Appendix A: Basic-level Training and Certification Journal · 2012-03-29 · Basic-level Training...

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Appendix A:Basic-level Training and Certification Journal

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Table of Contents

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-5

Required Basic-Level Training Courses: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-7

Basic-Level Individual Study Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-8(ISA-1) History and Organization of the Nuclear Regulatory Commission

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9(ISA-2) Navigating the NRC’s Internal and External Web Pages . . . . . . . . A-11(ISA-3) Inspector Objectivity, Protocol, and Professional Conduct . . . . . . . A-15(ISA-4) Fitness-For-Duty (FFD) Rule

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-19(ISA-5) Allegations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-21(ISA-6) NRC’s Response to an Emergency at a Nuclear Facility . . . . . . . . A-23(ISA-7) The Enforcement Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-25(ISA-8) The Office of Investigations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-29(ISA-9) Exploring the Operating Reactor Inspection Program

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-31(ISA-10) Exploring the Reactor Oversight Program’s (ROP) Internal Webpage

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-35(ISA-11) Augmented Inspection Team (AIT), Special Inspection Team (SIT) and

Incident Inspection Team (IIT) Activities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-37

(ISA-12) Understanding How The Commission Operates . . . . . . . . . . . . . . A-39(ISA-13) Organization and Content of the NRC Inspection Manual . . . . . . A-41(ISA-14) NRC Interagency Agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-45(ISA-15) Interaction with the Public . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-47(ISA-16) Contacts with the Media . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-51ISA-(17) Institute of Nuclear Power Operations (INPO), Nuclear Energy Institute

(NEI), and National Organization of Test, Research and Training Reactors(TRTR)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-53(ISA-18) Freedom of Information Act and the Privacy Act . . . . . . . . . . . . . . A-55(ISA-19) Entrance and Exit Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-57(ISA-20) Documenting Inspection Findings . . . . . . . . . . . . . . . . . . . . . . . . . A-59(ISA-21) The NRC Differing Professional Opinions (DPO) Program

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-61(ISA-22) Overview of 10 CFR Part 50 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-63(ISA-23) Overview of 10 CFR Parts 19 and 20 . . . . . . . . . . . . . . . . . . . . . . A-65(ISA-24) Licensee-specific Regulatory Documents and Procedures . . . . . . A-67(ISA-25) Security Requirements for Nuclear Plants . . . . . . . . . . . . . . . . . . . A-71(ISA-26) Exploring the Operating Reactor Assessment Program . . . . . . . . A-73

Basic-Level On-the-Job Training Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-77(OJT-1) Facility Familiarization Tour with a Qualified Inspector . . . . . . . . . A-79(OJT-2) Control Room Tour with Resident or other Qualified Inspector . . . A-83

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(OJT-3) Licensee Plan-of-the-Day (POD) Meeting, Documents or Information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-85

(OJT-4) Inspection Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-87(OJT-5) Documenting Inspection Findings . . . . . . . . . . . . . . . . . . . . . . . . . A-91

Basic-level Signature Cards and Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-93

Form 1: Basic-Level Equivalency Justification . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-95

1Competency areas are listed in parenthesis following each item

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Introduction

The inspector training and qualification program requires that you complete a variety ofactivities, each of which is designed to help you learn information or practice a skill that willbe important to performing the job of an inspector. When you have completed the entirequalification process, you will have demonstrated each of the competencies that describea successful inspector.

A competent inspector must:1. Understand the legal basis for and the regulatory processes used to achieve

the NRC’s regulatory objectives by! acquiring a fundamental understanding of the USNRC organizational

structure and objectives (Regulatory Framework) 1

! understanding the basis for the authority of the agency (RegulatoryFramework)

! understanding the processes established to achieve the regulatoryobjectives (Regulatory Framework)

2. Understand the technology and apply concepts in various technical areas toallow the NRC to carry out its overall responsibilities by! understanding science and engineering fundamentals in a your field of

expertise (Fundamental Plant Design and Operation) ! developing and maintaining an understanding of how basic nuclear

plant design and operations provide for protection of public health andsafety (Fundamental Plant Design and Operation)

! using knowledge of a specific reactor type or within a specializedtechnical area to identify, address and resolve regulatory issues(Technical Area Expertise)

3. Master the techniques and skills needed to collect, analyze, and integrateinformation using a safety focus to develop a supportable regulatoryconclusion by! independently gathering information through objective review,

observation, and open communications (Inspection) ! determining acceptability of information by comparing to established

criteria (Inspection) ! responding to events or conditions involving potential or actual adverse

safety consequence (Emergency Response) ! approaching problems objectively, gathering and integrating

information, and developing a comprehensive understanding beforereaching a conclusion (Problem Analysis)

! objectively analyzing and integrating information using a safety focusto identify the appropriate regulatory conclusion and regulatoryresponse (Assessment and Enforcement)

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4. Have the personal and interpersonal skills to carry out their assignedregulatory activities either individually or as part of a team by! clearly expressing ideas or thoughts, carefully listening, and speaking

and writing with appropriate safety focus and context (Communication)! working collaboratively with others toward common objectives

(Teamwork)! working independently, exercising judgement, and exhibiting flexibility

in the completion of activities including during difficult or challengingsituations (Self-Management)

! using technology to gather, manipulate, and share information(Information Technology)

Program OrganizationThe inspector qualification process has two levels. The first level is the Basic-Level.Basic-level activities are designed to help you develop an awareness of the role of theAgency, your role as an inspector, and the technology you will be inspecting. Successfullycompleting the Basic-level work will provide you with a context for meaningful learningduring on-site work and a foundation for in-depth learning at the next level. Aftersuccessfully completing the Basic-level activities, you will be eligible to receive a BasicInspector Certification.

With a Basic Inspector Certification you may be assigned to perform limited scopeinspection activities under an appropriate degree of detailed supervision. The scope ofyour assigned inspection activities will be controlled by your immediate supervisor.Typically, your supervisor will review your work in detail at specified points during thecourse of your qualification activities. You can be asked to conduct inspection activitiesbut will not be expected to independently reach conclusions, describe official agencypositions on evolving issues, or act as an official agency spokesperson. The emphasis inthe inspector qualification program is on competencies. There is no set time for completingeach segment of the program nor do the on-the-job activities specify an exact number oftimes you must practice a task. You must practice until you can perform inspector taskssuccessfully in accordance with the evaluation criteria. Therefore, the time needed tocomplete all of the requirements to receive a Basic Inspector Certification will vary basedon your previous education, training, and experience. Most employees will require severalmonths to complete the work to be eligible to achieve Basic Inspector Certification.

The second level of the qualification process is the Proficiency-Level, which has two parts.One part is General Proficiency activities, which are designed to develop your interpersonaland inspection skills. The second part is Technical Proficiency activities, which aredesigned to develop your technical expertise in one of the inspector classifications. Thefinal activity in the Proficiency Level is to appear before a qualification board. You maywork on the General and Technical Proficiency Journals at the same time. Successfulcompletion of the board will ensure that you have a sufficiently integrated understandingof the role of the Agency, the inspection program, and your role as an inspector to actindependently in the field. Upon successful completion of all Proficiency Level activities,including the qualification board, you will be eligible to receive Full Inspector Qualification.As a fully qualified Inspector you will be assigned the full scope of inspection activities toperform independently.

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There are three Qualification Journals (Basic-Level, General Proficiency-Level andTechnical Proficiency-Level) you will need to complete during the inspector qualificationprocess. Each journal identifies the classroom requirements and provides the individualstudy activities and on-the-job learning activities you must complete. The signature cardsand certifications, which you will use to document your progress as you move through theBasic- and Proficiency-Level, can be found at the end of each journal. Each journal alsocontains a form to document the justification for accepting equivalent training or experienceas a means of meeting an inspector qualification requirement. The signature cards,certification pages, and equivalency justification pages will become the permanent recordof your completion of the inspector qualification program and will be placed in your officialfile.

Required Basic-Level Training Courses:These courses can be taken in any order, with the exception of G-104, which should betaken after you have completed the majority of the other work in this journal.

! H-100, Site Access training

! R-100, Reactor Concepts

! Ethics Training - Web-based as part of ISA-3

! Allegations Training - Web-based as part of ISA-5

! Information Security (INFOSEC) Awareness Training - Web-based as part |of ISA-25 |

! P-105, PRA Basics for Regulatory Applications

! G-104, Expectations for Inspectors

Interpersonal Skills Training

The Interpersonal Skills Training Courses listed below are not required untilthe Proficiency Level for Full Inspector Qualification. However, they can betaken at any time during the inspector qualification process. Successful completionof any of these courses should be documented on the Signature Card in theGeneral Proficiency Qualification Journal.

! Effective Communication for NRC Inspectors

! Gathering Information for Inspectors through Interviews

Technical Training

Technical training may be started at this level, provided that the training does notidentify the successful completion of the Basic-level as a prerequisite

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Basic-Level Individual Study Activities

The individual study activities are designed to direct and focus your efforts as you beginreviewing documents that will be important to the performance of your job. Each studyactivity begins with a purpose statement informing you of why the activity is important andhow it relates to the job of an inspector. The level of effort has been noted so that youhave an idea of how much effort should be expended in completing the activity. (Of course, the times are estimates. You may need a little more or a little less time - butuse the level of effort as an estimate.) The evaluation criteria are listed up front so thatyou will review them first and better understand what you are expected to achieve as aresult of completing the activity. Use the evaluation criteria to help you to focus on whatis most important. The tasks outline the things you must do in order successfully addressthe evaluation criteria.

The following general guidance applies as you complete the various study activities:

U The first three activities should be done first. Becoming familiar with theAgency, the internal and external web sites, and your overall role as aninspector is important for successfully completing many of the remainingactivities. You should also become familiar with the content of the remainingactivities so that you can complete the activities as opportunities arise.

U Complete all parts of each activity.

U Your supervisor will act as a resource as you complete each activity. Yoursupervisor may also designate other fully qualified individuals to work withyou as you complete the various activities. Discuss any questions you mayhave about the content of anything you read with your supervisor ordesignated resource.

U You are responsible for keeping track of what tasks you have completed. Besure to complete all the tasks in each activity before meeting with yoursupervisor for evaluation.

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Basic-level Individual Study Activity

TOPIC: (ISA-1) History and Organization of the Nuclear Regulatory Commission

PURPOSE: The purpose of this activity is to familiarize you with the regulatoryhistory of the commercial nuclear industry and the evolution of theregulatory framework under which today’s NRC staff functions. Duringthis activity you will review the organization of the agency and it’s staffand the relationships between the major offices.

COMPETENCY AREA: REGULATORY FRAMEWORK

LEVEL OF EFFORT: 8 hours

REFERENCES: Title 10 of the Code of Federal Regulations (CFR)

NUREG-1350, USNRC Information Digest

NUREG/BR-0175, “A Short History of Nuclear Regulations,” Rev. 1,June 2000

EVALUATION CRITERIA: Upon completion of this activity, you will be asked to demonstrate your

understanding of the Agency’s regulatory history and development ofthe commercial applications of nuclear energy, by successfully doingthe following:

1. Discuss the purpose of the Atomic Energy Act of 1954, asamended.

2. Discuss the major regulatory impacts of the Energy ReorganizationAct of 1974, as amended.

3. Outline the major offices and briefly describe the functioning of thefollowing: the Commission; the office of the Inspector General;Office of SECY; ASLB; ACRS; commission staff and programoffices, including Chief Information Officer, Chief Financial Officer,Executive Director for Operations.

