ML18073A153

Management Directive 5.13, NRC International Activities, Practices, and Procedures.

ML18073A153
Person / Time
Issue date:	06/06/2016
From:	NRC/OIP
To:
References
DT-17-136 MD 5.13
Download: ML18073A153 (33)

Text

U.S. NUCLEAR REGULATORY COMMISSION MANAGEMENT DIRECTIVE (MD)

MD 5.13 NRC INTERNATIONAL ACTIVITIES, DT-17-136 PRACTICES, AND PROCEDURES Volume 5: Governmental Relations and Public Affairs Approved By: Stephen G. Burns, Chairman Date Approved: June 6, 2016 Cert. Date: N/A, for the latest version of any NRC directive or handbook, see the online MD Catalog.

Issuing Office: Office of International Programs Contact Name: Emily Larson (301) 415-1151 EXECUTIVE

SUMMARY

Directive and Handbook 5.13, NRC International Activities, Practices, and Procedures, are revised to (a) collect and codify both longstanding and newly created procedures and policies regarding international activities and (b) serve as a guide to U.S. Nuclear Regulatory Commission (NRC) management in developing office procedures related to international travel, attendance at international conferences and meetings, assignment of staff from other countries (foreign assignees) to the NRC, and other aspects of NRC's international work. This revision also removes the international travel checklist that will now be maintained online in the iTravel system.

TABLE OF CONTENTS I. POLICY ................................................................................................................................ 2 II. OBJECTIVES ...................................................................................................................... 3 III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY........... 3 A. Chairman ........................................................................................................................ 3 B. Commission.................................................................................................................... 3 C. Executive Director for Operations (EDO) ....................................................................... 4 D. Deputy Executive Directors for Operations (DEDOs)..................................................... 5 E. Director, Office of International Programs (OIP) ............................................................ 5 F. Director, Office of Congressional Affairs (OCA) ............................................................. 7 For updates or revisions to policies contained in this MD that were issued after the MD was signed, please see the Yellow Announcement to Management Directive index (YA-to-MD index).

MD 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES G. Chief Financial Officer .................................................................................................... 7 H. Chief Human Capital Officer........................................................................................... 7 I. Office Directors and Regional Administrators ................................................................ 7 J. Director, Division of Facilities and Security (DFS),

Office of Administration .................................................................................................. 8 IV. APPLICABILITY .................................................................................................................. 9 V. DIRECTIVE HANDBOOK .................................................................................................... 9 VI. REFERENCES..................................................................................................................... 9 I. POLICY A. International activities are integral to the U.S. Nuclear Regulatory Commissions public health and safety and common defense and security mission and directly support U.S.

foreign policy objectives. According to the NRCs International Policy Statement, specific elements in which the NRC will engage include

1. Implementing obligations pursuant to international treaties and conventions and, with U.S. Government (USG) partners, supporting the development and adoption of those pertaining to the NRC;

2. Providing assistance to international regulatory counterparts for improving safety and security of civilian uses of radioactive materials;

3. Fostering technical cooperation, sharing regulatory and operational experience, and supporting collaborative research for the mutual benefit of NRC programs and those of its international counterparts;

4. Enhancing global nuclear safety, security, and safeguards by developing regulatory partnerships; and

5. Demonstrating leadership on regulatory issues, both within the international community and the USG.

B. It is the policy of the NRC to establish practices and procedures for all NRC personnel who interact with international counterpart organizations or governments.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 2

MD 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES II. OBJECTIVES Ensure that the NRCs international activities are planned, coordinated, prioritized, conducted, and managed in an integrated manner that is consistent with USG policy and international legal obligations, all pertinent laws, Commission policy and strategy, and applicable directives of other Federal agencies and organizations. (See Section I of Handbook 5.13 for more details.)

This management directive (MD) updates, consolidates, and expands previous guidance on international interactions and participation in international activities.

III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY A. Chairman

1. Represents the NRC at high-level international conferences and meetings.

2. Represents the NRC at the General Conference of the International Atomic Energy Agency (IAEA) held in Austria each fall.

3. Serves as both the NRC representative and the U.S. representative to the semiannual meeting of the International Nuclear Regulators Association.

4. Performs the duties listed under the Commission.

B. Commission Provides policy guidance regarding NRCs international interactions and participation in international activities, including issues related to

1. International nuclear safety, security, and safeguards policy formulation;

2. Import-export licensing for nuclear materials and equipment;

3. USG obligations under relevant treaties, conventions, and other international legal instruments;

4. USG nuclear non-proliferation commitments;

5. International safety and security cooperation and assistance, bilaterally or through multinational organizations;

6. IAEA safeguards in the United States and support and assistance for IAEA safeguards globally; and

7. Cooperative safety research projects undertaken in partnership with the international community to gain independent expertise and information for making timely regulatory judgments.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 3

MD 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES C. Executive Director for Operations (EDO)

1. Implements Commission guidance and provides direction on technical implementation of international activities to the program offices.

2. Approves management participation in international interactions and international travel for those offices reporting to the EDO.

3. Approves the assignment or transfer of an NRC employee to an international organization in consultation with the Office of International Programs (OIP) and appropriate program offices.

4. Notifies the Commission, in cooperation with the Director, OIP, of planned international interactions of EDO program offices involving (a) known areas of sensitivity or policy issues that are of interest to the Commission and (b) areas in which the U.S. is expected to comply with decisions reached.

5. Works with the Director, OIP, to ensure that all NRC employees comply with appropriate MDs and other policy guidance related to international interactions and ensures staff takes appropriate training before engaging in international activities.

6. Serves as co-chair with the Director, OIP, for meetings of the NRC International Council (IC).

7. Provides to the Commission, in coordination with OIP, staff presentations, slides, and speeches that will be presented while on international travel or to international groups, if international policy issues are raised.

8. Maintains an integrated database of Office of the Executive Director for Operations (OEDO) staff-planned and -conducted international travel, reflecting trips added to the original travel plan, trips canceled, and trips completed during the fiscal year.

9. Ensures that OEDO staff trip reports are completed after any international travel and recommends whether or not to forward the trip report to the Commission.

10. Ensures that followup items in an OEDO trip report are reviewed and appropriate actions are taken to address these items at an appropriate level of management.

11. Ensures that a foreign regulatory employee assigned to the NRC complies with the requirements and restrictions contained in his or her approved security plan.

12. Reviews and approves the annual budget request for international activities agencywide, including the annual performance plan for international activities, in coordination with the Chief Financial Officer (CFO).

13. Develops and implements budgets and operating plans reflective of appropriate international activities and priorities, in coordination with OIP.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 4

MD 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES D. Deputy Executive Directors for Operations (DEDOs)

Review international travel involving four or more NRC-funded travelers on the same trip for offices within their respective areas of responsibility.

E. Director, Office of International Programs (OIP)

1. Review international travel involving four or more NRC-funded travelers on the same trip for offices within their respective areas of responsibility in coordination with the appropriate DEDO.

2. Recommends policy positions to the Commission and NRC senior management, in consultation with the EDO when appropriate, on international activities and interactions with the Executive Branch, other USG agencies, and foreign government representatives.

