating a failure of a particular device, or if thesimulator does not mimic the actual system response,or where the simulator performance does not matchactual plant system response.

Procedures and Reference Documents: Area DefinitionsP1 General operating Procedures related to all phases of normal plant

operation (including drawings)

P2 Abnormal/off normal/alarm conditions Any Abnormal Operating Procedure (AOP) or AlarmResponse Procedure (ARP)

7

P3 Emergency (EOPs/ERPs) All Emergency Operating Procedure and EmergencyResponse Procedures

P4 Reactivity control Procedures related to altering the core reactivity(movement between modes) such as general plantstartup, shutdown and includes any governing reactorengineering or nuclear engineering procedure used bycognizant plant staff overseeing the operators as theyalter core reactivity

P5 Maintenance/modification Procedures related to corrective and preventivemaintenance activities; also includes vendor manuals

P6 Surveillance/testlcalibration Procedures governing activities related to testing ofequipment to ensure operability during normaloperation or after maintenance, calibration,troubleshooting

P7 Chemical/radiochemical Procedures related to acquiring current information onradionuclide or water chemistry problems

P8 Refueling Procedures related to movement of fuel or control rods

P9 Administrative Procedures, checklists, etc. related to generalactivities such as: tagging, scaffolding, housekeeping,configuration control

P10 Licensing documents Documents detailing specific license requirementssuch as Technical Specifications, FSAR, or designbasis documents

P11 Special Procedures related to unique situations such as oncein a plant life test, installation of a unique modification

P12 Other Procedure/documents which do not fit into any of theother area

Procedures and Reference Documents: Details Definitions110 No procedure/reference document A procedure does not exist

111 Procedure/reference document technical A procedure exists but does not provide sufficientcontent is less than adequate guidance for the worker to avoid error or if the

procedure contains incorrect information

112 Procedure/reference document contains The procedure content is correct but if the humanhuman factors deficiencies factors design makes it difficult for the worker to follow

the guidance or if the worker misinterprets-informationcontained in the procedure

113 Procedure/reference document The procedure was developed using inadequatedevelopment and maintenance less than analysis or if the procedure has not been updated inadequate either the original or in a specific copy

8

Fitness for Duty: Area Definitions

F1 Drugs The incident/condition is related to the use, sale, orpossession of illegal drugs, or from the use ofprescription or over-the-counter substances

F2 Alcohol The incident/condition is related to the use, sale, orpossession of alcohol

F3 Mental/emotional The incident/condition is related to impairment from atransient personal problem (e.g., divorce or illness ordeath of a family member), or a chronic mental oremotional challenge (e.g., depression)

F4 Fatigue The incident involves an impaired performance due tofatigue/alertness factors, or there is a problem in themanagement of worker fatigue

F5 Unknown/other The incident/condition is related to an impairmentwhere the specific nature of the fitness for duty factor isnot described or is not listed in this section

Fitness for Duty: Detail Definitions

120 Testing less than adequate The incident/condition is related to a lack of orweakness(es) in the drug and alcohol testing program

121 Assessment less than adequate The incident/condition is related to a missing orineffective fatigue assessment

122 Behavioral observation less than adequate The incident/condition is related to a lack of orineffective observation of workers subject to a fitnessfor duty program for behavioral indications that anindividual may not be fit for duty

123 Self-declaration less than adequate The incident/condition is related to the worker notmaking or ineffectively making a statement to asupervisor that he/she is not fit for duty

124 Training less than adequate The incident/condition is related to weakness(es) inFFD training or a failure to receive.training

125 Work hour control The incident/condition is related to ineffective designof routine work schedules and control of unscheduledwork hours (e.g., overtime)

126 Task design/work environment Task factors (e.g., repetition, cognitive stimulation,automation) or environmental factors (e.g., heat,noise) are not effectively controlled to maintain workeralertness

127 Circadian factors/individual differences There is performance impairment related to naturallyoccurring variations in alertness repeating on anapproximate 24 hour cycle or related to differencesamong individuals (including sleep disorders) andindividual lifestyles affecting ability to remain alert or

9

tolerate shiftwork

128 Non-compliance The incident/condition does not meet relevantstandards, procedures, or regulatory requirementsrelated to fitness for duty