4. Describe your Region’s or Office’s organization and keymanagement positions.

5. Discuss the relationship between the NRC and the Department ofEnergy.

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TASKS: 2. Obtain paper copies or locate and bookmark electronic locations ofthe above stated reference material for personal use and futurereference. Some documents may be available through the regionalpublic affairs office. Electronic copies can be found on the NRCExternal Website in the Electronic Reading Room

3. Review the reference material to gain an understanding of theprinciples discussed in the evaluation criteria.

4. Review and discuss the evaluation criteria with your supervisor.

DOCUMENTATION: Basic-level Certification Signature Card Item ISA-1

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TOPIC: (ISA-2) Navigating the NRC’s Internal and External Web Pages

PURPOSE: The purpose of this activity is to familiarize you with the NRC’s internaland external web sites and to acquaint you with the informationavailable. Inspectors must routinely review a variety of documents tosupport their inspection activities. Many of these documents are nowavailable electronically. This individual study activity will familiarize youwith the web locations of documents and information vital to your job.This will begin to build the knowledge you will need later to successfullyperform your assigned responsibilities.

COMPETENCY AREA: INFORMATION TECHNOLOGY


REFERENCES: NRC Internal and External websites

Regional or Office Guidance (as applicable)

EVALUATIONCRITERIA: There are no specific evaluation criteria for this activity. Use your

supervisor or other Agency personnel as a resource as you completethis activity.

TASKS: Open your web browser and do the following:

1. Explore the NRC’s Internal Home Page a. Review the material available under Agency Applications.

Review the topics covered by the Field Policy Manual.

b. Locate the Ethics area.i. Review the information available.ii. Note the various sources of ethics advice.

NOTE: There are often several ways to reach a particular piece of information. As you navigate the various web sites you will be directed to bookmark specificinformation that you will need to access later to complete other activities in this

Manual Chapter.

NOTE: Circumstances may result in some parts of the web pages beingunavailable at times. Complete as much as is possible.

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c. Locate the Library Services Area (NRC Technical Library). i. Review the information available.

d. Locate the Office of Nuclear Reactor Regulation’s (NRR’s)Home Page. (Hint: NRR is a Program Office)i. Identify the Director, NRRii. For research and test reactor inspectors, find and review the

office organization, the work planning center, ProgramSupport, the RPS help site and Office Letters/ Instructions

iii. For power reactor inspectors, find the ROP Digital City andbookmark it. You will need the location of Digital City tocomplete other individual study activities.

e. Locate the Office of State and Tribal Program’s home page.Review the functions of this program office.

f. Locate the Office of Nuclear Materials Safety and Safeguards’(NMSS) Home Page and review the functions of the office.

g. Locate the Office of Enforcement’s home page and book markit. Review the functions of the office.

h. Locate the Office of the Secretary’s (SECY) home page i. Review the functions of the office.ii. Review the purpose of a SECY paperiii. Review the purpose of Staff Requirements Memoranda

i. Review the information found on each of the NRC Regions websites (if available).

j. Locate the site for NRC Management Directives (MDs).i. Find the MD dealing with the NRC Incident Investigation

Program; review the purpose of the program.ii. Find the MD dealing with the Management of Allegations;

describe the general policy on disclosure of the identity ofan alleger.

k. Locate the Agency’s Employee Training and Development website.i. Locate the Schedule - find the next presentation of the

Westinghouse Simulator Refresher course (R-704P) or theHealth Physics Technology course (H-201).

ii. Review how to enroll in a course.iii. Locate Self-Paced Learning areaiv. Find the web-based Allegation Management training.v. Review the list of available web-based learning opportunities.vi. Review the list of other available self-paced learning

opportunities.

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2. Explore the NRC’s External (Public) Server

a. Go to the Electronic Reading Roomi. Find the Glossary of Nuclear Terms. (Basic References)ii. Find the NRC Inspection Manual and bookmark it.

(Collection of Documents)iii. Find Regulatory Guides. Read about the purpose of a

Regulatory Guide.iv. Locate Generic Communication Documents. Review the

purpose of each of the types of generic communicationdocuments.

v. Find NUREGs. Read about the different types of NUREGdocuments and determine how you can tell the difference.

vi. Find the NRC Regulations contained in Title 10 of the Codeof Federal Regulations (CFR).1. How many volumes comprise Title 10? What parts are

applicable to the NRC?2. Use the search feature and search on ‘radiation

protection’. View one of the documents to read aboutwhat a recent change to CFR involved.

3. View a part of the CFR. Look for the information thatindicates when the regulation was issued andamended.

vii. Find and review the general purposes and proceduresassociated with the Privacy and Freedom of InformationActs (FOIA).

viii. Locate and review the rulemaking process under “What WeDo.”

b. Go to Nuclear Reactorsi. Generally review the information relating to the Reactor

Oversight Process.ii. Generally review the information found in the Current

Performance Indicators and Inspection Findings area.Choose a plant and review that data.


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TOPIC: (ISA-3) Inspector Objectivity, Protocol, and Professional Conduct

PURPOSE: The purpose of this activity is to acquaint you with the NRC’sexpectations of inspector conduct and protocol. And professionalism areessential to the Agency fulfilling its goals of protecting public health andsafety. Inspector conduct is a vital component of the NRC’s credibilityas an effective regulator. As a qualified inspector, you will often berepresenting the Agency in interactions with licensee management andworkers, local officials, media, and the public. This individual studyactivity will help you understand NRC procedures, policies, andexpectations related to inspector conduct. This activity will also help youdevelop the professional conduct that you will need to be an effectiveNRC inspector.

COMPETENCY AREA: INSPECTION

SELF-MANAGEMENT


REFERENCES: NRC Inspection Manual Chapter 0102, “Oversight and Objectivity ofInspectors and examiners at Reactor Facilities “

Management Directive 7.5, “Ethics”

NRC Inspection Manual Chapter 1201, “Conduct of Employees”

NUREG/BR-0075, “Field Policy Manual”, No.10, “Conduct of Employees“

NUREG/BR-0075, “Field Policy Manual”, No.13, “Witnessing of UnsafeSituations”

Regional or Office guidance related to inspector/employee conduct

EVALUATIONCRITERIA: Upon completion of the tasks in this activity, you will be asked to

demonstrate your understanding of proper NRC inspector conductduring inspections at nuclear facilities by successfully addressing thefollowing:1. What are the expectations of NRC employees regarding:

(a) alcohol and illegal drugs?(b) official business and personal relationships?(c) business partnerships with licensees?(d) work habits and professional demeanor?

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2. Describe the restrictions regarding the following specific employeeactivities which could result in a loss of impartiality (or the perceptionthereof):(a) accepting transportation from a licensee(b) attending social functions essentially limited to licensee and

contractor attendance (c) coffee clubs, cafeterias, credit unions(d) property and neighborhood relationships(e) community activities(f) employment of spouse and children

3. Explain the Office of Government Ethics (OGE) standards of ethicalconduct for the following areas as applicable to NRC inspectors:(a) gifts from outside sources(b) gifts between employees(c) conflicting financial interests (d) impartiality in performing official duties(e) seeking other employment(f) misuse of power(g) outside activities

4. What are the actions expected to be performed by NRC personnelwhen they identify unsafe work practices or violations which couldlead to an unsafe situation?

5. What are the overall requirements used by NRC managers to verifythe performance and objectivity of individual inspectors and teamleaders during on-site activities at reactor facilities?

6. How do NRC managers with responsibility for oversight of inspectorsassess the performance and objectivity of those inspectors? Youranswer should include discussion of the specific areas that NRCmanagement should focus on in assessing inspectors.

7. What are the expectations of inspector conduct in a reactor controlroom during normal, transient, and emergency conditions?

8. What are NRC employees supposed to do if they receive anallegation of improper action by an NRC staff member or contractorinvolved in inspection or other oversight activities?

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TASKS: 1. Complete the Ethics Training. To access the training, select Ethicson NRC’s Internal Web Site. Be sure to print the completion recordat the end of the on-line ethics course. This must be presented toyour supervisor as evidence that you have completed the course.

2. Locate and review the material specifically listed in the Referencesection of this activity.

3. Identify, locate, and review your Region’s or Office’s policy guidanceon inspector/employee conduct. Some of this guidance may belocated in directives which describe the duties and responsibilities ofspecific positions (e.g, resident staff or project engineer guidance).You should closely review the guidance applicable to your position.

4. Meet with the regional counsel in your Region or other designatedethics expert and discuss applications of ethics to your role as anNRC employee. Demonstrate your understanding of the guidanceby explaining the answers to the first three questions listed in theEvaluation Criteria section of this activity.

5. Meet with your supervisor, your regional counsel, or other designatedethics expert to discuss any questions you may have as a result ofthis activity. Discuss the items listed under the Evaluation Criteriasection of this study activity with your supervisor.


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TOPIC: (ISA-4) Fitness-For-Duty (FFD) Rule

PURPOSE: The purpose of this activity is to provide you with an understanding ofthe Fitness for Duty Rule. Nuclear power plants and certain other NRClicensees are required to have fitness-for-duty programs which includedrug and alcohol testing procedures and other measures to assure thatthe licensee staff are capable of operating the facilities safely. Researchand test reactors are not subject to 10 CFR 26, but per 10 CFR 55.53(k),each licensed operator “...shall participate in any drug and alcoholtesting program that may be established for that non-power facility.”

COMPETENCYAREAS: INSPECTION

SELF-MANAGEMENT


REFERENCES: Enforcement Manual, Chapter 7.4, “Enforcement Actions InvolvingFitness-For-Duty (FFD)” (This is for information only for research andtest reactor inspectors).

EVALUATIONCRITERIA: Upon completion of this activity, you will be asked to demonstrate your

understanding of the NRC’s Fitness-for-Duty Rule by successfullyaddressing the following:

1. State the purpose of the NRC’s Fitness for Duty Rule and whichlicensees are required to meet this rule.

2. Explain why the Fitness-for-Duty Rule (10 CFR Part 26) is notconsidered an “unwarranted” invasion of privacy and howlicensees implement the requirements.

3. Discuss the enforcement policy related to violations of theFitness for Duty Rule.

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TASKS: 1. On the NRC’s External Web site, use the search function to findinformation on “fitness for duty.”

2. Read the information on the history of the NRC’s Fitness forDuty Program.

3. Explore all aspects of the Fitness for Duty Rule and DrugTesting Program guidance provided on the NRC’s Web Site.

4. Meet with your supervisor or the person designated to be yourresource for this activity and discuss the items listed in theEvaluation Criteria section.


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TOPIC: (ISA-5) Allegations

PURPOSE: The purpose of this activity is to provide you with the opportunity topractice handling an allegation from receipt of the allegation to finaldisposition. This study activity will help you to effectively interact withindividuals bringing concerns to the NRC and to appropriately respondto those concerns.


SELF-MANAGEMENTCOMMUNICATION


REFERENCES: NRC Management Directive 8.8, “Management of Allegations”

Regional or Office guidance on allegations

Office of Enforcement Webpage

Brochure NUREG/BR-0240, Reporting Safety Concerns

External NRC Webpage - What We Do>How WeRegulate>Allegations

Fact Sheet on Allegations Process

EVALUATIONCRITERIA: You will be asked to demonstrate your understanding of how to

receive, process, and document an allegation by successfullycompleting allegation processing activities.

TASKS: 1. Complete the web-based training module on Allegations. Toaccess the Allegations Training, select Employee Training andDevelopment on the NRC Internal Website. Select Self-Pacedand then Web-Based at the Training Website. Be sure to printthe completion certificate at the end of the on-line allegationstraining. You must present the certificate to your supervisor asevidence that you have successfully completed the course.