3. Implements Commission policy and provides overall coordination of, and guidance for, the NRCs international programs, including licensing the export and import of nuclear materials and equipment from or into the United States, to ensure that international activities are conducted in a manner that is consistent with USG policy and international legal obligations, all pertinent laws, Commission policy, and applicable directives of other Federal agencies and organizations.

4. Notifies the Commission, in cooperation with the EDO, as appropriate, of planned international interactions involving (a) known areas of sensitivity or policy issues that are of interest to the Commission and (b) areas in which the U.S. is expected to comply with decisions reached as a result of those interactions in order to provide the Commission with the earliest possible opportunity for meaningful engagement within the USG and with the international community.

5. Supports the Chairman and the Commission, in cooperation with the EDO, as appropriate, in preparing for and during international trips, including policy, technical, and logistical coordination with foreign counterparts; conducting country-specific briefings; and preparing briefing books and talking points for their use on the trip.

6. Advises the Commission in a timely manner, in cooperation with the EDO, as appropriate, of items of interest gleaned from international travel reports, international interactions, and other sources, including Executive Branch agencies.

7. Consults with the EDO, program offices, and regional offices participating in international interactions, as appropriate, to facilitate effective and efficient participation in international interactions, to increase awareness of related activities for travelers to ensure coordinated and consistent messages to international counterparts on topics important to NRC technical and policy objectives, and to For the latest version of any NRC directive or handbook, see the online MD Catalog. 5

MD 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES promote effective communication of the objectives and outcomes of those interactions, including followup activities.

8. Provides the Commission with information consolidated by the EDO and program offices on planned international travel by senior management (down to the level of deputy division directors) for inclusion in the bimonthly List of Key International Meetings.

9. Co-approves on all NRC international travel requests to help coordinate agency goals, ensure the correct level of representation, prevent duplication of effort, and ensure effective and efficient use of funding.

10. Selects and provides agency oversight and direction to the NRC-funded individual in the position of Nuclear Safety Attaché to the U.S. Mission to International Organizations in Vienna, Austria. The Nuclear Safety Attaché serves as the U.S.

Missions expert on nuclear safety, radiation protection, and waste management issues being considered by the IAEA, and as the primary liaison on nuclear safety matters between the IAEA and U.S. agencies. OIP will consult with the Chairman and the EDO on the selection of the Nuclear Safety Attaché; the Chairman also will consult with the Commission.

11. Approves or disapproves the assignment of foreign regulatory employees to the NRC, in coordination with the hosting program office(s), and pending review of background and biographical data by the Office of Administration (ADM), Division of Facilities and Security (DFS).

12. Serves as co-chair with the EDO for meetings of the NRC International Council (IC).

13. Coordinates with the Office of Congressional Affairs (OCA), Protocol Team, and the Office of Public Affairs (OPA) to ensure support for meetings and visits involving high level members of the international community.

14. Works with the EDO to ensure that all NRC employees comply with appropriate MDs and other policy guidance related to international interactions and ensure staff takes appropriate training before engaging in international activities.

15. Performs other functions as detailed in MD 9.14, Organization and Functions, Office of International Programs.

16. Consolidates agency information for international budget formulation and reporting.

17. Oversees and manages the official representation funds for the agency in accordance with MD 5.4, Official Representation Expenses.

18. Serves as the lead office in formulating the agencywide international activities budget, and for reporting on the agencys international activities product line resources.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 6

MD 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES

19. Provides the overall prioritization of the mission-related and corporate support international activities workload and the associated resource requests, and determines resource allocation decisions along established business lines.

F. Director, Office of Congressional Affairs (OCA)

1. Oversees the international activities of the Protocol Office (director and staff) established within OCA to help plan, provide support, and add formality to meetings, ceremonies, conferences, and other events involving the Commission and high-level members of the international nuclear community.

2. Develops and implements policies and procedures for the effective handling of distinguished international visitors to the NRC in coordination with OIP.

G. Chief Financial Officer

1. Coordinates with OIP the review and approval of the annual budget request for international activities agencywide, including the annual performance plan for international activities.

2. Reviews and approves the financial terms of all international agreements and memoranda of understanding, including travel and other payment terms, before finalization.

H. Chief Human Capital Officer

1. Provides technical support to NRC employees on detail to or transferring to international organizations, as well as upon completion and return from the international assignment, as described in MD 10.2, Staffing Assistance for International Organizations.

2. Provides staffing and benefit information regarding policies and procedures pertinent to details and transfers to foreign organizations.

I. Office Directors and Regional Administrators

1. Ensure appropriate participation in specific international activities are consistent with the NRCs strategic objectives, goals, and operating plans, and inform the EDO and OIP of decisions reached in these areas.

2. Recommend highly qualified candidates for transfer or detail to international organizations.

3. Ensure that staff engaging in international activities are provided appropriate training and guidance regarding related NRC positions and strategy. Ensure that staff coordinate these activities with the appropriate OIP desk officer.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 7

MD 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES

4. Ensure that staff members who are engaging in international activities are provided appropriate briefings by the NRCs Counterintelligence Program in NSIR, Division of Security Operations (DSO), Intelligence Liaison and Threat Assessment Branch (ILTAB) (see MD 12.2, NRC Classified Information Security Program).

5. Provide presentations, slides, and speeches to the OEDO that will be used while on international travel or when speaking to international groups, if international policy issues are raised. The OEDO will coordinate with OIP and then transmit the presentations, slides, and speeches to the Commission, as appropriate.

6. Ensure that a trip report is completed after any international travel and makes a recommendation whether or not to forward the trip report to the Commission.

7. Ensure that followup items in a trip report are reviewed and that actions are taken to address these items at an appropriate level of management.

8. Provide updates to OIP regarding planned senior management international travel for inclusion in the OIP List of Key International Meetings bimonthly report.

9. Ensure that a foreign assignee to the NRC complies with the requirements and restrictions contained in his or her approved security plan.

10. Develop international travel plans for each fiscal year.

11. Notify the appropriate DEDO, with explanation, of NRC-funded travel involving four or more travelers on the same trip.

12. Maintain an up-to-date database of staff-planned and -conducted international travel, reflecting trips added to the original travel plan, trips canceled, and trips completed over the fiscal year.

13. Develop and implement budgets and operating plans reflective of appropriate international activities and priorities, in coordination with OEDO and OIP.

14. Serve as a representative on the IC.

J. Director, Division of Facilities and Security (DFS), Office of Administration

1. Reviews background and biographical data submitted by OIP.

2. Develops a security plan for a foreign assignee in conjunction with OIP.

3. Assesses non-compliance with the requirements and restrictions contained in a foreign assignees security plan.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 8

MD 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES IV. APPLICABILITY The policy and guidance in this directive and handbook apply to all NRC employees and contractors.

V. DIRECTIVE HANDBOOK Handbook 5.13 contains guidance and procedures for staff and management on international interactions.

VI. REFERENCES Commission Requirements Memoranda and Corresponding Staff Procedures Staff Requirements Memorandum SRM-M010312B, Discussion of Management Issues, April 24, 2001 (ML011140126).

Staff Requirements Memorandum - COMSECY-04-0043, FY 2006 PBPM Budged Decision Book Dated June 2004, August 25, 2004 (ML042380351).

Memorandum from Janice Dunn Lee, Director, Office of International Programs, to the Commission, SECY-05-0142, Update on NRC Foreign Assignee Program, August 9, 2005 (ML051920348).