129 Impairment The individual(s) ability to safely and competentlyperform duties is impaired or is questionable andcoincides with conditions that contribute to fitness forduty problems (e.g., fatigue: extended work hours,decreased rest, shift transitions), statement of beingunfit for duty, or indication that the individual was unfit(e.g., sleeping, not fully alert/attentive)

Oversight: Area Definitions01 Oversight The incident/condition is due to management or

supervision of work activity or workers

Oversight: Details Definitions -Staffing130 Inadequate supervision/command and The incident/condition is due to a lack of or less thancontrol adequate supervision or command and control of work

activity implementation131 Expectations or directions less than Specific expectations (e.g., from manager, supervisor,adequate etc.) are unavailable, unclear, incorrect, or places

emphasis on meeting schedule in spite of problems,excessive work load, or job demands, or workers feelrushed due. to perceived direction (e.g.,.from

_supervisors, management, etc.)

Problem Identification and Resolution: Area DefinitionsR1 Problem identification The incident/condition is related to the identification of

an issue or deficiencyR2 Problem evaluation The incident/condition is related to the evaluation (e.g.,

apparent cause, root cause) of an issue or deficiencyR3 Problem resolution The incident/condition is related to the corrective

actions to address an issue or deficiencyR4 Corrective action program The incident/condition is related to the effectiveness of

the corrective action program at a programmatic levelR5 Safety conscious work environment The incident/condition is related to employees not

feeling free to raise safety concerns

Problem Identification and Resolution: Details Definitions - Problem Identification140 Problem not completely or accurately The incident/condition is not completely or accuratelyidentified identified at an appropriate threshold, in a timely

matter, and entered correctly into the corrective actionprogram

141 Problem not properly classified or prioritized The incident/condition is not appropriately classified toreceive the proper level .of evaluation (e.g., apparentcause or root cause), or is not prioritized_commensurate with its safety significance

10

142 Operating experience (OE) review less than The incident/condition is related to failure to consideradequate the implications of previous plant or industry OE

(including NRC communications)143 Tracking/trending less than adequate The tracking of problems to identify trends that might

indicate a more significant safety issue is notconducted or is ineffective

144 Audit/self-assessment/effectiveness review The number or quality of audits, self-assessments, orless than adequate effectiveness review is not sufficient to identify

problems

Problem Identification and Resolution: Details Definitions - Problem Evaluation145 Causal development less than adequate The identification of causal factors (e.g., the apparent

or root cause) is not appropriately focused or of theright scope to correct the problem

146 Evaluation less than adequate The problem evaluation does not give appropriateconsideration to the extent of condition, generic

_implications, common cause, or previous occurrences

Problem Identification and Resolution: Details Definitions - Problem Resolution147 Individual corrective action less than A specific fix was not completed, or if completed, wasadequate ineffective in fixing the incident/condition and/or failed

to prevent recurrence148 Action not yet started or untimely A specific corrective action was previously identified,

but has not been started or was not implemented on atimely basis

149 No action planned A previous occurrence did not identify any correctiveactions where there should have been

Problem Identification and Resolution: Details Definitions - Corrective Action Program

150 Programmatic deficiency The program for identifying and correcting problemshas not been effective in addressing problems orpreventing recurrences of problems due toprogrammatic or organizational weaknesses

Problem Identification and Resolution: Details Definitions - Safety Conscious Work Environment

151 Willingness to raise concerns less than There is indication of reluctance to raise safetyadequate concerns152 Preventing and detecting retaliation less The incident/condition is related to ineffective detectionthan adequate jand prevention of retaliation or perceptions ofI retaliation for raising safety concerns

I1I

Communication: Area DefinitionsC1 Oral The incident/condition is related to instructions or

_information transmitted orallyC2 Written The incident/condition is related to instructions or

information other than that in procedures which istransmitted in writing (e.g., night orders, memos,

•__operator aids for operation of equipment)

Communication: Details Definitions160 No Communication/information not , Information is not shared, not found, not used, or sentcommunicated to the wrong place or person161 Communication less than adequate The incident/condition is related to any of the following:

-Information is missing key elements (e.g., notspecifying a particular train), is incorrect (e.g.,misstating information such as providing the wrongidentification number for a piece of equipment), or isconfusing