2. Review the applicable guidance for allegations

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3. Review Brochure 0240, Reporting Safety Concerns

4. Review internal Office of Enforcement and External NRCwebpages for information on Allegations

5. Attend at least two (2) allegation review boards (ARB) whichinclude both material and reactor allegations on the agenda

6. Meet with the Allegation Coordinator and have him/her brief youon the allegation process and the Allegation Coordinator’s rolein the process.

7. Review several allegation files (for closed allegations) andfamiliarize yourself with the documentation to the concernedindividual.

8. Review how the original concern was brought to the NRC’sattention.

9. Working with your supervisor, simulate receiving an allegationand complete the required documentation to have the concernpresented at an ARB meeting. Discuss with your supervisor aproposed inspection/review of the simulated allegation.

10. Discuss with your supervisor the options available to the NRCto follow up on an allegation and the circumstances when eachare appropriate.

11. Obtain the inspection results and/or licensee review informationfor a concern that has been referred. Discuss the precautionsand limitations associated with referrals with your supervisor orthe Allegation Coordinator.

12. Compare the inspection results or licensee investigation resultsto the original concern. Discuss with your supervisor how theinspection results addressed the concerns.



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TOPIC: (ISA-6) NRC’s Response to an Emergency at a Nuclear Facility

PURPOSE: The purpose of this activity is to acquaint you with the actions taken bythe NRC in response to an emergency that may occur at a nuclearfacility. Emergency response is vital to the Agency, fulfilling one of itsprimary mandates - protecting the health and safety of the public. Asa fully qualified inspector, you will be trained to perform specificemergency response activities. This individual study activity will helpyou to understand how the NRC meets its emergency responsemandate, and will begin to build the knowledge you will need later tosuccessfully perform your assigned emergency responseresponsibilities.

COMPETENCY AREA: EMERGENCY RESPONSE


REFERENCES: NRC Internal web page - Program Office - Nuclear Security andIncident Response (NSIR)

Management Directive 8.2, “NRC Incident Response Program”

Regional Policy Guide for Emergency Response

NUREG 0728, “NRC Incident Response Plan” (Note: This NUREG isrevised periodically to reflect changes to the agency’s activities. Besure to obtain the most recent version.)


understanding of the role of the Agency and your Region or Office inprotecting public health and safety when responding to emergencysituations at a nuclear facility by successfully addressing the following:

1. Identify the types of emergency classifications and giveexamples of when the different classifications would bedeclared.

2. Identify the different modes of NRC emergency response anddescribe the purpose of each mode.

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3. Discuss the capabilities (e.g., communications, informationtechnology, etc.) provided in the Headquarters, Regional, andon-site emergency response facilities

4. Recognizing that these positions may not apply to all nuclearfacilities and that the NRC will act with all available resourcesto respond to an emergency, identify the responsibilities of thefollowing during a declared emergency event:a. Resident staffb. Region-based staffc. Headquarters Staffd. Headquarters Operations Officere. Licenseef. State and Local officialsg. Site teamh. Base Team

TASKS: 1. Explore all aspects of the NSIR Organization presented on theNRC’s Internal Home Page.

2. Review your Region’s or Office’s policy guidance on emergencyresponse.

3. Review the NRC Incident Response Plan in order to addressthe evaluation criteria. Go to Emergency Response on theNRC External Web site and “tour” the Operations Center.



Issue Date: 09/02/05 APP A - 25 1245


TOPIC: (ISA-7) The Enforcement Program

PURPOSE: The purpose of this activity is to provide you with an overview of theNRC’s enforcement program. This individual study activity will assistyou in learning and understanding: (1) the purpose of the enforcementprogram, (2) the sanctions used in the enforcement program, and (3)the methods used in assessing and dispositioning violations. It willalso provide you with an understanding of the information andguidance resources available to the staff on the enforcement program.

COMPETENCYAREA: REGULATORY FRAMEWORK

ENFORCEMENT

LEVELOF EFFORT: 16 hours

REFERENCES: Enforcement-related information included on the Enforcement page ofthe NRC’s public web site, including, the NRC Enforcement Policy, theEnforcement Manual, the Enforcement Program Overview, and theEnforcement Process Diagram

Regional Policy Guide for Enforcement

EVALUATIONCRITERIA: Upon completion of the tasks in this activity, demonstrate your

understanding of the Agency’s enforcement program by successfullycompleting the following items:

1. State the purpose of the NRC’s Enforcement Policy.

2. Describe the legal basis from which the NRC derives itsenforcement authority.

3. Identify the burden of proof standard that the NRC uses inenforcement proceedings.

4. Identify the primary sanctions the NRC uses in the enforcementprogram.

5. State the four issues the NRC considers to assess thesignificance of a violation.

6. Describe the two types of significance categorization outcomes.

1245 APP A - 26 Issue Date: 09/02/05

7. Define a minor violation and state the policy on documentingand correcting these violations.

8. Define Non-Cited Violation (NCV).

9. Define escalated enforcement action.

10. Understand how to use the Enforcement Process Diagram todisposition violations.

11. Describe what predecisional enforcement conferences andregulatory conferences are; and why, when, and with whomthey are conducted.

12. Discuss the purpose of civil penalties, when the NRC considersissuing them, and how the NRC determines the amount ofpenalties.

13. Recognize the purpose of the different types of Orders andwhen they are used.

TASKS: 1. Locate the Enforcement web page on the NRC’s public website. (Hint: look under What We Do)

2. Read the Enforcement Program Overview included on theEnforcement page of the NRC’s public web site.

|3. Read the Enforcement Process Diagram on the Enforcement|

page of the NRC’s public web site.

4. Locate the Enforcement Manual on the Enforcement page of|the NRC’s public web site (look under Enforcement Guidance)and review the table of contents and appendices.

5. Read the memorandum from the Director, Office of|Enforcement, dated December 5, 2000, titled, “Dispositioningof Enforcement Issues in a Risk-Informed Framework.”(ADAMS accession number ML003777558)

6. Locate the most recent escalated enforcement action for a|power reactor on the Enforcement page of the NRC’s publicweb site and review the transmittal letter and attached Noticeof Violation.

7. Review your Region’s or Office’s guidance on implementing the|Enforcement Policy.

8. Meet with the enforcement specialist in your Region or Office to|discuss the current enforcement guidance.

Issue Date: 09/02/05 APP A - 27 1245

9. Meet with your supervisor or the person designated to be your |resource for this activity and discuss the items listed in theEvaluation Criteria section.

DOCUMENTATION: Basic-level Certification Signature Card Item ISA- 7

1245 APP A - 28 Issue Date: 09/02/05


Issue Date: 09/02/05 APP A - 29 1245


TOPIC: (ISA-8) The Office of Investigations

PURPOSE: The purpose of this activity is to familiarize you with the Office ofInvestigations (OI). As a fully qualified inspector you may be assignedto work with the Office of Investigations by providing technical support.This individual study activity will help you to understand the role of theOffice of Investigations, how it functions, and what your responsibilitieswill be if you are assigned to assist OI during the conduct of aninvestigation.


REGULATORY FRAMEWORK

LEVELOF EFFORT: 4 hours

REFERENCES: MD 9.8, “Organization and Functions, Office of Investigations”

Regional or Office of Investigations Director

Office of Investigations Website on the NRC External Website.

U.S. Nuclear Regulatory Commission Office of Investigationsslideshow on internal NRC webpage


understanding of the purpose and function of the Office ofInvestigations (OI) by successfully addressing the following:

1. State the function of OI.

2. Describe the organizational structure of OI.

3. Describe what your role would be in assisting OI.

4. Describe the authorities of an OI investigator.

TASKS: 1. Review Management Directive 9.8

2. Review slide presentation on the U.S. Nuclear RegulatoryCommission Office of Investigations

1245 APP A - 30 Issue Date: 09/02/05

3. Study the Office of Investigations Web page and associatedorganizational charts.

4. Meet with an experienced OI criminal investigator and discusstwo materials/reactors cases investigated by OI, onesubstantiated and one not substantiated.



Issue Date: 09/02/05 APP A - 31 1245


TOPIC: (ISA-9) Exploring the Operating Reactor Inspection Program

PURPOSE: The purpose of this study activity is for you to obtain a broad overallknowledge of the operating reactor inspection program. Uponcompletion of this study activity, you will have the necessarybackground to go into a more detailed study of the inspection program,and learn the specifics of what an inspector does, why it is done, andhow it is done.


REGULATORY FRAMEWORK


REFERENCES: NUREG-1649, “Reactor Oversight Process.” (For power reactorinspectors only.)

NRC Inspection Manual Chapter (IMC) 2515. “Light Water ReactorInspection Program - Operating Phase”

IMC 0612, “Power Reactor Inspection Reports”

IMC 0300, “Announced and Unannounced Inspections”

IMC 0301, “Coordination of NRC Visits to Commercial Reactor Sites”

IMC 0305, “Operating Reactor Assessment Program”

IMC 0330, “Guidance for NRC Review of Licensee Draft Documents”

IMC 0620, “Inspection Documents and Records”

EVALUATIONCRITERIA: After completing this study activity, you will demonstrate your

understanding of the operating reactor inspection program bysuccessfully doing the following:

1. State when the NRC starts implementing the operatinginspection program at a site, and how long it remains in effect.

2. State the seven safety cornerstones and their purpose. (Forpower reactor inspectors only.)

1245 APP A - 32 Issue Date: 09/02/05

3. Define the relationship of cornerstones to strategic arenas. (Forpower reactor inspectors only.)

4. State the three major program elements of the operating reactorinspection program and their specific functions. Identify howoften resources are assigned to each program element. (Forpower reactor inspectors only.)

2. Compare and contrast a “smart” sample and a random sample.Explain why the “smart” sample is more appropriate for theROP.

3. State the criteria for declaring that an inspection is complete.

4. State the purpose of providing an inspection hours estimate ineach procedure.

8. State the purpose and content of inspection reports.

9. State the general policy regarding an inspector's review andhandling of non-NRC generated documents.

10. State the policy for announced and unannounced inspectionsand for controlling major inspection activities at a licensee's site.

11. Describe the characteristics of a “major” inspection activity andstate the limitations as to how many can be performed duringa specified time limit. (For power reactor inspectors only.)

12. Describe in general terms the implementation of the NRC'soperating reactor assessment program.

TASKS: 1. Locate Inspection Manual Chapter (IMC) 2515, “Light-WaterReactor Inspection Program - Operations Phase,” and itsappendices A, B, C, and D or IMC 2545 for Non-PowerReactors. Read the appropriate IMC in detail and scan theappendices to become aware of the organization of theoperating inspection program including it major parts.

2. Locate NUREG-1649, “Reactor Oversight Process.” (For powerreactor inspectors only.) Read the NUREG to become awareof the concept of the reactor oversight program, its parts, andhow it is implemented through IMC 2515.

NOTE: All inspection documents identified below can be obtained from theElectronic Reading Room on the NRC’s Website.

Issue Date: 09/02/05 APP A - 33 1245

3. Locate IMC 0612, “Power Reactor Inspection Reports” (Forpower reactor inspectors only) or IMC 0610, “InspectionReports.” (For research and test reactor inspectors only).Read the appropriate manual chapter to obtain a generalunderstanding of the objectives of an inspection report, becomefamiliar with the terminology and definitions, the format of aninspection report, and have a general understanding of howinspection “findings” are addressed.

4. Locate IMC 0330, “Guidance For NRC Review of LicenseeDraft Documents” and IMC 0620, “Inspection Documents andRecords.” Scan the two manual chapters to obtain a generalknowledge of the types of documents that will be encounteredduring an inspection and the NRC policy regarding how thesedocuments should be handled.