Memorandum from Mary C. Muessle, Acting Assistant for Operations, Office of the Executive Director for Operations, to Office Directors and Regional Administrators, Approval of OEDO Procedure - 0290, Revision 1, International Travel, March 9, 2011 (ML110350453).

International Policy Statement (ML14132A317).

Memorandum from Melanie A. Galloway, Assistant for Operations, Office of the Executive Director for Operations, to Office Directors and Region Administrators, NRC Employee Temporary Bilateral Assignments to Foreign Regulatory Counterparts, January 20, 2015 (ML14342A950).

International Conventions Convention on Assistance in the Case of a Nuclear Accident or Radiological Emergency, available at http://www.iaea.org/publications/documents/treaties/convention-assistance-case-nuclear-accident-or-radiological-emergency.

Convention on Early Notification of a Nuclear Accident, available at http://www.iaea.org/publications/documents/treaties/convention-early-notification-nuclear-accident.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 9

MD 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES Convention on Nuclear Safety, available at http://www.iaea.org/publications/documents/infcircs/convention-nuclear-safety.

Convention on the Physical Protection of Nuclear Material, available at http://www.iaea.org/publications/documents/conventions/convention-physical-protection-nuclear-material.

Joint Convention on the Safety of Spent Fuel Management and on the Safety of Radioactive Waste Management, available at http://www.iaea.org/publications/documents/conventions/joint-convention-safety-spent-fuel-management-and-safety-radioactive-waste.

U.S. Voluntary Offer and the Additional Protocol, available at http://www.iaea.org/safeguards/protocol.html.

Nuclear Regulatory Commission Management Directive--

3.9, NRC Staff and Contractor Speeches, Presentations, Papers, and Journal Articles on Regulatory and Technical Subjects.

3.11, Conferences.

5.4, Official Representation Expenses.

9.14, Organization and Functions, Office of International Programs.

10.2, Staffing Assistance for International Organizations.

12.2, NRC Classified Information Security Program.

12.3, NRC Personnel Security Program.

14.1, Official Temporary Duty Travel.

NRC Forms Library:

http://fusion.nrc.gov/nrcformsportal/default.aspx.

NRC Public Web Site:

http://www.nrc.gov.

Office of International Programs Web Page:

http://drupal.nrc.gov/oip.

United States Code Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.).

For the latest version of any NRC directive or handbook, see the online MD Catalog. 10

MD 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES Foreign Gifts and Donations Act (5 U.S.C 7342).

Nuclear Non-Proliferation Act of 1978 (22 U.S.C. 3201).

U.S. Department of State Web Site:

http://www.state.gov/.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 11

U.S. NUCLEAR REGULATORY COMMISSION DIRECTIVE HANDBOOK (DH)

DH 5.13 NRC INTERNATIONAL ACTIVITIES, DT-17-136 PRACTICES, AND PROCEDURES Volume 5: Governmental Relations and Public Affairs Approved By: Stephen G. Burns, Chairman Date Approved: June 6, 2016 Cert. Date: N/A, for the latest version of any NRC directive or handbook, see the online MD Catalog.

Issuing Office: Office of International Programs Contact Name: Emily Larson (301) 415-1151 EXECUTIVE

SUMMARY

Directive and Handbook 5.13, NRC International Activities, Practices, and Procedures, are revised to (a) collect and codify both longstanding and newly created procedures and policies regarding international activities and (b) serve as a guide to U.S. Nuclear Regulatory Commission (NRC) management in developing office procedures related to international travel, attendance at international conferences and meetings, assignment of staff from other countries (foreign assignees) to the NRC, and other aspects of NRC's international work. This revision also removes the international travel checklist that will now be maintained online in the iTravel system.

TABLE OF CONTENTS I. BACKGROUND ................................................................................................................... 2 A. Framework for International Activities ............................................................................ 3 B. U.S. Foreign Policy......................................................................................................... 3 C. Conduct of International Activities .................................................................................. 4 II. BASIS FOR PARTICIPATION IN SPECIFIC INTERNATIONAL ACTIVITIES ................... 8 A. Selection of International Activities in Which to Participate ............................................ 8 B. Selection of an NRC Staff Member to be Involved in an International Activity ............. 10 C. Selection of an NRC Staff Member for a Foreign Bilateral Assignment ....................... 10 For updates or revisions to policies contained in this MD that were issued after the MD was signed, please see the Yellow Announcement to Management Directive index (YA-to-MD index).

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES III. NOTIFICATIONS TO THE COMMISSION OF CERTAIN PLANNED INTERNATIONAL INTERACTIONS .............................................. 11 A. Planned Senior Management Participation in a Meeting, Conference, or Workshop ................................................................................... 11 B. Notification of a Specific International Interaction ........................................................ 11 IV. GUIDANCE TO STAFF ENGAGING IN INTERNATIONAL ACTIVITIES ......................... 12 A. Overview ...................................................................................................................... 12 B. Coordinating Requests for Information......................................................................... 12 C. Approval of Speeches and Presentations .................................................................... 12 D. Invitations to Participate in International Activities ....................................................... 13 E. Conduct of Employees Involved in International Activities ........................................... 13 V. TRAVEL GUIDANCE: PRE-INTERNATIONAL TRAVEL ACTIVITIES ........................... 14 A. International Travel Preparations and Processing ....................................................... 14 B. Travel Reimbursed by Other Agencies or Organizations ............................................. 17 VI. TRAVEL GUIDANCE: POST-INTERNATIONAL TRAVEL ACTIVITIES ......................... 17 A. Trip Reports ................................................................................................................. 17 B. OIP Procedures To Identify Followup Items ................................................................. 19 VII. INTERNATIONAL VISITORS ............................................................................................ 19 A. Hosting an International Visitor .................................................................................... 19 B. Foreign Assignees........................................................................................................ 20 I. BACKGROUND On April 24, 2001, in SRM-M010312B, Discussion of Management Issues, the Commission requested that the staff ensure that proper international activities procedures are in place and that they are consistently followed. On August 25, 2004, through COMSECY-04-0043, FY 2006 PBPM Budgeted Decision Book, dated June 2004, the Commission further directed the Executive Director for Operations (EDO) to develop an agencywide process for monitoring and approving international travel to ensure that U.S. Nuclear Regulatory Commission representation at international meetings is coordinated and conducted as efficiently and effectively as possible. This management directive (MD) provides guidance and meets the requirements and intent of the 2001 and 2004 Commission guidance.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 2

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES A. Framework for International Activities

1. NRCs international activities are wide-ranging and include (a) International nuclear policy formulation, (b) Export-import licensing for nuclear materials and equipment, (c) Treaty implementation, (d) Nuclear nonproliferation, (e) International safety and security cooperation and assistance, (f) Safeguards support and assistance, (g) International regulatory safety and security information exchange, and (h) Cooperative safety research.

2. These activities support NRCs domestic mission with respect to the safety and security of nuclear reactors, nuclear materials, and nuclear waste.

3. The legal bases for the NRCs international activities are contained in two principal pieces of legislation, the Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.), and the 1978 Nuclear Non-Proliferation Act (22 U.S.C. 3201). The NRC, as part of its mission, seeks to support U.S. legal and policy interests in the global safe and secure use of nuclear facilities and material and in nuclear nonproliferation. A principal basis for the NRCs participation in these international activities is to support U.S. policies and to facilitate the accomplishment of the NRCs domestic regulatory responsibilities.