-The information is correctly stated or written but is notunderstood or is misinterpreted

-The correct information is received late (e.g., startinga test before informing the control room)

-The groups fail to cross check the information beingcommunicated

162 Communication equipment less than No equipment is available, or existing equipment doesadequate not allow for clear communication in the environment in

which it is being used (e.g., too much static, insufficientnumber of radio frequencies to support the amount ofwork, failure to make the signal stand out from the_background noise)

Human-System Interface and Environment: Area Definitions

HI Human-system interface (HSI) The incident/condition is related to any of the following:components/equipment

-Alarms/annunciators (used to provide audible or visualnotifications or indications)

-Controls and input devices (either analog or digital,used to change the operating characteristics ofequipment)

-Displays (not the panel; the presentation ofinformation that is used for monitoring or controllingequipment)

-Panel or workstation layout (the physical arrangementof devices, displays, alarms and equipment as they

12

relate to each other or to the worker)

-Labels (placard or printed information designed toprovide identifying information)

-Pumps, valves, electrical devices, or other devicesthat are operated or needed for the performance of atask

H2 Simulator The incident/condition involves the simulator for non-training purposes

H3 Physical work environment The physical work conditions have an adverse impacton the performance of tasks (e.g., temperature andhumidity (indoor), lighting, noise levels, radiation levels,work area layout or accessibility, and postings)

Human-System Interface and Environment: Details Definitions - HSI Components

170 HSI or information availability/quality lessthan adequate

The incident/condition is related to any of the following:

-Information contained on or location of labels isconfusing or misleading

-Information and identifiably with associated alarms,controls, or displays is not clear

-Presentation of information on menus for CRTscreens or large overview display panels is confusingor misleading (includes hybrid analog and digitalinterfaces)

-The size, shape, coding or scale marking scheme isconfusing or misleading

-Placement, location, spacing, or arrangement ofalarms, control, display, panel or workstation isconfusing or misleading

-Insufficient information presented to support effectivemonitoring, operation or decision making

-No means provided to monitor, assess status, orcontrol a system or component from the control roomor local control station

-Sensitivity of the device is less than adjustmentsrequire

-Number of items or presentation rate of informationprevents the worker from effectively using theinformation to control, assess status, or monitor asystem or component

13

-Placement, location, or arrangement is confusing ormisleading

-The needed tools, materials, or equipment is notavailable or is of poor quality

I

Human-System Interface and Environment: Details Definitions - Simulator

171 Simulator fidelity less than adequate The simulator model does not provide a means ofsimulating a failure of a particular device, does notmimic the actual system response, or does not matchactual plant system response, during uses other thantraining

172 Simulator use less than adequate The simulator should have been used but is not, or it isused for inappropriate purposes (e.g., using thesimulator to collect information on plant response when

_calculations should have been performed)

Human-System Interface and Environment: Details Definitions - Physical Work Environment

173 Physical conditions less than adequate The incident/condition is related to any of the followingphysical work conditions (not related to fatigue oralertness):

-Extremes of either hot or cold temperature or otherextreme weather conditions

-Inadequate level of lighting, too much glare, or wrongcolor lighting

-Distracting noise level

-Work practices required because of the radiationlevel, or performance of the task was made moredifficult by requirements for worker to wear protectiveclothing

-Limited access to equipment or controls

-Inappropriate work area size

-Postings contain limited information, are ininadequate/inappropriate locations, or are untimely,out-of-date, or uncontrolled

14

Work Planning and Practices: Area Definitions

Wl Work planning and coordination The incident/condition is related to the scheduling,allocation, staffing, or planning of work tasks

W2 Conduct of work The incident/condition is due to work practices that arenot consistent with the type, difficulty, or

_importance/risk-significance of the taskW3 Awareness/attention The incident/condition is due to a lack of awareness,

_attention or checking

Work Planning and Practices: Details Definitions - Work Planning and Coordination180 Scheduling and planning less than The incident/condition is due to a lack of scheduling ofadequate work, key aspects of the job not being considered, or

insufficient time available to complete the task

181 Inadequate staffing/task allocation less The incident/condition is due to any of the following:than adequate

-An insufficient number of workers to complete all thetasks needed

-The total number of workers .is adequate, but the way inwhich work is distributed is uneven, overloaded, orrequire too many actions at one time or too muchinformation to be processed concurrently