5. Locate IMC 0300, “Announced and Unannounced Inspections”and IMC 0301, “Coordination of NRC visits to CommercialReactor Sites.” (For power reactor inspectors only.) Scan theapplicable manual chapter(s) and determine the differencebetween announced and unannounced inspections and wheneach would be used.

6. Locate IMC 0305, “Operating Reactor Assessment Program.” (For power reactor inspectors only.) Scan the manual chapterto obtain a broad understanding of how the NRC assesseslicensee performance and the actions the NRC takes forvarying levels of licensee performance.



1245 APP A - 34 Issue Date: 09/02/05


Issue Date: 09/02/05 APP A - 35 1245


TOPIC: (ISA-10) Exploring the Reactor Oversight Program’s (ROP) InternalWebpage

PURPOSE: The purpose of this activity is to introduce you to an available resourceyou might find useful as an inspector.

COMPETENCYAREA: INFORMATION TECHNOLOGY

INSPECTIONCOMMUNICATION

LEVELOF EFFORT: 1 Hour

REFERENCES: Reactor Oversight Program (ROP) Internal Webpage

EVALUATIONCRITERIA: There are no specific evaluation criteria for this activity. Use your

supervisor or other Agency personnel as a resource as you completethis activity.

TASKS:1. Open your web browser. Locate the Reactor Oversight

Program website on the NRC internal webpage. The ReactorOversight Process is a program that is supported by theNuclear Reactor Regulation (NRR) program office.

2. Find the ROP feedback form WordPerfect document. This isthe form for internal stakeholders to use to send comments toNRR (the program office) about the ROP process andprocedures. Talk with an experienced inspector about theprocess of submitting a feedback form. If the opportunity isavailable, work with an experienced inspector as they completea feedback form.

3. Locate the Program Points of Contact section. Review the listof people from the Inspection Program Branch in NRR and theirspecific areas of responsibility for the Reactor OversightProgram (ROP).

DOCUMENTATION: Basic Level Certification Signature Card Item ISA-10

1245 APP A - 36 Issue Date: 09/02/05


Issue Date: 09/02/05 APP A - 37 1245


TOPIC: (ISA-11) Augmented Inspection Team (AIT), Special Inspection Team(SIT) and Incident Inspection Team (IIT) Activities

PURPOSE: The purpose of this activity is to familiarize you with the actions takenby the NRC in response to incidents that do not require activation ofthe NRC Incident Response Plan. As a fully qualified inspector, youmay be assigned to either an AIT, SIT or IIT inspection activity. Thisindividual study activity will help you to understand how the NRCimplements this program, what your responsibilities will be if you areassigned to a team, what the differences are between an AIT, SIT andan IIT, and how this program differs from the NRC Incident ResponseProgram.



REFERENCES: Management Directive 8.3, “NRC Incident Investigation Program”

Any procedures addressing AIT, SIT or IIT activities


understanding of the NRC’s AIT, SIT and IIT inspection activities bysuccessfully addressing the following:

1. State the purpose of the NRC’s Incident Investigation Program.

2. Describe what an AIT is and its purpose.

3. Describe what an SIT is and its purpose.

4. Describe what an IIT is and its purpose.

5. Describe how the Incident Investigation Program is differentthan the Incident Response Program.

1245 APP A - 38 Issue Date: 09/02/05

TASKS: 1. Review Management Directive 8.3. MDs can be found on theNRC Internal Web site.

2. Explore all aspects of the Incident Investigation Programpresented on the NRC’s Internal Web Site.

3. Review your Region’s or Office’s guidance on AIT, SIT and IITactivities.

4. Meet with your supervisor, or the person designated to be yourresource for this activity, and discuss the answers to thequestions listed under the Evaluation Criteria.


Issue Date: 09/02/05 APP A - 39 1245


TOPIC: (ISA-12) Understanding How The Commission Operates

PURPOSE: The NRC commissioners establish the approach the NRC staff will useto address a particular need of agency importance. Examples includethe commission policy statement regarding NRC staff use ofProbabilistic Risk Analysis in the decision making process and residentinspector staffing requirements at power reactor facilities. Commissiondecisions can have a significant impact on the conduct of inspectionactivities, inspectors should be familiar with the direction-setting andpolicy-making activities of the Commission.


LEVEL OF EFFORT: 4 Hours

REFERENCES: NRC External Websites

EVALUATIONCRITERIA: At the completion of this activity, you should be able to:

1. Locate commission-related documents on the internal andexternal agency web page.

2. Discuss how staff requirements memoranda are used by thecommission to direct the staff.

TASKS 1. Read about the Commission’s “Direction-setting and Policy-making” activities under the heading of “What We Do”

2. Read about the different kinds of decision documents issued bythe Commission.

3. Find and read Chairman Meserve’s speech given on12/11/2001 about “NRC Programs and Processes for SafetyOversight.”



1245 APP A - 40 Issue Date: 09/02/05


Issue Date: 09/02/05 APP A - 41 1245


TOPIC: (ISA-13) Organization and Content of the NRC Inspection Manual

PURPOSE: The purpose of this activity is to introduce you to the contents andorganization of the NRC Inspection Manual, and to how those contentsrelate to inspection programs, particularly the operating reactorinspection program. As an inspector, you will be implementing aninspection program that is defined by a manual chapter andimplemented by its associated inspection procedures. This studyactivity will help you to identify and locate inspection procedures thatare used in the operating inspection program and to recognize thelimitations associated with applying the guidance contained in theprocedures. This activity will also introduce you to manual chaptersthat establish policy which will govern some of your actions inimplementing the inspection program.


INSPECTION


REFERENCES: NRC Internal Home Page - Program Office - NRR

Inspection Manual Chapter 0040, “Preparing, Revising and IssuingDocuments For The NRC Inspection Manual”

Inspection Manual Chapter 9900, “Technical Guidance”

EVALUATIONCRITERIA: After completing this activity you will demonstrate your understanding

of the content and organization of the NRC Inspection Manual, and thelimitations associated with applying the guidance contained in themanual by successfully doing the following:

1. Identify the major parts of the NRC Inspection Manual.

2. State the purpose of each of the following types of documentslocated in the NRC Inspection Manual?

a. Manual Chaptersb. Inspection Proceduresc. Temporary Instructionsd. Part 9900 Technical Guidance

- Technical Guidance- 10 CFR Guidance

1245 APP A - 42 Issue Date: 09/02/05

e. Change Notices

3. Describe the numbering/identification process used for theitems in No. 2 above?

4. Demonstrate the ability to locate copies of inspectiondocuments contained in the NRC Inspection Manual on theWEB.

TASKS:1. Locate Inspection Manual Chapter 0040, “Preparing, Revising

and Issuing Documents For The NRC Inspection Manual” fromthe Electronic Reading Room on the NRC External Web site.

2. Read in detail the first six sections of manual chapter 0040, andscan the remainder portions of the document.

3. Locate the Table of Contents for the “NRC Inspection Manual.”

4. Scan the Table of Contents, noticing in particular the following:a. The date of issuance and latest change notice entered in

the Table of Contents.b. Title associated with Part numbers.c. The number associated with each document.d. The issue date and change notice number associated with

each document.

5. Locate the section of the NRC inspection manual entitled“Technical Guidance.”

6. Scan the titles of the individual guidance documents.

7. Read the inspection procedures that apply to your inspectorarea.

8. Meet with your supervisor, or an experienced inspector, anddiscuss two reactor facility issues that could involve use of thetechnical guidance contained in Manual Chapter 9900. Discussthe limitations that are associated with applying the guidancecontained in the inspection procedures.

Issue Date: 09/02/05 APP A - 43 1245



1245 APP A - 44 Issue Date: 09/02/05


Issue Date: 09/02/05 APP A - 45 1245


TOPIC: (ISA-14) NRC Interagency Agreements

PURPOSE: While conducting reactor inspection activities, inspectors may identifyimportant issues that could adversely affect health and safety but arenot under the direct regulatory authority of the NRC. Examples includeindustrial safety items, such as loose asbestos insulation, and otherissues, such as defective radioactive waste shipping trailers.Conversely, other federal and state agencies may identify issues ofconcern to the NRC. To ensure these items are addressed by theproper regulatory authority, the NRC has established agreements,called memoranda of understanding, with other federal and stateagencies which outline how these issues should be addressed.

This activity will introduce you to the major interagency agreementsthat the NRC has entered into and familiarize you with the regional oroffice points-of-contact that have been established for other federaland state agencies.



REFERENCES: NRC Manual Chapter 1007, “Interfacing Activities Between RegionalOffices of NRC and OSHA” (Note: Research and test reactorinspectors should use this guidance as applicable.)

Regional or Office guidance (if applicable)


1. Locate the active memoranda of understanding (MOU) used tocoordinate between the NRC and other federal agencies orstate agencies.

2. Explain, in general terms, how the NRC coordinates with stateand other federal agencies on matters that are not under theregulatory authority of the NRC.

3. Explain the actions required by an NRC inspector when he/sheidentifies an occupational health and safety issue at a reactorfacility. Be able to state where the guidance for these actionsis provided.

1245 APP A - 46 Issue Date: 09/02/05

4. Identify who, in your Region or Office, is the point of contact forcoordinating NRC activities with the following federal agencies:a. Occupational Safety and Health Administration (OSHA)b. Department of Transportation (DOT)c. Federal Emergency Management Administration (FEMA)d. Department of Energy (DOE)e. State Agencies

TASKS: 1. Identify where the current NRC MOUs are available in your

Region or Office. Electronic versions can be found on the NRCInternal Web site under Enforcement.

2. Review the MOUs to develop a general understanding of theagreements between the NRC and the following federalagencies: OSHA, DOT, FEMA, and DOE. For Regionalinspectors, review any MOUs between the NRC and the statesin your regions. Determine the major services or resourcesavailable to be coordinated between the NRC and theseagencies.

3. Identify the designated liaison for those agencies and stateagencies in your Region or Office.

4. Meet with your supervisor, an experienced inspector, or theabove liaison representative, and discuss two reactor facilityissues that involved interface with other federal agencies orstate agencies. Discuss how the issues were addressed in thecontext of the applicable NRC MOU and office guidance.



Issue Date: 09/02/05 APP A - 47 1245


TOPIC: (ISA-15) Interaction with the Public

PURPOSE: The purpose of this activity is to acquaint you with the expectations ofNRC inspectors when dealing with members of the public. Responsiveness and openness are essential to the Agency fulfilling itsgoals of enhancing public confidence. As a qualified inspector, you willhave many opportunities to interact with the public. This individualstudy activity will help you understand NRC procedures, policies, andavailable resources related to interaction with the public.

COMPETENCY AREAS: COMMUNICATION

SELF-MANAGEMENT REGULATORY FRAMEWORK


REFERENCES: 1. NUREG/BR 0215, “Public Involvement in the NuclearRegulatory Process” Rev. 1

2. NUREG/BR-0297, “NRC Public Meetings”

3. NRC Management Directive (MD) 3.4, “Release of Informationto the Public”

4. MD 3.5, “Public Attendance at Certain Meetings Involving theNRC Staff”

5. MD 8.11, “Review Process for 10CFR2.206 Petitions”

6. NRC Internal Web site, Communication and Public Meetings

7. Regional or Office guidance related to interaction with the public(Conduct of public meetings, Response to inquiries from thepublic, Release of Information to the Public ).


understanding of proper interaction with the public by successfullyaddressing the following:

1. Describe the expectations of NRC employees regardinganswering telephone calls that involve inquiries from a memberof the public.