B. U.S. Foreign Policy

1. The NRC is an independent regulatory agency, and its international activities are conducted in a manner that is consistent with its regulatory responsibilities and equities, recognizing that the President has the lead in matters involving U.S. foreign policy. Federal agencies that promote U.S. interests abroad typically inform the NRC of international activities in its areas of interest and expertise and invite NRC participation, where appropriate. In turn, the NRC consults with or, as appropriate, submits for Executive Branch comment and clearance or approval, its proposed international agreements, export license applications, and proposed Commission-level international travel.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 3

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES

2. Interagency consultation is an essential component of the Commissions decisionmaking process in setting priorities for the NRCs international activities and ensuring overall conformance with U.S. foreign policy interests. When appropriate, the Commission consults with or directs the Office of International Programs (OIP) to consult on its behalf with other agencies, formally and informally, to develop common positions on significant international nuclear issues and to coordinate major undertakings. Several USG interagency coordinating groups review nuclear-related international policies, issues, and activities. These include but are not limited to (a) The National Security Council-led Interagency Policy Committee and its subcommittees; (b) The U.S. Subgroup on Nuclear Export Coordination; (c) The U.S. Steering Committee for the International Atomic Energy Agency (IAEA) and its subcommittees; and (d) The U.S. Interagency Coordination Group and its subcommittees for the Nuclear Energy Agency (NEA) Steering Committee.

C. Conduct of International Activities

1. International activities should be conducted in accordance with the NRCs International Policy Statement and Five Year International Strategy (5YIS). The goal of the 5YIS is to maintain a high standard of global and domestic nuclear safety and security by (a) Maintaining excellence in execution of statutory and legally mandated activities; (b) Leveraging technical exchanges through cooperation and assistance; (c) Building strategic global partnerships in specific regions of the world; (d) Demonstrating leadership in the international community; and (e) Increasing integration of international and domestic activities.

2. International activities require informed judgment of the relative costs and merits, including efficiency and effectiveness considerations, of competing resource uses in the pursuit of USG goals. The NRCs strategic goals and objectives, the Commissions International Policy Statement, and the 5YIS should be considered when making decisions about international activities. Decisionmakers should seek the early involvement of the Commission, the EDO, program offices, and OIP in the international activity deliberative process, whenever appropriate. Early involvement allows the Commission the opportunity to provide policy guidance and influence the outcome of international activities, including international standards and guidance For the latest version of any NRC directive or handbook, see the online MD Catalog. 4

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES development. Involvement of the Commission, EDO, program offices, and OIP includes not only those activities that are directly related to standards and policies that the NRC will have to adopt and implement by law but also activities in other significant and high-visibility international policy areas.

3. The following are the goals of NRCs international program:

(a) Statutory and Legally Mandated Activities (i) Implement import/export licensing, international safeguards, and international reporting and consultative activities either mandated by U.S. law, international treaties, or international conventions, or required pursuant to Commission-approved agreements or policy directives.

(ii) Conduct thorough and timely reviews of proposed nuclear exports and imports, as required by statute or regulation and perform activities to satisfy the requirements of U.S. Agreements for Cooperation in the Peaceful Uses of Nuclear Energy (U.S. Agreements pursuant to Section 123 of the Atomic Energy Act).

(iii) Consult with and provide timely reviews to Executive Branch agencies on proposed U.S. Section 123 Agreements, retransfers of U.S. obligated nuclear materials and equipment, and nuclear technology transfers.

(iv) Facilitate implementation of IAEA safeguards at NRC licensee facilities and submit international safeguards data to the IAEA under the U.S. Voluntary Offer and the Additional Protocol.

(v) Submit required reports under the terms of the Convention on Nuclear Safety, including the U.S. National Report to the Nuclear Safety Convention Review Meeting of Parties, and participate actively in the review meeting. Similar reporting requirements apply to the Joint Convention on the Safety of Spent Fuel Management and on the Safety of Radioactive Waste Management.

(vi) Implement actions necessary to meet USG commitments under other relevant international treaties and conventions (e.g., Nuclear Non-Proliferation Treaty, Convention on Early Notification of a Nuclear Accident, Convention on Assistance in the Case of a Nuclear Accident or Radiological Emergency, the Convention on the Physical Protection of Nuclear Material, and the Code of Conduct on the Safety and Security of Radioactive Sources).

(vii) Participate in U.S. interagency, bilateral, physical protection visits to countries that possess U.S. original nuclear material.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 5

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES (b) Cooperation Activities (i) Obtain and use international safety, security, and safeguards information that will inform domestic decisionmaking, alert the NRC to potential safety and security problems and threats, help identify potential accident precursors, and provide accident and incident analyses, including lessons learned, directly applicable to the safety of U.S. nuclear power plants and other facilities and the safe and secure use of nuclear materials.

(ii) Negotiate and renew OIP-administered arrangements with bilateral partners, as required.

(iii) Maintain appropriate levels of NRC research cooperation with countries to examine key technical issues in regulating the safety and security of existing and proposed U.S. commercial nuclear facilities and the safe and secure use of nuclear materials. Cooperation can occur directly between the NRC and another country or through the IAEA, the NEA, the European Union (EU) or other multinational organizations. OIP ensures that these research cooperation arrangements are properly vetted with the DOS Legal and Treaty offices.

(iv) Assess the safety and security significance of international nuclear accidents or incidents for civilian power reactors and uses of radioactive materials, including all those rated 2 or higher on the International Nuclear Events Scale, to understand the implications for the NRC and its licensees.

(v) Exchange information with countries having experience of special relevance to the NRCs programs concerning the safety, safeguards, and security of nuclear materials, waste, and reactors.

(vi) Participate in selected activities of the IAEA, the NEA, the International Commission on Radiological Protection, and relevant regional bodies that support the strategic plan safety and security goals, including the support of safety and security of nuclear facilities and materials worldwide. In general, the NRC will participate in NEA activities related to the resolution of safety issues, regulatory matters, and research. The NRC will participate in IAEA activities related to the development of standards, guidance, and good practice, as well as in international peer review missions, and cost-free expert staffing, as appropriate, of IAEA programs and initiatives, and international assistance programs.

(vii) Coordinate regulatory programs with neighboring countries Mexico and Canada to promote enhanced coordination with U.S. border nations.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 6

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES (c) Assistance Activities (i) Support Executive Branch and other international efforts to globally enhance nuclear safety, security, and safeguards, and support USG decisionmaking and outreach activities. Activities include, but are not limited to, developing and improving associated international regulatory capabilities, regulatory independence, and nuclear safety, security, and domestic safeguards cultures.

(ii) Coordinate and expedite the controlled release of non-publicly available safety, domestic safeguards, security, and physical protection information to designated countries and international organizations when the Commission determines it to be in the interest of domestic or international safety, domestic safeguards, and security.

(iii) Meet with representatives of counterpart regulatory or other counterpart safety or security agencies, to discuss substantive safety, security, and domestic safeguards concerns and regulatory issues.

(iv) Carry out selected training and assistance activities for international regulatory, safety, safeguards, and security agencies, either bilaterally or through international organizations.