-Selection of a worker who is not qualified to perform thetask because of inadequate training or due toqualification information nof being up-to-date or readilyavailable

- Inappropriate use of operator workarounds, or theircumulative effect not appropriately considered

182 Work package quality less than adequate The work package is missing information, or theinformation is incorrect or insufficient to ensuresuccessful work

183 Pre-job activities less than adequate The pre-job activities (e.g., briefing, walk through, shiftturnover, or preparation activity) were missing orinsufficiently covered information, or conditions were notverified prior to conducting the activities

184 Tag outs The incident/condition is due to missing or incorrecttagging

15

Work Planning and Practices: Details Definitions - Conduct of Work

185 Procedural adherence less than adequate The appropriate procedure, instruction, drawing, etc., isnot followed or is followed inadequately (if doneknowingly, see code 193)

186 Failure to take action/meet requirements The appropriate action to address thesituation/circumstances. or to meet requirements is nottaken or is taken inadequately (e.g., meet surveillancerequirements, notify NRC)

187 Action implementation less than adequate Implementation of an action (e.g., physical such asmanipulations, or mental such as calculations/analyses)is performed incorrectly or inadequately

188 Work practice or craft skill less than The skill of the craft activities are not performedadequate consistent with management expectations, safety

significance of activity, or industry standards

189 Recognition of adverse Unfavorable/uncertain conditions/situation is notcondition/questioning attitude less than recognized in a timely manneradequate

190 Failure to stop work/non-conservative Personnel fail to stop work or establish appropriatedecision-making controls when presented with unfavorable or uncertain

work conditions

191 Team interactions less than adequate There is a lack of or inadequate inter/intra-groupcoordination

192 Work untimely Work is done before authorized, delayed with or withoutreason, or performed out of sequence

193 Non-conservative action The worker knowinQly fails to follow a procedure or,supervisory direction or takes a non-approved action

194 Housekeeping less than adequate The work areas have unusual amounts of dirt, or tools,materials, and equipment are not properly cared for orstored

195 Logkeeping or log review less than Log entries are missing, incomplete or untimelyadequate •

Work Planning and Practices: Details Definitions - Awareness and Attention

197 Self-check less than adequate A worker fails to adequately self-check before, during, orafter performing task (e.g., Stop, Think, Act, Review)

198 Worker distracted/interrupted/ Includes incidents/conditions due to failing to maintainmonitoring LTA situational awareness or vigilance, conducting infrequent,

or ineffective control board monitoring (eg., statusmonitoring), or being distracted or interrupted fromassigned tasks

16

Work Type Definitions

These codes describe the type of activity being performed by workers at the time the human performanceincidents/condition occurred.

0- Operations - in the control room - control room activities by operations department personnel,including monitoring of displays and phone notification to NRC

B - Operations - balance of plant - any work performed in the field by a member of the operationsdepartment - either licensed or non-licensed

M - Maintenance/repair - any work performed by either electrical, mechanical, or I&C personnel related tomaintenance or repair of equipment

T - Testing - any work performed, regardless of department, for the purpose of testing a system orcomponent

S - Surveillance - any work performed, regardless of department that is specifically related to ensuring ordetermining operability - usually related to Technical Specifications

C - Calibration - any work, usually performed by I&C technicians, related to ensuring that the data outputof a measuring, metering, or detecting device is accurate

F - Modification - any work by any department specifically related to the installation of a modification tothe plant

R - Refueling - any work by any department specifically related to the movement of fuel and any otheractivities occurring on the refueling floor

V - Troubleshooting - any work by any department specifically related to determining the cause of anequipment problem

H - Radiological protection - any work related to performing contamination surveys, decontaminationactivities, source control, or radiation worker activities

G - Desiqn - any work done by engineering in their role as design or system engineers, (e.g., calculationsor analyses)

P - Procedure development - any work by any department related to the development of guidancedocuments including procedures, directives orreference documents, tests, and calculations

Q - Fire protection - any work related to stationary fire watches or fire watch rounds, includes fire brigadedrills