1245 APP A - 48 Issue Date: 09/02/05

2. Name some resources available to you to assist you inresponding to the following types of public inquiries:

a. General questions about NRC organization and functionsb. General questions about a technical topic such as

radioactive particlesc. Questions about a licensed facility’s performance or an

NRC inspection d. Questions on a specific technical issue of current interest

3. Describe what is meant by “Plain Language”. Identify whereexamples and guidance related to plain language can be found.

4. Explain what a “2.206 petition” is. Describe how it is handled bythe NRC.

5. Explain what a “green ticket” item is used for and how is ithandled.

6. Describe how other public inquiries, including “non-allegations”,are handled in your office.

7. Describe what an NRC employee should do if he/she isrequested to speak (on an NRC-related topic) at a meetingsuch as the Lions Club or local chapter of the American NuclearSociety.

8. Identify what type of NRC meetings are generally open to thepublic. List some that are not usually open to the public.

9. Describe how members of the public can find out about NRCpublic meetings. Discuss the expectations on timeliness ofmeeting notices and summaries.

10. Describe the restrictions regarding the release of information tothe public including specific types of information that is not to bereleased.

TASKS: 1. Review the information presented by the NRC Public AffairsOffice on interactions with the public on the NRC’s Internal andExternal Web Sites. Review the information available on theexternal NRC web site related to general topics of interest to the

NOTE: NUREG references in this activity that cannot be found on theNRC External Website may be requested from your Public Affairs

Officer.

Issue Date: 09/02/05 APP A - 49 1245

public such as the Public Involvement, School Programs, andthe Technical Information Papers.

2. Visit the NRC’s “Plain Language Action Plan” on the internalweb site, including some of the links to resource materials.

3. Visit the Communication and Public Meetings page on the NRCInternal Web site. Review the public meeting policy andchecklist.

4. Locate and review the material specifically listed in theReference section of this activity. The NRR Project Manager’sHandbook and NUREG/BR-0200, Public Petition Process mayalso be beneficial in understanding the processing of 2.206petitions and “ticketed items”.

5. Review the steps in the rulemaking process on the NRC’sExternal Website under “What We Do”.

6. Identify, locate, and review your region’s policy guidance onstaff’s receipt and processing of inquiries from the generalpublic. Meet with your PAO or supervisor and discuss theexpectations of an inspector who receives an inquiry.

7. Meet with your supervisor and discuss what types of publicinteractions that you are likely to encounter and ensure that youunderstand what you are to do. Then, discuss the items listedin the Evaluation Criteria section.


1245 APP A - 50 Issue Date: 09/02/05


Issue Date: 09/02/05 APP A - 51 1245


TOPIC: (ISA-16) Contacts with the Media

PURPOSE: The purpose of this activity is to provide you with an understanding ofthe importance of communicating with the public and media in anaccurate, clear, and non-complex manner and within the limitations ofagency guidance for the release of information to the public. Thissupports one of the NRC’s main objectives of increasing publicconfidence. This study activity will provide you information on theimplementation of the guidance on contacts with the public and media.


SELF-MANAGEMENT


REFERENCES: NUREG/BR-0202, “Guidelines for Interviews with the News Media”

Management Directive 3.4, “Release of Information to the Public”

NUREG/BR-0224, “Guidelines for Conducting Public Meetings“

Regional or Office Instructions establishing the policy and process forreceipt of inquiries from the public - media.


understanding of the guidance on contacts with the media bysuccessfully addressing the following:

1. Discuss the NRC goal of improving public confidence and howgood communication with the media contributes to achievingthat goal.

2. Identify the importance of communicating with the media in amanner to build trust.

3. Discuss the importance of the following with regard tocommunication with the media: agency goals, onsite inspectionstaff, safety focus, risk informed, trustworthy, limited knowledgeon the subject.

4. Discuss the importance of planning ahead and preparing wellfor communication with the media.

1245 APP A - 52 Issue Date: 09/02/05

5. Discuss the importance of controlling your speech, includingwhat words to not use, not speculating, not guessing, notanswering the “what if” questions, not giving your opinion orrepeating any other persons opinion, and not talking off therecord.

6. Describe the policy and process for how to communicate tomanagement any inquiries from or unplanned interactions withthe news media and other members of the public.

TASKS: 1. Meet with the regional Public Affairs Officer or someone fromOffice of Public Affairs at Headquarters to discuss theguidelines for interviews with the news media.

2. Explore all aspects of the importance of appropriate, accurate,and clear communications with the public provided on theNRC’s Web Site.

3. Review the agency guidance on how to communicate with thepublic - media.



NOTE: NUREG references in this activity that cannot be found on theNRC External Website may be requested from your Public Affairs

Officer.

Issue Date: 09/02/05 APP A - 53 1245


TOPIC: ISA-(17) Institute of Nuclear Power Operations (INPO), Nuclear EnergyInstitute (NEI), and National Organization of Test, Research andTraining Reactors (TRTR)

PURPOSE: The purpose of this activity is to familiarize you with the appropriateprotocols when reviewing documentation generated by INPO, NEI orTRTR. In addition, to familiarize you with the proper conduct whenINPO or TRTR is at a facility. Most of this guidance relates to INPOand NEI. This guidance should be used as guidance and applied toTRTR as appropriate.


SELF-MANAGEMENT

LEVEL OF EFFORT: 1 hour

REFERENCES: NUREG/BR-0075, “NRC Field Policy Manual” (Available on the NRCInternal Web site under Agencywide Applications

Manual Chapter 0612, “Power Reactor Inspection Reports”

EVALUATION CRITERIA: Upon completion of the tasks in this activity, you will be asked to

demonstrate your general understanding of the appropriate protocolsand conduct when reviewing INPO, NEI or TRTR documentation andwhen conducting an inspection when INPO or TRTR is at a facility bydiscussing the following:

1. Specify when is it appropriate to refer to INPO documents in anNRC inspection report or other agency documentation.

2. Identify the circumstances under which are you allowed toperform an inspection of an NEI initiative.

3. Identify the accepted protocol for an NRC inspector attendingan INPO meetings held with licensee personnel.

TASKS: 1. Review Field Policy Manual - Policy No. 9, “NRC Review ofINPO Documents.”

2. Review Field Policy Manual - Policy No. 12, “Coordination ofNRC Activities at Power Reactor Facilities.”

1245 APP A - 54 Issue Date: 09/02/05

3. Review Field Policy Manual - Policy No. 14, “NRC Interactionwith the Nuclear Energy Institute.”

4. Review the section in Inspection Manual Chapter 0612 on thirdparty reviews.



Issue Date: 09/02/05 APP A - 55 1245


TOPIC: (ISA-18) Freedom of Information Act and the Privacy Act

PURPOSE: The purpose of this activity is to provide you with an understanding ofthe how the NRC implements the Freedom of Information Act (FOIA)and the Privacy Act while guarding against the inadvertent andunauthorized release of information. While it is very important tocommunicate with the public, communication must be done within thelimitations of agency guidance for the release of information to thepublic. This supports one of the NRC’s main objectives of increasingpublic confidence. This study activity will provide you information onthe implementation of the guidance on responding to FOIA requestsfor information from the public.


SELF-MANAGEMENTREGULATORY FRAMEWORK


REFERENCES:. 10 CFR Part 9, “Public Records”

Management Directive 3.1, “Freedom of Information Act”

Management Directive 3.2, “Privacy Act”

Management Directive 3.4, “Release of Information to the Public”

Regional or Office Instructions establishing the policy and procedurefor processing FOIA requests for agency records


understanding of the guidance on contacts with the media bysuccessfully addressing the following:

1. Discuss the NRC goal of improving public confidence and howimplementing the provisions of FOIA and the Privacy Act willcontribute to achieving that goal.

2. Identify the completeness and timeliness requirements forresponding to an FOIA request and discuss how important thisresponsiveness is in building public trust.

1245 APP A - 56 Issue Date: 09/02/05

3. Discuss the following responsibilities when responding to aFOIA request:a. provide all records subject to the request in the Agency’s

possession;b. identify other NRC offices that might have records subject

to the FOIA request;c. screen the records prior to release to ensure that

withholdable information is properly marked prior toforwarding to Headquarters; and

d. support the decision to withhold information by providingthe appropriate exemption and “foreseeable harm”statements.

4. Identify the type of information which should be withheld fromrelease when responding to an FOIA request, including theproprietary, pre-decisional, and privacy information.

5. Describe the legal limitations of what can be released to thepublic and what must be protected under the Privacy Act.

6. Describe the policy and procedure for processing FOIArequests for agency records.

TASKS: 1. Meet with the FOIA Coordinator to discuss the procedure forprocessing FOIA requests for agency records.

2. Explore the information made available to the public on theNRC’s Web Site and via ADAMS.

3. Review the agency guidance on how to implement the FOIAwithout releasing pre-decisional information and otherinformation covered under the Privacy Act.



Issue Date: 09/02/05 APP A - 57 1245


TOPIC: (ISA-19) Entrance and Exit Meetings

PURPOSE: Effective communication is critical for overall Agency success. ForNRC inspectors, the inspection entrance and exit meetings are theprimary forums for communicating issues with licensees. In additionto communicating effectively, as government officials, inspectors haveadditional requirements to follow during entrance and exit meetings toensure proprietary data and safeguard information is not disclosed,and information is shared with the public when appropriate. To ensureissues are discussed in accordance with NRC requirements,communication standards have been established that outline howentrance and exit meetings are to be conducted. The purpose of thisactivity is to introduce you to the standards for conducting NRCentrance and exit meetings and to allow you to demonstrate an abilityto conduct an entrance and exit meeting.

COMPETENCY AREA: COMMUNICATION

TEAMWORKINSPECTION


REFERENCES: Manual Chapter 2515, “Light-Water Reactor Inspection Program-Operations Phase”

Regional Guidance or Office Guidance (if applicable) EVALUATIONCRITERIA: At the completion of this activity, you should be able to:

1. Locate the various guidance for conducting NRC entrance andexit meetings.

2. Successfully conduct an entrance and exit meeting inaccordance with NRC guidance.

TASKS: 1. Locate and read the guidance for conducting NRC entranceand exit meetings contained in MC-2515 and regional or officeinstructions.

2. Observe at least one entrance and exit meeting conducted ata reactor site. If possible, observe meetings that have beenconducted for a wide range of inspection activities in a varietyof forums, such as a public exit meeting.

1245 APP A - 58 Issue Date: 09/02/05

3. Review an inspection report that was recently completed, andconduct a “mock” entrance and exit meeting of the inspectionreport findings in the presence of your supervisor or a fullyqualified inspector designated by your supervisor.


DOCUMENTATION: Basic-level Certification Signature Card Item ISA -19

Issue Date: 09/02/05 APP A - 59 1245


TOPIC: (ISA-20) Documenting Inspection Findings

PURPOSE: NRC inspection reports serve many important functions. In addition toserving as a vehicle to communicate inspection findings to a licensee,inspection reports form part of the historical record of NRC activities ata reactor site. To that end, it is vital for inspection reports to clearlydocument the results of inspection activities conducted. To assistinspectors in the preparation of inspection reports, the NRC hasdeveloped several guidance documents, which outline whatinformation should be documented in an inspection report, and howthat information should be presented. The purpose of this activity isto introduce you to the standards for preparing NRC inspection reportsand to allow you to demonstrate an understanding of the applicableinspection report documentation requirements.