(d) Leadership Partnerships (i) Influence international safeguards, security, and nuclear safety regulatory standards, policies, and practices to promote alignment with NRC and USG objectives. Take proactive steps, in collaboration with other USG agencies, to identify and frame U.S. interests and, in cooperation with international regulatory, safety, security, and safeguards agencies, to ensure that international outcomes are consistent with U.S. goals.

(ii) Represent the U.S. in positions of influence at IAEA, NEA, and other international organizations, including the IAEA standing advisory groups and the NEA steering committee and standing technical committees.

(iii) Participate in IAEA and bilateral meetings and consultations on international safeguards and security activities, including work on the entry in to force of the amended Convention on the Physical Protection of Nuclear Material; work on implementation of the U.S. Voluntary Offer and the Additional Protocol to the U.S.-IAEA Safeguards Agreement; and work on strengthening IAEA safeguards, security, export controls, and nonproliferation initiatives.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 7

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES II. BASIS FOR PARTICIPATION IN SPECIFIC INTERNATIONAL ACTIVITIES A. Selection of International Activities in Which to Participate

1. An office management decision to participate in a specific international activity should be consistent with NRC policy, strategic objectives, and goals. In consultation with OIP for policy assessments, the responsible office should prioritize its international activities on the basis of whether proposed international interactions are important to fulfill the Commissions international policies and broader USG goals, are consistent with 5YIS objectives, and are of sufficient benefit to the United States to warrant participation and/or prioritization of assistance. In making these determinations, the responsible office should assess whether proposed international interactions will (a) Help facilitate the desired outcomes of an area of focus in the 5YIS; (b) Provide the NRC information relevant to ongoing or planned work; (c) Improve the quality or timeliness of NRC work; (d) Facilitate the dissemination of information important to safety, security, safeguards, or nonproliferation; (e) Allow the NRC to provide technical advice or assistance, as approved and as appropriate, including support of U.S. foreign policy objectives; or (f) Be needed to comply with a legal requirement.

2. The responsible office will also seek input from the Office of the Executive Director for Operations (OEDO) and OIP, as warranted, and will inform OEDO and OIP of its deliberations and ultimate decision.

3. The same process should be applied in considering each international activity, including technical missions, even when NRC participation is requested on short notice or expenses are being paid by an entity other than the NRC. The scope of activities to be covered by the process may include participation in an international meeting, a meeting with foreign officials not involving international travel, or a request from a foreign organization or government to review a document or a program. In consultation with OIP, each office should consider its international interactions and identify the appropriate scope of activities to be covered by its process.

4. When the roles and responsibilities of more than one office are relevant to a particular international activity, these offices are expected to coordinate NRCs participation in that activity with OIP and OEDO.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 8

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES

5. The NRC International Council (IC) provides an ongoing forum for the exchange of information and provides direction to the NRCs program of international activities.

(a) The IC is comprised of a representative from each of the following:

(i) OIP, (ii) OEDO, (iii) A regional administrator (rotates among the regions annually),

(iv) Office of New Reactors (NRO),

(v) Office of Nuclear Material Safety and Safeguards (NMSS),

(vi) Office of Nuclear Reactor Regulation (NRR),

(vii) Office of Nuclear Regulatory Research (RES),

(viii) Office of Nuclear Security and Incident Response (NSIR),

(ix) Office of the Chief Human Capitol Officer (OCHCO),

(x) Office of Administration (ADM),

(xi) Office of the Chief Financial Officer (OCFO), and (xii) Office of the General Council (OGC).

(b) The IC, either directly or through the work of the International Council Working Group (i) Is co-chaired by OIP and OEDO.

(ii) Develops and maintains a common understanding and awareness of NRC and USG international activities, priorities, and associated strategies.

(iii) Takes reasonable measures to inform and coordinate international activities in and between the respective offices.

(iv) Identifies, discusses, and resolves policy and program implementation issues.

(v) Reviews and confirms the staffs assessment of success relative to established strategies, objectives, and performance measures.

(vi) Reviews the 5YIS annually and recommends appropriate changes, including planning and budgeting, for the following years.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 9

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES B. Selection of an NRC Staff Member to be Involved in an International Activity

1. An office director, or designated supervisor, should select a staff member who will participate in an international activity on the basis of the individuals knowledge of the topics and issues, the ability to work well in an international forum, current priority work assignments, and personal availability for travel. An assignment may include an opportunity designed to facilitate knowledge management to maintain the necessary expertise in international areas within the NRC. A specific request for participation on an international mission does not convey an automatic approval of the requested individual. At no time should an NRC staff member unilaterally commit either the agency or himself or herself to participate in an international activity.

2. Each program office is responsible for coordinating with OIP responses to invitations to participate in international activities and requests for document review. For an invitation to participate in a meeting activity at the IAEA, the program office must provide the response to the IAEA desk officer (DO) in OIP, who then submits the participants name for approval through the interagency clearance process. For an invitation to participate in an activity at the NEA or a bilateral activity with an organization in a foreign country, the program office must coordinate the response with the NEA DO or the DO responsible for that country. For an invitation from another USG agency to participate in an international activity or meeting, the program office must coordinate the response and the ensuing work with the responsible DO in OIP. The program office should inform all potentially affected offices, including OEDO, of a plan to participate in an international meeting through the issuance of an electronic pre-meeting notification through iTravel.

C. Selection of an NRC Staff Member for a Foreign Bilateral Assignment

1. The decision to send an NRC staff member on a bilateral assignment to a foreign regulatory counterpart will be made by OEDO, OIP, and the NRC assignees sponsoring offices OD based on priorities set in the 5YIS and emerging issues after consultation with OCHCO and OCFO.

2. OIP will coordinate with OEDO, OCHCO, and NRC program offices to ensure that the bilateral assignment is arranged in a thorough and effective manner.

3. OIP will coordinate with the foreign regulatory counterpart proposing to host the NRC staff member for a bilateral assignment and develop a Memorandum of Understanding establishing the start and end dates and the nature and conditions of the bilateral assignment. If the hosting agency requires security clearance verification, OIP will work with ADM, Division of Facilities and Security (DFS),

Personnel Security Branch (PSB), to provide information to the host agency.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 10

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES

4. The NRC staff members work duties and temporary duty requirements (including costs of travel, lodging, and per diem) during the bilateral assignment will be developed in coordination with OIP, OCHCO, OCFO, the NRC staff members sponsoring office, and the NRC assignee. Administrative, logistical, managerial, and budgetary considerations should be consistent with OEDO memorandum, NRC Employee Temporary Bilateral Assignments to Foreign Regulatory Counterparts, dated January 20, 2015, and Management Directive 10.2, Staffing Assistance for International Organizations.

5. The NRC staff member will contact OCHCO for assistance in obtaining any required foreign language training.

6. OIP and the NRC-sponsoring office will maintain periodic contact with the NRC staff member and assist with issues or concerns when needed. OIP will also assist the NRC staff member with securing housing overseas and ensuring that official passport and visa requirements are met.

III. NOTIFICATIONS TO THE COMMISSION OF CERTAIN PLANNED INTERNATIONAL INTERACTIONS A. Planned Senior Management Participation in a Meeting, Conference, or Workshop OIP, in coordination with OEDO and affected staff offices, provides bimonthly notification to the Commission of meetings in which the Commission and senior management plan to participate. This information includes planned travel by the Commissioners, regional administrators, deputy regional administrators, the EDO, office directors, deputy office directors, division directors, and deputy division directors.