A - Administrative - activities related to material procurement and distribution, manpower planning,

staffing, work planning and scheduling, reporting or documentation (paper LERs), or log keeping

D - Drills - any activities related to the conduct of emergency drills or emergency planning

N - Training - any activities related to the training or qualification of personnel, including classroom as wellas on-the-job training activities

W - Assessment - any type of assessment or evaluation activities, including casual analyses, correctiveaction program evaluations, self-assessments, Technical Specifications reviews, safety reviews (includingindustrial safety), and special reviews

17

Y - Shipping/transportation - any activities related to the shipping, transportation, or receiving of nuclearand/or radioactive materials (e.g., fuel)

X - Site-wide- any activities that are related to or affect all work groups on site

Z - Other/unknown - any specifically identified activity that is not covered in the other definitions, or anyactivity not described in sufficient detail to assign to another work type

Personnel Department Definitions

These codes describe the work departments of the individuals involved in the human performanceincident/condition.

0 - Operations: all licensed operators including reactor operator (RO) and senior reactor operator (SRO),regardless of position. This category also includes system specialists (SS), shift technical advisor (STA),non-licensed operators, rad-waste operators, auxiliary operators, and plant equipment operators.

I - I. & C: includes technicians referred to by this name; may also include those titled maintenancetechnicians or instrument technicians. Tasks are usually associated with conducting surveillance orcalibrating and functionally testing equipment

E - Electrical: includes electricians and electrical maintenance personnel

M - Mechanical: includes mechanics and mechanical maintenance personnel

C - Chemistry: includes chemistry and radio chemistry technicians

H - Health physics: includes health physics and radiation protection technicians and personnel

G - Engineering: includes all types of engineers (e.g., design, plant support,. system engineers)

D - Emergency Planning: includes all personnel responsible for conduct of drills or other emergencyplanning activities

T - Training: includes all training personnel, including on-the-job trainers

Q - Quality assurance/oversight:' includes all those performing QA/QC or nuclear. oversight roles.

F - Fuel handling: includes all personnel performing fuel inspection activities or moving materials in-thefuel pool

P - Procedure writers: includes all personnel with specific responsibility for developing or maintaining thecontent of procedures and other reference documents (process focus)

W - Work control/outage planninq/schedulinq: includes all individuals working in the work center or for aspecific department with work planning or work scheduling responsibilities

A - Administrative support: includes all those responsible for maintaining files, records or otherdocumentationB - Management: used when management is noted as the primary cause of an incident/condition

L - Licensing/regulatory affairs: includes all those responsible for interfacing and communicating with theNRC (tasks include event reporting, document submission, etc.)

S - Specialized task force: includes groups of personnel from multiple departments that have beenbrought together to perform a specialized task over a specific period of time (e.g., root cause analyses,

18

corrective action reviews, self-assessments, vendor reviews, safety reviews, operating experiencereviews, "action plan" activities, industrial hygiene reviews, etc.)

V - Fitness for duty: includes personnel involved in the fitness for dutyprogram (e.g., program manager,specimen collectors, medical review officer, substance abuse expert, testing facility personnel)

Y - ShioDinq/transportation - includes personnel responsible for the shipping, transportation, or receiving

of nuclear and/or radioactive materials (e.g., fuel)

X - Site-wide - used when all work groups on site are involved or affected

Z - Other/unknown: used when a specific group is named but not specifically noted in the coding list, orthe work group cannot be determined based on the information contained in the inspection report or LER

Personnel Level Definitions

M - Manager- all management levels above the first line supervisorS - Supervisor - the first-line supervisor or foremanN - Non-supervisory/technical - those reporting to first-line supervisorU - Unknown - used anytime it is not possible to determine the organizational level of the worker

Personnel License Definitions

Yes - if the worker holds a reactor operator (SRO or RO) licenseNo - if the worker does not hold an SRO or RO licenseUnknown - if it is'not possible to determine whether or not the worker holds a license

Personnel Contractor Definitions

Yes - if the worker is a contractor (includes vendors)No - if the worker is not a contractorUnknown -.if it is not possible to determine whether or not the worker is a contractor