SELF-MANAGEMENTCOMMUNICATIONTEAMWORKASSESSMENT AND ENFORCEMENT


REFERENCES: NRC Inspection Manual 0612, “Power Reactor Inspection Reports” (forpower reactors) or IMC 0610, “Inspection Reports” (for research andtest reactors)

NRC Inspection Manual 0620, “Inspection Documents and Records”

“Plain Language Initiative” web site, which has NUREG-1379 foreditorial style guidance, the directives from the President of the US,and other related documents,www.internal.nrc.gov/NRC/PLAIN/index.html.

Regional Guidance or Office Guidance (as applicable)


1. Locate the various guidance for preparing NRC inspectionreports.

2. Verify an inspection report was written in accordance with theapplicable NRC guidance.

1245 APP A - 60 Issue Date: 09/02/05

3. Explain the threshold for documenting licensee and NRCidentified issues in NRC inspection reports.

TASKS: 1. Locate and read the various guidance for documentinginspection findings. The necessary information will becontained in NRC manual chapters, and regional or officeinstructions.

2. Select a recently completed inspection report that was preparedin your region or office that contains both NRC and licenseeidentified findings. Compare the inspection report format andcontent to the report preparation guidance contained in eitherNRC manual chapter 0612 or 0610, and to any applicableregional or office guidance. Through review of the guidance,and conversations with the report author, verify the report wasprepared in accordance with the requisite report preparationguidance.



Issue Date: 09/02/05 APP A - 61 1245


TOPIC: (ISA-21) The NRC Differing Professional Opinions (DPO) Program

PURPOSE: The purpose of this activity is to provide guidance on the informal andformal processes for pursuing resolution of differing professional viewsor opinions. It is the policy of the NRC and the responsibility of allNRC supervisory and managerial personnel to maintain a workingenvironment that encourages each employee to make known his/herbest professional judgment even though that judgment may differ fromthe prevailing staff view, disagree with a management decision orpolicy position or take issue with proposed or established agencypractices. To further this policy, NRC Management Directive (MD)10.159, “The NRC Differing Professional Opinions establishes aninformal process to foster discussions with peers and supervisors onissues involving professional judgements that may differand a formalprocess to be used when expressing differing professional opinions.This activity will provide you with an understanding of NRC’s DifferingProfessional Opinions (DPO) Program.

COMPETENCY AREAS: INSPECTION

SELF-MANAGEMENT COMMUNICATION


REFERENCES: Management Directive (MD) 10.159, “The NRC Differing ProfessionalOpinions Program”

Regional or Office Instructions establishing the policy and procedurefor resolving DPOs (if applicable)


understanding of the NRC’s Differing Professional Opinions Programby successfully addressing the following:

1. State the purpose of the NRC’s DPO process.

2. Describe the Agency’s DPO Program and how it isimplemented.

3. State the expectations of NRC employees regarding makingknown their best professional judgment even though it maydiffer from the judgement of others.

1245 APP A - 62 Issue Date: 09/02/05

4. Discuss under what circumstances the various methodsavailable for expressing your best professional judgment wouldbe used.

5. Describe where the resolution DPOs are published.

TASKS:2. Meet with the regional counsel, or other individual designated

to be your resource for this activity, to develop anunderstanding of the NRC policy and guidance for resolution ofdiffering professional opinions.

3. Review the Agency’s Management Directive (MD) 10.159, "TheNRC Differing Professional Opinions Program."

4. Explore all aspects of the Agency’s DPO guidance anddocumentation provided on the NRC’s Web Site.



Issue Date: 09/02/05 APP A - 63 1245


TOPIC: (ISA-22) Overview of 10 CFR Part 50

PURPOSE: The purpose of this activity is to acquaint you with the regulations thatspecify the requirements for all aspects of the construction andoperation of a nuclear reactor. This individual study activity will helpyou to understand the content of Part 50 and how to locate the specificrequirements for any subject.



REFERENCES: NRC Internal Home PagePaper copy of 10 CFR Parts 1 to 50, latest revision

EVALUATIONCRITERIA: Upon completion of the tasks in this activity, you will be asked to

demonstrate your understanding of the general content of 10 CFR Part50 by successfully discussing the following:

1. State the purpose of Part 50.

2. Given a specific subject, identify which section in Part 50discusses the requirements for that subject by using the searchfeature on the NRC Regulations & Nuclear RegulatoryLegislation web pages.

3. Discuss the general content of the information covered by thePart 50 quiz and the answers to the quiz to gain an |understanding of the key portions of 10 CFR Part 50. |

TASKS: 1. Become familiar with, and be able to use the search feature tolocate the information available in NRC Regulations & NuclearRegulatory Legislation web pages presented on the NRC’sInternal Web Site.

2. Read and be familiar with the following parts of Part 50: |50.2, 50.7, 50.9, 50.12, 50.30, 50.34, 50.36, 50.39, 50.49, |50.51, 50.54, 50.59, 50.65, 50.67, 50.71, 50.72, 50.73, |50.120, and Appendices A, B, and R |

3. Complete the Part 50 quiz to gain an understanding of the key |portions of 10 CFR Part 50. The self-study, open-book quiz is |located in ROP Digital City on the Internal Website. Since this

1245 APP A - 64 Issue Date: 09/02/05

is an ungraded self-study activity, you will also find the answersand references for the answer on Digital City. Be sure to|complete the quiz before you print the answer sheet.



Issue Date: 09/02/05 APP A - 65 1245


TOPIC: (ISA-23) Overview of 10 CFR Parts 19 and 20

PURPOSE: The purpose of this activity is to familiarize you with Parts 19 and 20of the NRC regulations. These regulations are generic to any positionwithin the Agency and will provide a perspective on conductinginspections in the working environment of a nuclear reactor. Thisindividual study activity will help you understand the purpose of Parts19 and 20 and provide you with some basic knowledge that all NRCinspectors will use when conducting inspections in radiologicallycontrolled areas.



REFERENCES: NRC Internal web page - NRC Maintained 10 CFR Website - Parts 19and 20

A hard copy of Parts 19 and 20


general understanding of Parts 19 and 20 and why these regulationsare important for all inspectors, by successfully addressing thefollowing:

1. Describe the general purpose of Part 19.

1. Identify the section of Part 19 that describes the rights ofradiation workers if they believe a violation of radiologicalworking condition requirements has occurred.

2. Identify the section of Part 19 that requires a licensee to reportdoses to workers.

3. Describe the purpose of Part 20.

5. Identify the section and discuss the various radiologicalcircumstances that would require a licensee to notify the NRC.

6. Discuss why it is important for every NRC inspector to have ageneral understanding of Part 19 and 20.

1245 APP A - 66 Issue Date: 09/02/05

TASKS: 1. Review Part 19 for a general understanding of the following:

a. The purpose of Part 19 [19.1]b. Documents are required to be posted [19.11(d) and (e)]c. Requirements for promptly identifying any condition that

may cause unnecessary exposure [19.12(a)(4)]d. Instructions for individuals in a restricted area that may

experience unnecessary exposure to radiation and/orradioactive materials [19.12(a)(5)]

e. What times the NRC is allowed to inspect a facility[19.14(a)]

f. Requests by workers for an NRC inspection [19.16(a)]

2. Review Part 20 for a general understanding of the following:

a. The purpose of Part 20 [20.1001]b. Occupational dose limits for adults [20.1201]c. Occupational dose limits for members of the public

[20.1301]d. Concepts of ALARA [20.1101]e. Conditions requiring individual monitoring of external and

internal occupational dose [20.1502]



Issue Date: 09/02/05 APP A - 67 1245


TOPIC: (ISA-24) Licensee-specific Regulatory Documents and Procedures

PURPOSE: The purpose of this activity is to acquaint you with licensee-specificdocuments and procedures that you need to be aware of and be ableto access on-site during an inspection. These documents andprocedures describe how a licensee complies with NRC regulationsand requirements. As a fully qualified inspector you will need toidentify circumstances where the licensee is in non-compliance. Also,inspectors must adhere to applicable licensee procedures at all timeswhile on-site. This activity will acquaint you with the most commontypes of licensee-specific regulatory documents and procedures andwill elp you learn how individual facilities may implement NRCregulations and requirements differently.



REFERENCES:Improved Standard Technical Specifications or TechnicalSpecifications for a specific research and test reactor, as applicable

NUREG 800, “Standard Review Plan”, for power reactor inspectors orNUREG 1537, Part 2, “Standard Review Plan and Acceptance Criteria,Guidelines for Preparing and Reviewing Applications of Non-PowerReactors,” for research and test reactor inspectors.

NRC Regulatory Guide 1.33, “Quality Assurance ProgramRequirements (Operations)”

NRC Regulatory Guide 1.70 or NUREG 1537, Part 1, “Format andContent Guidelines for Preparing and Reviewing Applications of Non-Power Reactors,” as applicable

Updated Final Safety Analysis Report (UFSAR) (any available) orresearch and test reactor safety analysis report, as applicable.

Facility-specific license (any available)

Facility-specific Safety Evaluation Report (any available)


familiarity with the role of licensee-specific regulatory documents and

1245 APP A - 68 Issue Date: 09/02/05

procedures within the regulatory framework by successfully addressingthe following:

6. Identify the regulatory enforcement hierarchy that existsbetween CFR requirements, a facility-specific license, facility-specific Technical Specifications, a facility-specific UFSAR andSafety Evaluation Report (SER), and facility-specificprocedures.

7. Recognize how the NRC standard review plan is related to thedocuments identified in item 1.

8. Identify which organization writes safety analysis, whichorganization approves them, and which organization is requiredto maintain current copies.

9. Identify the organization responsible for writing RegulatoryGuides and Safety Evaluation Reports, and the organizationresponsible for approving them. Describe the requirements formaintaining copies current.

10. Discuss how enforcement actions relate to safety analysisreports or an SER.

11. Locate where the following can generally be found:a. Safety Limits (facility-specific)b. Design Basis Accident Analysisc. Maximum licensed thermal powerd. Limiting Safety System Settings (facility-specific)e. Limiting Conditions for Operation (LCO)f. Bases for LCOsg. NRC criteria for accepting a safety analysish. Licensee commitments to various standardsi. Specific, but not necessarily all, approved methods for

complying with NRC requirementsj. Licensee Security Plan

TASKS: 1. Locate all applicable reference documents.

2. Meet with an appropriately qualified inspector and discuss thegeneral objectives of a licensee security plan and theirrestriction on public availability. Also, determine the specificsecurity requirements to which an NRC inspector mustpersonally adhere.

3. Discuss with your Office Enforcement Specialist your answersto the above questions related to enforcement policy.

Issue Date: 09/02/05 APP A - 69 1245



1245 APP A - 70 Issue Date: 09/02/05


Issue Date: 09/02/05 APP A - 71 1245


TOPIC: (ISA-25) Security Requirements for Nuclear Plants

PURPOSE: The purpose of this activity is to provide you with a generalunderstanding of the requirements for the security program at nuclearplants.



REFERENCES: 1. 10 CFR 73.55 - Requirements for physical protection oflicensed activities in nuclear power reactors against radiologicalsabotage

2. NRC Regulatory Issue Summary 2002-12a - Power ReactorsNRC Threat Advisory and Protective Measures System

3. Management Directive 12.6 - NRC Sensitive UnclassifiedInformation Security Program

4. 10CFR 73.21 - Requirements For The Protection of SafeguardsInformation.

|5. SECY-04-0191 - Withholding Sensitive Unclassified Information |

Concerning Nuclear Power Reactors from Public Disclosure |


understanding of the requirements for a security program at a nuclearplant by successfully doing the following:

1. Discuss how the site security force maintains access control ofthe owner-controlled, protected, and vital areas.

2. Discuss intrusion detection equipment.

3. Generally discuss the different color-coded threat conditionsand the corresponding actions for each condition, as providedin RIS 2002-12a.