B. Notification of a Specific International Interaction When an international interaction involves a known area of sensitivity or a policy issue that is of interest to the Commission, or if the U.S. is expected to comply with a decision reached as a result of an international interaction, the Commission should be notified in advance by appropriate means (memorandum to the Commission, notes from the Assistant for Operations, memorandum from the Director, OIP Note, briefing to Commissioner Assistants, etc.) of the planned interaction to provide the Commission an opportunity to provide guidance and direction. The Commission should be informed following the international interaction when further opportunities to influence the results are available.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 11

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES IV. GUIDANCE TO STAFF ENGAGING IN INTERNATIONAL ACTIVITIES A. Overview Office management, in consultation with OIP, as appropriate, will provide guidance to the staff participating in international activities to ensure a clear understanding of and alignment on (a) issues of greatest interest to the NRC, (b) agency positions regarding the topic and related issues, and (c) any policy implications or other sensitive matters. In general, office management should ensure that appropriate planning and preparation take place to ensure quality interactions. The participants should consult with OIP for additional advice and information, receive appropriate international agency or country background briefings, and complete relevant international training before engaging in NRC-supported international activities. Offices will establish procedures to ensure that followup items identified in trip reports are reviewed and considered for action at an appropriate level of management.

B. Coordinating Requests for Information

1. Casual business contacts often develop between NRC staff and personnel from other countries and international organizations. As a result, a request for information or assistance could come directly to an individual. For official requests for nonsensitive information that can be easily accommodated by the individual, with a minimal expenditure of resources, the NRC staff member should coordinate the response with his or her supervisor, the office international liaison, and the OIP DO, and, to the extent practicable, be responsive to the request.

2. If the contact involves a request for participation in a meeting or event, a request for sensitive information, support from additional NRC office staff (other than the individual), or requires more significant effort to address the request, it should be referred to OIP through the office international liaison for more formal consideration and processing. Periodically, NRC staff may be contacted by a U.S. contractor requesting information related to work being performed by the contractor for a foreign regulator or other international entity. These requests should also be forwarded to OIP for more formal consideration and processing. In all cases in which an outside organization with international ties requests information from office staff or management, the cognizant OIP DO should be notified.

C. Approval of Speeches and Presentations MD 3.9, NRC Staff and Contractor Speeches, Presentations, Papers, and Journal Articles on Regulatory and Technical Subjects, and MD 3.11, Conferences, include requirements applicable to presentations made while on international travel or to international groups.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 12

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES D. Invitations to Participate in International Activities

1. Staff should contact the appropriate OIP DO through their program office International Liaison immediately upon receipt of any invitation to participate in an international activity, whether or not expenses are to be paid. There are often larger issues to be considered as well as established procedures to be followed.

2. Invitations, whether from an international organization, a regulatory agency, or another international source, should not normally identify or be addressed to specific individuals. They should simply explain the need and the particular skill set(s) thought to be necessary to meet that need. The acceptance and nomination of appropriate personnel are NRC managements prerogative and should be coordinated with OIP.

E. Conduct of Employees Involved in International Activities

1. While abroad, all NRC employees must remember that they represent both the USG and the NRC. All activities and statements by travelers will affect how the host nation looks upon the U.S. and the NRC. Accordingly, the highest professional standards are expected, and travelers are to ensure that any commitments made are well understood, are within agency policy, and are within the individuals authority. Unless in the context of an approved international review mission, NRC employees shall not publicly assess or comment to an outside or third party without approval from senior NRC management and the Commission on the safety or security of foreign nuclear facilities or control of radioactive materials. NRC interactions with international counterparts generally relate to discussions of how the NRC would review an issue or a description of NRC regulatory programs and issues in the United States.

2. There is a general ban on acceptance of gifts from foreign governments by officers and employees of the United States. However, the Foreign Gifts and Donations Act (5 U.S.C. 7342) provides for the acceptance of certain gifts from foreign governments and international organizations if they do not exceed a minimal value adjusted every 3 years by the General Services Administration based on the Consumer Price Index. All Government agencies are required to submit an annual report to the U.S. Secretary of State concerning gifts exceeding the current threshold, including certain travel received from foreign governments and international organizations. An NRC employee should consult with an NRC Deputy Ethics Counselor in OGC when he or she receives a gift from an international source; even a gift under the minimal value limit can cause an ethics problem, e.g.,

conflict of interest or appearance of impropriety.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 13

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES V. TRAVEL GUIDANCE: PRE-INTERNATIONAL TRAVEL ACTIVITIES A. International Travel Preparations and Processing

1. The guidance in MD 14.1, Official Temporary Duty Travel, shall be followed when requesting international travel. The prospective traveler is required to complete an eTravel authorization request or NRC Form 279, Official Travel Authorization, along with the most recent NRC Form 445, Request for Approval of Official Foreign Travel (both forms are available in the NRC Forms library on SharePoint, at http://fusion.nrc.gov/nrcformsportal/default.aspx).

2. The traveler must coordinate with his or her office international liaison to determine the appropriate travel accounting or travel code. The international liaison will consult with the OIP DO and staff, as appropriate.

3. For travel associated with the OIP international assistance program, the traveler must coordinate with OIP to determine the appropriate travel code. Once forms are approved, the traveler should work through the NRC travel system to arrange flights, make hotel arrangements, and ensure travel meets the requirements listed in MD 14.1 and other guidance related to international assistance.

4. After obtaining all signatures required by his or her office, the traveler should ensure that all NRC Forms 279 and 445 have been forwarded to OIP and have been signed by the Director, OIP, or designee. These must be submitted to OIP 30 days in advance of the trip. In the case of official international travel by the Director, OIP, the forms should be concurred on by the Office of the Chairman.

5. NRC staff traveling internationally must send a pre-trip notification through iTravel to OIP and appropriate program office staff and management at least 30 calendar days before the travel begins. If the decision to travel is made less than 30 days in advance of the trip, the pre-trip notification must be made within 3 business days following the management decision. For international travel in which more than one NRC staff member participates, a single pre-trip notification should be made. The trip point-of-contact is responsible for ensuring a timely pre-trip notification is made. If the OIP DO accompanies the NRC staff members on the trip, the OIP DO becomes the trip point-of-contact.

6. The pre-trip notification should include:

(i) Travel dates; (ii) Location(s) of the planned travel; (iii) International organization/committee involved; For the latest version of any NRC directive or handbook, see the online MD Catalog. 14

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES (iv) Purpose; (v) Desired outcome; (vi) Travelers role(s);

(vii) Identification of whether any policy issues are expected to be raised and, if so, how the Commission will be informed; and (viii) Contact information.

7. Each traveler must provide information to support the country clearance process. The country clearance form can be found on the OIP SharePoint or iTravel site. This form should be submitted to OIP to obtain clearance for travel by the appropriate U.S.

Embassy. DOS is strictly enforcing its policy requiring a U.S. Embassy or post to clear all USG personnel and contractors traveling to a foreign country in advance of official business. This requirement ensures that an official traveler can be contacted by the local U.S. Embassy or post if there is a credible, specific threat to his or her safety.