Acronyms

AIT: Augmented inspection teamAO: Auxiliary operatorAOP: Abnormal operating procedureASP: Accident sequence precursorCCDP: Conditional core damage probability.CDP: Core damage probabilityCRT: Cathode ray tubeEO: Emergency operatorEOP: Emergency operating procedureERP: Emergency response procedureFFD: Fitness for dutyFSAR: Final safety analysis reportHP: Health physicsHSI: Human system interfaceI&C: Instrumentation & controlIFI: Inspector followup itemlIT: Incident investigation teamLER: Licensee event reportLTA: Less than adequate

19

OE: Operating experienceOJT: On the job trainingQA/QC: Quality assurance/controlRES: Office of ResearchRO: Reactor operatorROP: Reactor Oversight ProcessRP: Radiation protectionSAT: Systems approach to trainingSRO: Senior reactor operatorSS: Systems specialistSTA: Shift technical advisorURI: Unresolved item

20

ATTACHMENT 2HFIS DATA ENTRY FORM FOR INSPECTION REPORTS

Inspection Report Number: Unit 1 05000 /

Unit 2 05000 / IUnit 3 05000

Unit 4 05000 6 .

Document Date: I (Month/Date/Year) Human Performance?

ADAMS NUMBER: ML Inspection Report Type:

ITEM DATA 1 2 3 4 .5 6 7. 8 9 10 11 12 13

El Yes 0l No

14 15 16 17

Applicable Unit* 4 4- + 4 4-- 4 + 4 + 4 + + f I 4

Work Typet 4 + + 4 4 4 4 + t 4 4 4 1 1 T

Details

Area

Page Number

Risk Significance

Cross-Cutting

PERSONNEL DATA

Department

Level

Licensed

Contractor

ITEM DATA 18 19 20 21 22 *23 24 25 26 '27 28 29 30 31 32 33 34

Applicable Unit

Work Type _

Details

Area

Page Number

Risk Significance ,__

Cross-Cutting

PERSONNEL DATA

Department

Level

Licensed

Contractor

IT-E KA rIATA 00 0 00 Af Al Al Al AA Ar A A7 Ag AQ 'fl •1OuIIfl¶r J 0 of 00 'U tI 48 49 0 5

Applicable Unit

Work Type

Details

Area

Page Number

Risk Significance

Cross-Cutting

PERSONNEL DATA

Department

Level

Licensed

Contractor

ATTACHMENT 3HFIS DATA ENTRY FORM FOR LERS

(docket, 4 digit year, sequential number, Rev. number)LER Report Number: 05000

Human Performance? 0 Yes 0 No

LER Title:

Event Date: ___ / ___ (Month/Date[Year) Event time:

Power Level: _ _ None

ADAMS NUMBER: ML

Other Affected Dockets: 05000 I 05000 / 05000

ITEM DATA 1 2 3 4 5 6 7 8 9

0 None

1n 11 12 1 14 15 16 17Page Number

Work Type

Details

EArea-::PERSONNEL DATA

Department

Level

Licensed

Contractor

ATTACHMENT 4MLSR FINANCIAL STATUS REPORT FORMAT

NRC Job Code Number: J-TBD (specialized internal account number)

TITLE: HUMAN FACTORS INFORMATION SYSTEM (HFIS)

Project Period of Performance: From MM/DD/YYYY to MM/DD/YYYYY

Line Item Description1. Contract Maximum Ordering Limit:

2. Total Funds Obligated to Date:

3. Total Cost Incurred this Reporting Period:

4. Total Cost incurred to Date:

5. Total Staff Hours Worked this Reporting Period: XXX.XX

Amount ($)$XX, XXX.XX

$XX, xxx.xx

$XX, XxX.Xx

$XX, XXX.XX

Current Month FiscalYear "

5.1

5.2

6.

7.

8.

9.

10.

11.

