ML20141N315

Forwards Draft Region III Guidance & Instructions for Resident Inspector Program.Guidance Contains Basic Concepts & Premises Rather than Implementing Details

ML20141N315
Person / Time
Issue date:	02/01/1984
From:	Norelius C NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION III)
To:	NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION III)
Shared Package
ML20141N314	List: ML20141N313 ML20141N315
References
FOIA-85-769 NUDOCS 8603060140
Download: ML20141N315 (102)

Text

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, s# E8 t.s , UfetTED STATES '

• %, NUCLEAR RESULATORY COMMISSION S CE loN til

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5 799noostvaLt noAo

%' E CLEN ELLYN. ILLONOtt 40137

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,FEB 1 884 MEMORANDUM FOR: DPRF Staff FROM: C. E. Morelius, Director, Division of Project and Resident Programs

SUBJECT:

RESIDENT INSFSCTOR GUIDANCE (DPRF-5)

Region III Cuidance and Instructions for the Resident inspector Program are provided by the enclosure to this procedura. The guidance contains basic concepts and premises rather than implementing details. The individual branches will provide the details. The instructions and IE Manual sections which cover the subjects discussed herein provide additional information r needed for detailed fulfillment of program requirements.

Many of you have been solicited for input to this document. To be effective it must be maintained up to date. Should anyone identify a naad to provide 3 new information or correct the present guidance please forward this information l I

to your Section Chief by memorandum.

4.T 77 A C. E. Morelius, Director Division of Project and Resident Programs

Enclosure:

As stated 8603060140 860114 PDR FOIA PDR SHOLLYB5-769

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DRAFT DIVISION OF FROJECT AND RESIDENT PROG M FR u m RESIDENT INSPECTOR C111 DANCE RECION III i

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DRAFT INDEX

. $8IE

1. Genera 1......................................................... 3

2. Coordination of NRC Activities 0nsite........................... 3

3. 5 -

(Reserved)......................................................

4. Inspection Reports.............................................. 6

5. Rnforcement..................................................... 7

6. Miscellaneous Documentation..................................... 8

7. Inspector Access................................................ 11

8. Resident ins pec tor Availability. . . . . . . . . . . .,. . . . . . . . . . . . . . , . . . . . . 11

9. Facility Emergencies............................................ 12

10. Visitors Onsita................................................. 12

11. Relations with Licensee......................................... 13

12. Relations with Other Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

13. Community Relations............................................. 14

14. Media Relations................................................. 16

15. State Liaison................................................... 17

16. Contact with Other Federal Agencies............................. 17

17. Leave Authorization............................................. 17

18. Payroll......................................................... 18

19. Supplies and Services........................................... 18

20. Clerical Support................................................ 20

21. Use of Facsimile Machine........................................ 21

22. Use of Telephone................................................ 22

23. Mai1............................................................ 23

24. Keys........................... ................................ 24

25. Trave 1.......................................................... 25

26. MP S R e p o r t in g . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 5

27. Local PDRs...................................................... 26

28. Regional Meetings of Resident Inspectors........................ 26

29. Emergency Equipment............................................. 27 Attachment A, Emergency Equipment............................... 28 Attachment B, Control of 2.790 Information...................... 30 9

__ . _ . . . ._ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ . _ _ _ _ . _ _ _ _ _ . _ . _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . . . _ _ _ __. . _ _ _ . _ . _ _ _ _ _ _ _ _ _ _ . _ . _ _ _ _ _ _ _ _ . _J

, DRAFT

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1. General The Resident inspectors are regional employees assigned to inspect a specific facility while stationed at the facility. There are Senior' Resident Inspectors and Resident Inspector job classificatlons. For the purpose of this procedure, both are designated as RIs. The RI lives within commuting distance of his assigned facility and spends his/her normal work week inspecting there. There will, however, be periodic unreplaced absences for liaison with other NRC offices, leave, training, etc. The RI is also an NRC representative available to local officials, other government offices, the news media and the public; however, these activities are normally not to interfere with his inspec-tion responsibilities. The RI will inform his supervisor when conditions at his assigned site are such that undue time and effort are required outside the inspection program.

In the event that more than one RI is assigned to a site, such as both operations and construction, responsibilities for performing assigned duties are limited to those areas to which the RI was assigned. That is, the Operations RI, e.g., will normally limit his routine concerns to the operations inspection program. A Lead Inspector will be assigned from the Ris onsite as outlined in Regional Procedure 0316.

2. Contdination of NR_C Activities Onsite l

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The RI coordinates and maintains a detailed, overall knowledge of the NRC inspection activities and the status of the inspection program at i

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DRAFT the assigned facility. Region based inspectors will inform the RI or RI's Section Chief of their intent to inspect during a specific time period. Where feasible, this will be done at least two weeks in advance and cleared with the R1 for compatibility with site activities. All

• regional based inspectors will normally be expected to contact the El prior to arrival onsite.

The RI is responsible for implementing the onsite inspection program.

Requests for inspection assistance or performance will be submitted by the R1 through the RI Section Chief to the cognizant inspection section.