4. Explain the need for maintaining classification of certainsafeguards material and the proper handling of the material.Discuss the Sensitive Information Screening Project (SISP) |review. |

1245 APP A - 72 Issue Date: 09/02/05

5. Discuss the responsibilities of escorting individuals insideprotected and vital areas.

TASKS: 1. Complete the Information Security (INFOSEC) Awareness|Training. To access the training, (1) select TRAINING on the|NRC’s Internal Web Site; (2) select WEB-BASED TRAINING on|the Training Web Site; and (3) Information Security (INFOSEC)|Awareness on the Web-based Training Web Site. Be sure to|print the completion record at the end of the on-line course.|This must be presented to your supervisor as evidence that you|have completed the course.|

2. Obtain paper copies or locate and bookmark electroniclocations of the above stated reference material for personaluse and future reference. Electronic copies can be found onthe NRC External Website in the Electronic Reading Room

3. Review the reference material to gain an understanding of theprinciples discussed in the evaluation criteria.

4. Review and discuss the evaluation criteria with your supervisoror a fully qualified inspector.


Issue Date: 09/02/05 APP A - 73 1245

Basic-level Individual Study Activity ||

TOPIC: (ISA-26) Exploring the Operating Reactor Assessment Program ||

PURPOSE: The purpose of this study activity is for you to obtain a broad overall |knowledge of the operating reactor assessment program. Upon |completion of this study activity, you will have the necessary |background to go into a more detailed study of the inspection program, |and learn the specifics of what an inspector does, why it is done, and |how it is done. |

|COMPETENCY |AREA: ASSESSMENT |

REGULATORY FRAMEWORK ||

LEVEL |OF EFFORT: 24 hours |

|REFERENCES: NUREG-1649, “Reactor Oversight Process.” (For power reactor |

inspectors only.) ||

IMC 0612, “Power Reactor Inspection Reports” ||

IMC 0305, “Operating Reactor Assessment Program” ||

IMC 0308 Attachment 4, “Technical Basis for Assessment” ||

EVALUATION |CRITERIA: After completing this study activity, you will demonstrate your |

understanding of the operating reactor assessment program by |successfully doing the following: |

|1. State the purpose of the quarterly plant performance reviews |

|2. State the purpose of mid-cycle and end-of-cycle assessment. |

|3. State the types of information contained in the Plant |

Performance Summary (Exhibit 7 of IMC 0305) and when |Exhibit 7 is required to be developed. |

|4. State the purpose of the action matrix and be able to describe |

the 5 different plant performance designations. ||

5. Describe what a substantive cross-cutting issue and the criteria |for initiating. |

||

1245 APP A - 74 Issue Date: 09/02/05

TASKS: 1. Locate NUREG-1649, “Reactor Oversight Process.” (For power|reactor inspectors only.) Read the NUREG to become aware|of the concept of the assessment of plant performance and|NRC’s response. |

|2. Locate Inspection Manual Chapter (IMC) 0305, “Operating|

Reactor Assessment Process.” Read IMC 0305 to gain an|understanding of how the NRC assesses licensee performance|and the actions the NRC takes for varying levels of licensee|performance.|

|3. Locate the Plant Assessment and Results web-page link off|

Digital City (introduced in ISA-2). Note there are two links - one|for internal NRC Use only and one for external use. Be able to|state the major difference between the internal and external|web-pages.|

|4. Locate the ROP Action Matrix Summary and the historical ROP|

Action Matrix Summaries. Be able to discuss the information|provided. |

|5. Attend several mid-cycle and end-of-cycle review meetings to|

gain an understanding of the purpose of the meetings, the|information discussed, and the decisions made. The selection|of mid-cycle review meetings to attend should be made to|maximize exposure to the assessment program. Whenever|possible, attend a meeting that includes a discussion of cross-|cutting issues, a discussion of Plant Performance Summary|(Exhibit 7), and a discussion of safety significant findings and|performance indicators.|

|6. Meet with your supervisor or the person designated to be your|

resource for this activity and discuss the items listed in the|Evaluation Criteria section.|

|DOCUMENTATION: Basic-level Certification Signature Card Item ISA-26.|

Issue Date: 09/02/05 APP A - 75 1245

Basic Level On-the-Job Activities

1245 APP A - 76 Issue Date: 09/02/05


Issue Date: 09/02/05 APP A - 77 1245

Basic-Level On-the-Job Training Activities

The on-the-job activities require you to conduct inspection-related work, under supervision,at a reactor facility. They are designed to allow you to observe and perform key inspectortasks under controlled circumstances. Like the individual study activities, each of the on-the-job activities informs you why the activity is important, how much time you might needto complete the assignment, and what you are expected to complete successfully duringthe activity.

Prior to beginning the activities in this section, you must successfully complete the coursework for site access. There are two ways this can be done. You can complete the NRC’sSite Access Course and the site specific requirements for access. Or, you may completethe site access requirements at a site. Your supervisor will discuss with you the best wayfor you to meet the site access requirements.

The following general guidance applies as you complete the various on-the-jobactivities:

U The activities in this section should be completed in the order in which theyare presented.

U Complete all parts of each activity.

U Your supervisor will act as a resource as you complete each activity. Discussany questions you may have about how a task must be done or how theguidance is applied. Your supervisor may also designate other fully qualifiedinspectors to work with you as you complete the various activities.

U You are responsible for keeping track of what tasks you have completed. Besure that you have completed all aspects of an OJT activity before you meetwith your supervisor for evaluation.

1245 APP A - 78 Issue Date: 09/02/05

PAGE INTENTIONAL BLANK

Issue Date: 09/02/05 APP A - 79 1245

Basic-level On-the-Job Activity

TOPIC: (OJT-1) Facility Familiarization Tour with a Qualified Inspector

PURPOSE: The purpose of this activity is to: (1) acquaint you with the generallayout of a facility and identify various major equipment; (2) instruct youin the types of industrial and radiological personal protectionrequirements and the proper method of complying with theserequirements; (3) instruct you in the use of security procedures; and (4)instruct you in the proper response to an emergency if the emergencyis declared while in the facility.


COMMUNICATIONFUNDAMENTAL PLANT DESIGN AND OPERATIONEMERGENCY RESPONSE


REFERENCES: Licensee’s drawing(s) of the site building layouts.


understanding of the general plant layout and inspector behavior in theplant by successfully addressing the following:

1. Given a drawing of the site building layout, be able to identifywhere the major facility areas are located.

2. Identify the types of industrial personnel safety equipment thatare available and the circumstances under which each piece ofequipment should be used.

3. Explain how you would know what type(s) of radiologicalprotection equipment are required before entering aradiologically controlled area (RCA).

4. Given specific scenarios related to security situations, describewhat actions you would take.

Note: completion of this activity may require several facility tours.

1245 APP A - 80 Issue Date: 09/02/05

5. Given specific scenarios related to emergency responsesituations, describe what actions you would take.

6. Given specific scenarios related to health physics situations,describe what actions you would take.

TASKS: 1. Review a drawing(s) of the building layout for the site and plana route for a tour that will include the major areas on the site,such as:

g. turbine building (for power reactor inspectors) or experimental facilities (for research and test inspectors)

h. engineered safeguards equipment areas i. radiologically controlled area j. emergency response facility k. control room l. spent fuel pool m. switch yard or electrical distribution system n. diesel generator rooms or other emergency power

supplies o. other areas deemed appropriate by a qualified inspector.

2. Prior to the tour, discuss the requirements for personalindustrial safety equipment with a qualified inspector.

3. Tour the facility with a qualified inspector and locate the majorpieces of equipment and facility areas - including but not limitedto those items described above.

4. Enter the RCA with a qualified inspector and tour the area toobserve and/or discuss items such as: different radiologicalcontrol postings, methods of designating areas that haveadditional radiological control requirements for entry, differentradiological control clothing requirements for different areas,use of portal monitors and personal friskers, and monitoringpersonal dosimetry.

5. During the tour, discuss the proper security procedures forentering the areas discussed above, including the actions totake in the event a procedure error or violation of security rulesis committed or observed.

6. During the tour, discuss the proper response in the event anemergency is declared while in the facility.

7. During the tour, discuss the proper response in the event of aradiological control event or anomaly.

Issue Date: 09/02/05 APP A - 81 1245


DOCUMENTATION: Basic-level Certification Signature Card - OJT 1

1245 APP A - 82 Issue Date: 09/02/05


Issue Date: 09/02/05 APP A - 83 1245


TOPIC: (OJT-2) Control Room Tour with Resident or other Qualified Inspector

PURPOSE: The purpose of this activity is to familiarize you with the appropriateprotocol for the conduct of an inspector in a control room. This activitywill also help you to become familiar with general control room layout,required control room staffing, and the inspector’s role in gatheringfacility status information.

COMPETENCY AREAS: SELF-MANAGEMENT

INSPECTIONFUNDAMENTAL PLANT DESIGN AND OPERATIONEMERGENCY RESPONSE


REFERENCES: Licensee specific procedure for the conduct of operations in the controlroom.

EVALUATIONCRITERIA: Upon completion of this activity, you should be able to:

1. Explain the appropriate protocol for an inspector’s conduct inthe control room.

2. Explain how you would respond if you were present in thecontrol room during an emergency situation. Specifically, youshould explain why it is never appropriate for an inspector tooperate any controls, or to interfere in licensee operations,during routine or emergency situations.

3. Describe the general layout of a control room. Explain what ismeant by “At the Controls” in a control room or explain wereoperator(s) must be stationed in the control room duringoperations. Describe examples of site specific restrictions forlimits on where an inspector can go in a control room, with orwithout permission.

4. Describe the basic staffing in the control room and where youwould expect to find various licensed personnel.

5. Describe the types of information an inspector gathers in thecontrol room and how that information is obtained.

1245 APP A - 84 Issue Date: 09/02/05

TASKS: 1. Locate and read appropriate sections of the site specificguidance for control of operations in the control room.

2. Discuss site specific guidance, as it relates to protocol forconduct of NRC personnel in the control room, with aninspector. Discuss how this guidance could vary from site tosite.

3. Go to the control room with an inspector and observeappropriate protocol. Gain a general understanding of thecontrol room layout and staffing. Also, observe the inspectorgathering facility status information.


DOCUMENTATION: Basic-level Certification Signature Card Item OJT 2

Note: Power reactor inspectors are expected to visit the control room with a resident inspector

Issue Date: 09/02/05 APP A - 85 1245


TOPIC: (OJT-3) Licensee Plan-of-the-Day (POD) Meeting, Documents orInformation

PURPOSE: The purpose of this activity is to: (1) acquaint you with the varioustypes of information discussed in the POD; (2) instruct you in the typesof information provided in the POD that is important to an inspector;and (3) inform you of the appropriate inspector protocols so that youwill know when NRC participation is and is not appropriate.


COMMUNICATIONSELF-MANAGEMENT


REFERENCES: None


understanding of the NRC inspector’s role at the POD, by successfullydiscussing the following:

6. Identify the types of information discussed in the POD that areimportant to an inspector and discuss why the information isimportant.

7. Given specific examples, be able to discuss if it is appropriatefor an inspector to participate in the discussion at or about thePOD.

TASKS: 1. Discuss with a qualified inspector, the types of informationprovided at the meeting or in a POD document that would beimportant to you and why that information is important.

2. Discuss with a qualified inspector, the protocols of when anNRC inspector should and shouldn’t participate in the licensee’sdiscussions.