8. The traveler should provide any NRC presentations to be made while on international travel to office management, as described in MD 3.9.

9. In accordance with OEDO Procedure - 0290, International Travel, office management should notify OEDO, through an EDO Daily Note, when four or more NRC-funded travelers are participating in the same trip. Travelers should coordinate within their office, with other program offices, and with OIP, to ensure internal alignment on the purpose and desired outcome of the trip and the awareness of NRC positions on issues that may arise during the trip.

10. Before a trip, the traveler should prepare appropriate communications for information and consultation with the Commission, as necessary. Program offices should work through OEDO and OIP to communicate with the Commission.

11. Before a trip, the traveler should contact the OIP DO, and the office or regional International Liaison for background briefing information.

12. The traveler should check with an NRC Deputy Ethics Counselor in OGC before accepting any honoraria or non-NRC, travel-related reimbursement associated with official NRC travel and/or NRC work responsibilities.

13. The traveler must understand passport, visa, and any other country entry requirements. Specific country entry information can be found on the DOS Web page (available at www.state.gov), through resources on the OIP Web page (available at http://www.internal.nrc.gov/OIP/index.html), and through discussions with OIP. The requirements for country entry may vary, depending on whether the traveler is a tourist or on official USG business. World events have had an impact on the amount For the latest version of any NRC directive or handbook, see the online MD Catalog. 15

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES of time required to obtain visas for travel to certain countries. The appropriate OIP DO should also be notified.

14. Federal employees traveling internationally in the discharge of official duties should use an official passport. A personal passport should only be used when traveling to Taiwan or in specific, rare cases determined after consultation with OIP. Travelers must submit a written request for a new or reissued passport to OIP to passport.resource@nrc.gov, as far in advance of the trip as possible. The request should include the dates and purpose of the trip, city and country of destination(s),

and the travelers name, title, grade, date of birth, NRC Mail Stop or address, and NRC telephone number.

15. The traveler must arrange for a briefing by the NRCs Counterintelligence Program in NSIR. Travel warnings and worldwide cautions should be acknowledged to ensure travel safety and awareness of overseas surroundings. Because of the increased threat of attacks on U.S. installations and personnel, NRC employees should be aware of possible threats in the travel areas. This information can be found on the DOS Web site.

16. The traveler should arrange for appropriate information technology devices and services through the OIS Customer Service Center.

17. The traveler must arrange for required immunizations at least 6 weeks in advance of the scheduled departure date. For situations in which the decision to travel is made less than 6 weeks in advance of the trip, the traveler should contact the NRC Health Center or a personal physician as soon as possible following the management decision. The NRC Health Center or a personal physician can provide information on the vaccinations required in specific areas of the world. NRC employees may be reimbursed for required vaccinations that are not available through the NRC Health Center.

18. The traveler should be aware that if he or she take annual leave or a leave of absence for more than one-half of the prescribed daily working hours, other than for emergency travel, no per diem will be allowed for that day. MD 14.1 should be consulted for more detailed information.

19. To facilitate notification in case of a National Threat Level alert, the traveler must ensure that his or her supervisor and the OIP DO has a copy of the itinerary and phone numbers where he or she can be reached during international travel (individual NRC offices will likely be tasked with notifying their own travelers). This itinerary and phone number requirement will include any contractors who may be on NRC-approved international travel. When contacted, if the employee or contractor wishes to return home before his or her international travel assignment is completed, he or she may do so. If the employee or contractor needs assistance while overseas, he or she should contact the nearest U.S. Embassy.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 16

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES B. Travel Reimbursed by Other Agencies or Organizations

1. The procedures for travel preparation and processing, as described in Section V of this handbook, also apply to travel reimbursed by other agencies or organizations.

2. Except as indicated below, a traveler must check with the Travel Operations Branch in the OCFO and an NRC Deputy Ethics Counselor in OGC before accepting any honoraria, compensation, or non-NRC travel travel-related reimbursement associated with official NRC travel or NRC work responsibilities.

3. Congress has enacted legislation authorizing the NRC to accept payments for services rendered to foreign governments and international organizations when the NRCs appropriation legislation provides for it. Under this authority, for example, the NRC accepts payments from the IAEA for official travel when the IAEA invites an employee to participate in an IAEA mission and offers to pay any part of the associated travel expenses. Authority to travel requires an approved and authorized NRC Form 279 with a copy of the invitation letter from the IAEA attached and an approved NRC Form 445.

4. More detailed information about obtaining reimbursement for travel costs associated with IAEA support activities can be obtained from the OIP IAEA DO. The specific country DO should be consulted about non-IAEA reimbursable assistance requests.

VI. TRAVEL GUIDANCE: POST-INTERNATIONAL TRAVEL ACTIVITIES A. Trip Reports

1. A full trip report must be submitted through iTravel within 15 business days of completing a trip. When the 15th day falls on a weekend or holiday, the due date is the first business day following the weekend or holiday. The completion of the trip is the date the traveler returns to the home office or region as specified in NRC Form 445. The trip report must be placed into the Agencywide Documents Access and Management System (ADAMS) to create an official record of reporting for the trip.

Most international travel reports are considered Sensitive Unclassified Non-Safeguards Information (SUNSI), because of the sensitive nature of information concerning positions of foreign countries and international agencies, and should be handled appropriately. International travel reports should, therefore, be entered into ADAMS with the appropriate SUNSI markings.

2. Unless superseded by OIP guidance, travelers must include the following items in a trip report:

(a) Travel dates; For the latest version of any NRC directive or handbook, see the online MD Catalog. 17

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES (b) Destination(s);

(c) International organization/committee involved; (d) Desired outcome; (e) Results achieved; (f) Summary of trip, including appropriate attachments; (g) Next steps; (h) Identification of whether any policy issues or other items of Commission interest were raised and, if so, how the Commission will be informed; (i) Contact information; (j) Issues that need management attention; and (k) Any followup items (including any best practices) that should be considered by the NRC;

3. For international travel missions in which more than one NRC staff member participates, a single consolidated trip report should be completed and distributed.

The trip point-of-contact is responsible for preparing and ensuring the timely completion of the trip report and ensuring that all viewpoints are considered.

4. OIP, in consultation with the traveler and the OEDO, will transmit a trip report of interest to the Commission and will notify the travelers office and OEDO accordingly.

The criteria and factors considered in judging the Commissions likely interest in a trip report include the following:

(a) Whether the interaction involved matters of known areas of sensitivity or policy issues that are of interest to the Commission, or if the United States is expected to comply with the decisions reached; (b) Whether substantive interaction is expected to occur on matters identified in the IAEA and NEA descriptions provided to the Commission in the most recent annual Commission paper on NRC staff participation in IAEA and NEA activities; (c) Whether the traveler identifies an emerging issue on the bilateral or multilateral front; or (d) Whether the traveler includes in the report significant information of general interest (e.g., about personnel, organizations, current or projected nuclear programs) thought to be previously unreported.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 18

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES B. OIP Procedures To Identify Followup Items

1. Offices are to establish procedures to ensure that followup items identified in trip reports are reviewed and considered for action at an appropriate level of management.