Project Management hours worked XXX.XX XXX)

Technical specialist hours worked XXX.XX XXX.>

Total Staff Hours Worked to Date:

Balance of Obligations Remaining (Line 2 minus Line 4 above)

Remaining Funds to be Obligated (Line 1 minus Line 2 above)

Cumulative Project Completion Percentage(Line 4 divided By Line 1)

Significant Changes to Contractor Spending Plan: (note any)

Direct and indirect Cost Incurred this Reporting Period:Current Month Fiscal

Year To DateDirect Labor $xxx.xx $xxx.xxGeneral Overhead $xxx.xx $xxx.xxTravel Expenses $xxx.xx $xxx.xxOther Direct Cost $xxx.xx $xxx.xx

Totals $xxx.xx $xxx.xx

CumulativeFo Date Proiect To Date,X XXX.XX

,X XXX.XX

XXX.XX

$XX,XXX.XX

$XX, XXX.XX

XXX.XX%

CumulativeProject To Date$xxx.xx$xxx.xx$xxx.xx$xxx.xx$xxx.xx

ATTACHMENT

BILLING INSTRUCTIONS FORLABOR HOURITIME AND MATERIALS TYPE CONTRACTS (JUNE 2008)

General: During performance and through final payment of this contract, the contractor isresponsible for the accuracy and completeness of data within the Central ContractorRegistration (CCR) database and for any liability resulting from the Government's reliance oninaccurate or incomplete CCR data.

The contractor shall prepare vouchers/invoices as prescribed herein. FAILURE TO SUBMITVOUCHERS/INVOICES IN ACCORDANCE WITH THESE INSTRUCTIONS WILL RESULT INREJECTION OF THE VOUCHER/INVOICE AS IMPROPER.

Form: Claims shall be submitted on the payee's letterhead, voucher/invoice, or on theGovernment's Standard Form 1034, "Public Voucher for Purchases and Services Other thanPersonal," and Standard Form 1035, "Public Voucher for Purchases Other than Personal--Continuation Sheet."

Number of Copies: A signed original shall be submitted. If the voucher/invoice includes thepurchase of any property with an initial acquisition cost of $50,000 or more, a copy of the signedoriginal is also required.

Designated Agency Billing Office: The preferred method of submitting vouchers/invoices iselectronically to the Department of the Interior at NRCPayments(anbc.qov

If the voucher/invoice includes the purchase of any property with an initial acquisition cost of$50,000 or more, a copy of the signed original shall be electronically sent to: Propertyv(&nrc.gov

However, if you submit a hard-copy of the voucher/invoice, it shall be submitted to the followingaddress:

Department of the InteriorNational Business CenterAttn: Fiscal Services Branch - D27707301 West Mansfield AvenueDenver, CO 80235-2230

If you submit a hard-copy of the voucher/invoice and it includes the purchase of any propertywith an initial acquisition cost of $50,000 or more, a copy of the signed original shall be mailed tothe following address:

U.S. Nuclear Regulatory CommissionNRC Property Management OfficerMail Stop: O-4D15Washington, DC 20555-0001

HAND-CARRIED SUBMISSIONS WILL NOT BE ACCEPTED

Agency Payment Office: Payment will continue to be made by the office designated in thecontract in Block 12 of Standard Form 26, Block 25 of Standard Form 33, or Block 18a. ofStandard Form 1449, whichever is applicable.

Page 1 of 4

ATTACHMENT

BILLING INSTRUCTIONS FORLABOR HOUR/TIME AND MATERIALS TYPE CONTRACTS (JUNE 2008)

Frequency: The contractor shall submit claims for reimbursement once each month, unlessotherwise authorized by the Contracting Officer.

Format: Claims shall be submitted in the format depicted on the attached sample form entitled"Voucher/Invoice for Purchases and Services Other than Personal" (see Attachment 1); Thesample format is provided for guidance only. The format is not required for submission of avoucher/invoice. Alternate formats are permissible provided all requirements of the billinginstructions are addressed.

Billing of Cost after Expiration of Contract: If costs are incurred during the contract periodand claimed after the contract has expired, you must cite the period during which these costswere incurred. To be considered a proper expiration voucher/invoice, the contractor shall clearlymark it "EXPIRATION VOUCHER" or "EXPIRATION INVOICE".

Final vouchers/invoices shall be marked "FINAL VOUCHER" or "FINAL INVOICE".

Currency: Billings may be expressed in the currency normally used by the contractor inmaintaining his accounting records and payments will be made in that currency. However, the,U.S. dollar equivalent for all vouchers/invoices paid under the contract may not exceed the totalU.S. dollars authorized in the contract.

Supersession: These instructions supersede any previous billing instructions.