3. Review the licensee’s overview organization chart and then,either observe a POD meeting with a qualified inspector orreview a POD document with a qualified inspector

1245 APP A - 86 Issue Date: 09/02/05


DOCUMENTATION: Basic-level Certification Signature Card OJT 3

Issue Date: 09/02/05 APP A - 87 1245


TOPIC: (OJT-4) Inspection Activities

PURPOSE: The purpose of this activity is to familiarize you with inspection taskscommonly performed by an inspector. This on-the-job training willprepare you to independently plan and conduct the baseline inspectionprogram as defined in the applicable Inspection Manual Chapter (IMC).


COMMUNICATIONTEAMWORKSELF-MANAGEMENT

LEVEL OF EFFORT:

REFERENCES: NRC IMC 0330, ”Guidance for NRC Review of Licensee DraftDocuments”

NRC IMC 2515, “Light Water Reactor Inspection Program - OperationsPhase” or IMC- 2545 for Non-Power Reactors

NUREG 1649, ”Reactor Oversight Process” (for power reactorinspectors only)

UFSAR or safety analysis report for activity to be inspected

Inspection planning guidance


understanding of the baseline inspection process by:

1. Describing the contents and purpose of the site-specificinspection plan.

2. Describing the purpose of the inspection planning call.

Note: The objective of this activity is to make sure that you haveexperienced the full range of inspection activities. The time neededto complete the tasks will depend on your individual proficiency. There is no set number of inspections you must complete. You mustparticipate in inspections until such time as you can address theevaluation criteria to the satisfaction of your supervisor.

1245 APP A - 88 Issue Date: 09/02/05

3. Providing your supervisor with a specific inspection plan thatyou have prepared. Describe the purpose and contents of aspecific inspection plan.

4. Discussing the documents to be reviewed including theircontent and purpose prior to an inspection.

5. Describing the contents and purpose of the part of the entrancemeeting you conducted.

6. Describing the activities you accomplished during theinspection(s), and their purpose.

7. Describing the purpose of the management brief and the exitpre-brief of licensee management in which you participated .

8. Describing the contents and purpose of the part of the exitmeeting you conducted.

TASKS: 1. Review the annual or applicable site specific inspection plan tounderstand where your inspection effort fits into the overallplan.

2. Participate in a inspection planning call to the licensee.

3. Participate in developing the inspection specific plan.

4. Review the following documents to understand how theyprovide background information, current issues, areas foremphasis and support for the inspection effort you plan toaccomplish:a. Previous inspection reports.b. Plant Issues Matrix (for power reactor inspectors only)c. Appropriate licensee documentsd. Applicable inspection procedurese. Other applicable documents, i.e., Performance Indicators,

Licensee Event Reports, Information Notices, Bulletins,etc.

5. Observe an entrance meeting

6. Observe the activities performed by a qualified inspector duringthe completion of the planned inspection by:a. Observing implementation of inspection proceduresb. Observing interviews / discussion with facility personnelc. Observing facility work activitiesd. Reviewing documentation and recordse. Discussing inspection results with the lead inspector

Issue Date: 09/02/05 APP A - 89 1245

7. Observe briefing of NRC management

8. Observe an exit pre-brief of licensee management

9. Observe an exit meeting

10. Participate as an active member in an inspection by: a. Drafting a portion of the inspection specific plan.b. Conducting activities described in No. 6 above as

appropriate.c. As deemed appropriate by your supervisor, conducting a

portion of:(1) the entrance meeting.(2) the briefing of NRC management.(3) the pre-brief of licensee management(4) the exit meeting


DOCUMENTATION: Basic-level Qualification Signature Card- OJT 4

1245 APP A - 90 Issue Date: 09/02/05


Issue Date: 09/02/05 APP A - 91 1245


TOPIC: (OJT-5) Documenting Inspection Findings

PURPOSE: The purpose of this activity is to give guidance on content, format, andstyle for inspection reports. The objectives of this activity are to ensurethat inspection reports: 1) clearly communicate significant inspectionresults to licensees, NRC staff, and the public; 2) provide a basis forsignificance determination and enforcement action; and 3) presentinformation associated with significant inspection findings in a mannerthat will be useful to NRC management in developing longer-term,broad assessments of licensee performance.

COMPETENCY AREAS: FUNDAMENTAL PLANT DESIGN AND OPERATION

INSPECTIONCOMMUNICATIONTEAMWORKASSESSMENT AND ENFORCEMENT


REFERENCES: MC 0330, “Guidance for NRC Review of Licensee Draft Documents”

MC 0609, "Significance Determination Process (SDP)"

MC 0612, "Power Reactor Inspection Reports" or MC 0610,“Inspection Reports”

MC 0620, “Inspection Documents and Records”

Guidance for documenting inspection findings

Enforcement Policy (Refer to the NRC web site)

NUREG/BR-0075, “Field Policy Manual”, Policy No. 9, “NRC Reviewof INPO Documents (power reactor inspectors only)

EVALUATION

Note: References, Evaluation Criteria and Tasks related to the Significance Determination Process (SDP) are for power

reactor inspectors only.

1245 APP A - 92 Issue Date: 09/02/05

CRITERIA: Upon completion of this activity, you will be asked to demonstrate yourunderstanding of documenting inspection findings by successfullyaddressing the following:

1. Discuss the thresholds for determining what findings should bedocumented in an inspection report.

2. Describe how to process a finding through phase 1 of the SDPand what are the various outcomes.

3. Explain which findings are not processed through the SDPincluding how and why they are documented.

4. Discuss how to write an inspection report input.

5. Discuss how to write a violation.

6. Contrast the differences in documenting Inspector IdentifiedFindings, Cross-cutting Issues, and Licensee IdentifiedViolations.

TASKS:1. Using MC 0609 and MC 0612, or MC 0610, determine if an

identified issue is above the threshold for documentation.

2. Use MC 0612 to process a finding that does not fit into the SDPsuch as findings related to cross-cutting issues.

3. Use MC 0609 to process a finding through phase 1 of the SDP.

4. Using MC 0612 or MC 0610 and other available guidance, draftan inspection report input.

5. Given a violation of regulatory requirements and theEnforcement Policy and guidance, draft a violation.

6. Using MC 0330 and MC 0620, describe how to determine thedocuments that must be included as attachments to aninspection report as an agency record.

DOCUMENTATION: Basic-level Certification Signature Card OJT 5

Issue Date: 09/02/05 APP A - 93 1245

Basic-level Signature Cards and Certification

Inspector Name: ___________________________________ EmployeeInitials/ Date

Supervisor’sSignature/Date

A. Training Courses

H-100, Site Access Training (or licensee site access)

R-100, Reactor Concepts

P-105, PRA Basics for Regulatory Applications

G-104, Expectations for Inspectors

B. Individual Study Activities

ISA-1 History and Organization of the Nuclear Regulatory Commission

ISA-2 Navigating the NRC’s Internal and External Web Pages

ISA-3 Inspector Objectivity, Protocol, and Professional Conduct

ISA-4 Fitness for Duty (FFD) Rule

ISA-5 Allegations

ISA-6 NRC’s Response to an Emergency at a Nuclear Facility

ISA-7 The Enforcement Process

ISA-8 The Office of Investigations

ISA-9 Exploring the Operating Reactor Inspection Program

ISA-10 Exploring Reactor Oversight Program’s (ROP) InternalWebpage

ISA-11 Augmented Inspection Team (AIT), Special Inspection Team(SIT), and Incident Inspection Team (IIT) Activities

ISA-12 Understanding How the Commission Operates

ISA-13 Organization and Content of the NRC Inspection Manual

ISA-14 NRC Interagency Agreements

ISA-15 Interactions with the Public

ISA-16 Contacts with the Media

ISA-17 Institute of Nuclear Power Operations (INPO), Nuclear EnergyInstitute (NEI), and National Organization of Test, Research andTraining Reactors (TRTR)

ISA-18 Freedom of Information Act and the Privacy Act

ISA-19 Entrance and Exit Meetings

1245 APP A - 94 Issue Date: 09/02/05

EmployeeInitials/ Date

Supervisor’sSignature/ Date

ISA-20 Documenting Inspection Findings

ISA-21 Differing Professional Opinions (DPO) and DifferingProfessional Views (DPV)

ISA-22 Overview of 10 CFR Part 50

ISA-23 Overview of 10 CFR Parts 19 and 20

ISA-24 Licensee-specific regulatory documents and procedures

ISA-25 Security Requirements for Nuclear Plants|ISA-26 Exploring the Operating Reactor Assessment Program|

C. On-the-Job Training Activities

OJT-1 Plant Familiarization Tour with a Qualified Inspector

OJT-2 Control Room Tour with Resident Inspector

OJT-3 Licensee Plan-of-the-Day (POD) Meeting

OJT-4 Inspection Activities

OJT-5 Documenting Inspection Findings

This signature card and certification must be accompanied by the appropriate Form 1, Basic Level EquivalencyJustification, if applicable.

Basic Inspector Certification

______________________________________(name)

Has successfully completed all of the requirementsto be certified as a

BASIC INSPECTOR

Supervisor Signature________________________ Date:____________

Issue Date: 09/02/05 APP A - 95 1245

Form 1: Basic-Level Equivalency Justification

Inspector Name: ________________________________Identify equivalent training andexperience for which the inspector is tobe given credit

A. Training Courses

R-100, Reactor Concepts

P-105, PRA Basics for Regulatory Applications

B. Individual Study Activities

ISA-1 History and Organization of the Nuclear RegulatoryCommission

ISA-2 Navigating the NRC’s Internal and External Web Pages

ISA-3 Inspector Objectivity, Protocol, and Professional Conduct

ISA-4 Fitness for Duty (FFD) Rule

ISA-5 Allegations

ISA-6 NRC’s Response to an Emergency at a Nuclear Facility

ISA-7 The Enforcement Process

ISA-8 The Office of Investigations

ISA-9 Exploring the Operating Reactor Inspection Program

ISA-10 Exploring Reactor Oversight Program’s (ROP) InternalWebpage

ISA-11 Augmented Inspection Team (AIT), Special InspectionTeam (SIT) and Incident Inspection Team (IIT) Activities

ISA-12 Understanding How the Commission Operates



1245 APP A - 96 Issue Date: 09/02/05

ISA-13 Organization and Content of the NRC Inspection Manual

ISA-14 NRC Interagency Agreements

ISA-15 Interaction with the Public

ISA-16 Contacts with the Media

ISA-17 Institute of Nuclear Power Operations (INPO), NuclearEnergy Institute (NEI), and National Organization of Test,Research and Training Reactors (TRTR)

ISA-18 Freedom of Information Act and the Privacy Act

ISA-19 Entrance and Exit Meetings

ISA-20 Documenting Inspection Findings

ISA-21 Differing Professional Opinions (DPO) and DifferingProfessional Views (DPV)

ISA-22 Overview of 10 CFR Part 50

ISA-23 Overview of 10 CFR Parts 19 and 20

ISA-24 Licensee-specific regulatory documents and procedures

ISA-25 Security Requirements for Nuclear Plants|||

ISA-26 Exploring the Operating Reactor Assessment Program|||

C. On-the-Job Training Activities



Issue Date: 09/02/05 APP A - 97 1245

OJT-1 Plant Familiarization Tour with a Qualified Inspector

OJT-2 Control Room Tour with Resident Inspector

OJT-3 Licensee Plan-of-the-Day (POD) Meeting

OJT-4 Inspection Activities

OJT-5 Documenting Inspection Findings

Supervisor’s Recommendation Signature / Date____________________________

Division Director’s Approval Signature / Date____________________________

Copies to: InspectorHR Office

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