2. Offices will ensure that OIP receives copies of all international travel trip reports.

Upon receipt, they will be distributed to the appropriate DO for review. With the DO, OIP management will determine whether a trip report should be forwarded to the Commission. The program office, traveler, and OEDO recommendations concerning potential Commission interest will be taken into consideration at that time. In addition, the OIP DO will identify any followup issues or items that need to be pursued with the traveler and the counterpart foreign regulatory body, as appropriate.

VII. INTERNATIONAL VISITORS A. Hosting an International Visitor

1. Staff must coordinate arrangements for an international visitor with the appropriate OIP DO. For a high-level international visitor, particularly one who is scheduled to meet with members of the Commission, the EDO, and the Director of OIP, the OIP DO is responsible for notifying the Commission of the visit, including the following information:

(a) An agenda of meetings for the visitor while at the NRC as well as a summary of further official calls scheduled in the U.S. (if known);

(b) The reason for the visit; (c) Background information pertinent to the visit; (d) Biographical information about the visitor; and (e) Proposed talking/discussion points.

2. All planning and arrangements for a Commission-level visit with a foreign dignitary must also be coordinated with the Protocol Director, Office of Congressional Affairs (OCA).

3. Staff coordinating an international visit should advise the visitor that photo-identification (i.e., a passport) is required to access NRC headquarters and regional offices.

4. The agencys point-of-contact for a foreign visit should provide a copy of each individuals passport to ForeignVisitor.Resource@nrc.gov as soon as possible in advance of their arrival and ideally no less than 12 business days before the visit.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 19

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES Additionally, each individual must be entered into the Visitor Access Request System (VARS) and the appropriate country selected. The POC for the meeting must be listed in VARS, along with the location and purpose of the meeting.

5. When an NRC staff member becomes aware of an international visitor to NRC, the NRC staff member should notify the OIP DO and the designated office International Liaison and provide the name(s) of the individual(s) and the purpose of the visit to NRC headquarters for entry into OIPs internal visitor tracking system and weekly notification of international activities.

6. When a staff-level visit is proposed, OIP (relevant DO) will work with the International Liaison of the appropriate office to determine agendas, discussion topics, and schedules to meet the needs of the visitor to the extent possible.

B. Foreign Assignees On a case-by-case basis, NRC accepts assignees from, or sponsored by, foreign regulatory authorities consistent with the U.S. policy and formal agreements, developed by OIP, between the NRC and the sponsoring country or the IAEA. OIP must coordinate all requests for foreign assignees with the program office International Liaison. The process to be followed before agreeing to accept a particular assignee is described below. SECY-05-0142, Update on NRC Foreign Assignee Program, contains additional information on both the program and the process.

1. Purpose of an Assignment (a) Consistent with U.S. policy, the primary purpose of each assignment is to transfer to the assignee the NRC office expertise in the chosen regulatory area.

The assignee is expected to acquire an understanding of the NRC regulatory processes and the technical bases for the regulatory requirements in the area covered by the plan of work. This information exchange contributes to international nuclear safety.

(b) The secondary purpose of each assignment involves the transfer or exchange of expertise that benefits the host NRC organization. Often, a foreign assignee who comes to the United States can offer fresh insight and advice on U.S.

regulations and procedures. In addition, during the course of his or her work, a foreign assignee may provide the NRC staff with further understanding and knowledge of his or her nations nuclear regulatory systems. This knowledge sometimes benefits the host NRC office and contributes to its goal of improving efficiency and effectiveness.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 20

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES

2. Request for Assignment Upon receipt of a request for assignment of a foreign assignee from OIP, the program office will review the request to examine the technical area requested by the sponsoring foreign regulatory body. The program office will also evaluate the experience, technical background, and level of English competency of the proposed assignee. The proposed assignee should also be evaluated in relation to future office technical proposals, plans, and goals so that he or she may positively contribute to NRC activities.

3. Processing an Assignee OIP will obtain the required background and biographical data and submit the data to ADM, DFS. Information that creates a question as to whether assignment of the foreign national is consistent with national interest will be evaluated by ADM, DFS, and forwarded with a recommendation to OIP. OIP approves or disapproves the assignment of a foreign national to the NRC and designates the office to which the foreign national will be assigned, subject to the concurrence of the cognizant office director or regional administrator.

4. Development of the Work Plan Before the assignee arrives, the responsible NRC host office(s) must develop a final work plan for the assignee and submit it to the responsible manager. The work plan may be modified if it is acceptable to the host office, the assignee, and the assignees sponsor. All foreign assignees are considered the equivalent of full-time NRC employees and an appropriate workload must be created and specified in the work plan.

5. Security Plan OIP, in conjunction with ADM, DFS, and the host office(s), will develop a security plan that includes a description of the assignees work, identifies supervisors, and specifies security-related procedures, requirements, and restrictions as described in MD 12.3, NRC Personnel Security Program. The plan requires the approval and signature of the assignees host office supervisor(s), the host office international liaison, and the Directors of OIP and ADM, DFS, before the assignees arrival. Each foreign assignee will be required to read, agree to, and sign his or her security plan before beginning the assignment.

6. Invitation Letter Upon approval of a foreign assignee request, OIP will prepare a letter of invitation upon which OIP; the host office(s); ADM, DFS; and OGC must concur. The letter will be sent from the EDO to his or her counterpart at the foreign regulatory agency where the assignee is employed. The invitation letter includes administrative aspects For the latest version of any NRC directive or handbook, see the online MD Catalog. 21

DH 5.13 NRC INTERNATIONAL ACTIVITIES, PRACTICES, Date Approved: 06/06/2016 AND PROCEDURES of the assignment, a brief description of the work the assignee will be performing (as developed by the cognizant office), and certain legal agreements (annexes to the letter) that the potential assignee must sign and return to OIP. The foreign country, by its required countersignature(s), accepts the understandings outlined in the letter of invitation. The letter must be returned to OIP before the assignees expected arrival at NRC.

7. Costs of Assignment The assignment is authorized by the signature of the EDO and his or her foreign counterpart. The NRC letter of invitation must specify that all costs associated with the assignment are to be covered by the assignees government, except as noted below for travel costs.

8. Assignees Travel Costs In most cases, an assignees travel will be deemed beneficial to his or her training and will be paid for by the assignees sponsoring regulatory agency. However, when deemed appropriate and when the assignees travel is judged to provide direct benefit and service to the NRC, a program office may pay the assignees travel expenditures. The host division director has the authority to approve office payment of an assignees travel costs.

9. Supervision (a) Each foreign assignee is placed under the supervision of a branch chief or designee who periodically reports on the assignees progress to the responsible division director. This supervisor must monitor the assignees day-to-day activities and ensure that the assignee has an appropriate workload that is consistent with the assignees work plan.

(b) The supervisor is responsible for ensuring that the assignee complies with the provisions of his or her security plan, including information security, and for alerting co-workers about the assignees presence and the assignees restricted access, both physical and informational. In particular, the assignees supervisor must ensure that relevant staff are informed of the security-related conditions governing the assignees work. The supervisor is responsible for immediately advising OIP and ADM, DFS, (within 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br />) if the requirements of the security plan cannot be met or conditions change, necessitating a revision to the security plan, or of any other problems.

(c) A mid-assignment review of the security plan should include discussions with the assignee; the supervisor; ADM, DFS; OIS; and other organizational components involved in implementation of the security plan.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 22