R:txtselden\billing instructions LH or TM revised 2008

Page 2 of 4

ATTACHMENT

BILLING INSTRUCTIONS FORLABOR HOUR/TIME AND MATERIALS TYPE CONTRACTS (JUNE 2008)

INVOICENOUCHER FOR PURCHASES AND SERVICES OTHER THAN PERSONAL(SAMPLE FORMAT - COVER SHEET)

1. Official Agency Billing Office

Department of the InteriorNational Business CenterAttn: Fiscal Services Branch - D27707301 West Mansfield AvenueDenver, CO 80235-2230

2. Voucher Information

a. Payee's DUNS Number or DUNS+4. The Payee shall include the Payee's Data UniversalNumber (DUNS) or DUNS+4 number that identifies the Payee's name and address. TheDUNS+4 number is the DUNS number plus a 4-character suffix that may be assigned at thediscretion of the Payee to identify alternative Electronic Funds Transfer (EFT) accounts for thesame parent concern.

b. Payee's Name and Address. Show the name of the Payee as it appears in the contract andits correct address. If the Payee assigns the proceeds of this contract as provided for in theassignment of claims terms of this contract, the Payee shall require as a condition of any suchassignment, that the assignee shall register separately in the Central Contractor Registration(CCR) database at http://www.ccr.gov and shall be paid by EFT in accordance with the terms ofthis contract. See Federal Acquisition Regulation 52.232-33(g) Payment by Electronic FundsTransfer - Central Contractor Registration (October 2003).

c. Contract Number. Insert the NRC contract number.

d. Voucher/Invoice. The appropriate sequential number of the voucher/invoice, beginning with001 should be designated. Contractors may also include an individual internal accountingnumber, if desired, in addition to the 3-digit sequential number.

e. Date of Voucher/Invoice. Insert the date the voucher/invoice is prepared.

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

g. Required Attachments (Supporting Documentation). Direct Costs. The contractor shallsubmit as an attachment to its invoice/voucher cover sheet a listing of labor categories, hoursbilled, fixed hourly rates, total dollars, and cumulative hours billed to date under each laborcategory authorized under the contract/purchase order for each of the activities to be performedunder the contract/purchase order. The contractor shall include incurred costs for: (1) travel, (2)materials, including non-capitalized equipment and supplies, (3) capitalized nonexpendableequipment, (4) materials handling fee, (5) consultants (supporting information must~include thename, hourly or daily rate of the consultant, and reference the NRC approval), and (6)subcontracts (include separate detailed breakdown of all costs paid to approved subcontractorsduring the billing period) with the required supporting documentation, as well as the cumulativetotal of each cost, billed to date by activity.

Page 3 of 4

ATTACHMENT

BILLING INSTRUCTIONS FORLABOR HOUR/TIME AND MATERIALS TYPE CONTRACTS (JUNE 2008)

3. Definitions

a. Non-capitalized Equipment, Materials, and Supplies. These are equipment other thanthat described in number (4) below, plus consumable materials, supplies. List bycategory. List items valued at $1,000 or more separately. Provide the item number foreach piece of equipment valued at $1,000 or more.

b. Capitalized Non Expendable Equipment. List each item costing $50,000 or more andhaving a life expectancy of more than one year. List only those items of equipment forwhich reimbursement is requested. For each such item, list the following (as applicable):(a) the item number for the specific piece of equipment listed in the property schedule ofthe contract; or (b) the Contracting Officer's approval letter if the equipment is notcovered by the property schedule.

c. Material handling costs. When included as part of material costs, material handling costsshall include only costs clearly excluded from the labor-hour rate. Material handling costsmay include all appropriate indirect costs allocated to direct materials in accordance withthe contractor's usual accounting procedures.

Sample Voucher Information (Supportinq Documentation must be attached)

This voucher/invoice represents reimbursable costs for the billing periodfrom through

Amount BilledCurrent Period Cumulative

(f) Direct Costs:

(1) Direct Labor

(2) Travel

(3) Materials

(4) Equipment

$

$

$

$

$

$

$

$

$

$

$

$

$

$

$

(5) Materials Handling Fee

(6) Consultants

(7) Subcontracts

Total Direct Costs: $

Page 4 of 4