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a. The RI is responsible for the overall inspection program applicable to the site. The Senior Resident Inspector (SRI) will supervise other resident inspectors and the secretary assigned to the site.

b. The RI will perform supplemental inspections or request assistance to complete such inspections as indicated on the Master Inspection Plan,

c. The RI will perform preliminary followup of assigned allegations and reportable occurrences.

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3. (RESERVED) 4 i

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ERAFT 4 Inspection Reports RI inspection reports issued through the regional office or IE:RQ and become the official inspection record. Any daily inspection records and statements of preliminary findings are preliminary draf ts of that record.

Long term retention of such documents is an unnecessary administrative burden. However, consideration must be given to the fact that the report issuing office is physically separate fru.4 the office providing the report input. Daily inspection records and s.tatements of preliminary findings will therefore be retained until after the official report has been issued.

Inspection reports will normally be:

a. Written in accordance with MC 1005 and related Regional Instructions with the following exceptions:

(1) Regional Supervision vill estat ish a periodic inspection report schedule for each site to balance Region based workload for typing and review. The periodocity shall not exceed 60 days.

(2) Significant events and enforcement actions based upon RI inspection effort may be the subject of separate reports so that l

timely actions can be taken.

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DRAFT (3) 10 CFR 2.790 information (Security items) should be handled in accordance with Attachment C.

b. Mailed to the Regional Office promptly at the end of each assigned report period including 766 and 766s Forms, Creybook Input, and Branch SALP ratings. Resident should retain a copy of draft until the report is issued in final to the licensee.

c. Edited and signed off by Regional Supervision for the RI.

d. Given normal distribution, with copies of all reports pertaining to the assigned site including 766 Forms provided to the RI.

e. Maintained in a file at the RI office, in addition to the regional

! Control File.

5. Enforcement Enforcement policies and guidance are contained in MC-0800. Oral communications with licensee representative = tre necessary to permit pronpt initiation of appropriate corrective action. These will be supp'lemented by written communications from the Regional Office.

Th'c RI is expected to conduct an exit interview weekly with the designated licensee representative onsite and to present preliminary findings at that time.

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DRAFT The R1 should discuss promptly, any major adverse findings with his regional supervisor and in any case, prior to conducting the weekly exit interview.

Adverse findings should be discussed promptly with the licensee, rather than waiting for the next interview, to insure the licensee understands the concerns. At the next exit interview the licensee should normally provide the R1 his position on the item and his initial corrective actions.

6. Miscellaneous Documentation

a. Licensee Reports, 6

The licensee shall report all incidents and events occurring at the site as required by 10 CFR 50.72. It is expected that the licensee will notify the Resident inspector of any reportable incident or event when the Resident Inspector is onsite. However, this does not relieve the licensee of any regulatory reporting requirement.

The primary objective is to ensure that all personnel within the NRC are properly notified. The Senior Resident Inspector is encouraged to develop and maintain a strong communications link with the licensee.

b. LER I

It is expected that the R1 will receive the verbal notifications of LERs from the licensee, and that the licensee will provide the R1 l 8

DRAFT 1

with a copy of all LER related correspondence sent to the Regional Office. The RI will conduct the initial screening of all LERs and provide information to regional supervision as appropriate.

c. 50.55(e) Reports The licensee is required to promptly notify the Regional Office of all deficiencies requiring 50.55(e) reports. RIs at construction sites should encourage the licensee to promptly notify the RI office of reportable events; however, this does not relieve the licensee from reporting to the Regional Office.

d. Daily Reports Daily Reports may be drafted by the RI. They will then be phoned to the Regional Office. If dictated to a secretary the RI should also discuss the item with either his supervisor or other members of his branch so the typed report may be reviewed for technical content by that individual. When occasion warrants the draft may be faxed to the region or the region may draft the report based upon information supplied by the RI.

e. Preliminary Notification (PNs)

PNs wi1E be handled in the same manner as Daily Reports. Final PNs will be written by PAO. i 9

DRAFT

f. Distribution The R1 will be provided copies of the following:

(1) All correspondence related to assigned facilities.

(2) All AITS items related to his site.

(3) All inspection reports and associated correspondence, and l 766 data for the assigned facility.

f (4) R111 Daily Reports.

i (5) Press releases associated with his site.

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(6) Contirmation of Action Letters f or assigned f acility.

1 (7) In addition to the above each branch will establish a listing and system to provide their assigned R1 copies of any needed documents such as computer listings of 766 data, LER listings, etc.

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j (8) ALL IEBs and Information Notices. Copies of responses for the assigned facility.

Susssary of Category 1, 2, and 3 noncompliances issued monthly (9)

. by the NRC. .

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7. Inspector Access to Plant Areas The R1 will undergo the necessary licensee training and obtain the highest level of unescorted site access which licensee employees receive. Normal safety precautions, plant safety, and security rules will be followed by the RI. Unaccompanied access will normally be used to inspect areas in which any licensee employee has unescorted access.

The R1 is not the normal escort for other NRC personnel. Unless non-resident NRC personnel onsite are inspecting with the R1, their escort requirements vill be fulfilled by the licensee. Regional or HQ manage-ment vill be escorted by the resident when requested.

8. Resident Inspector Availability The RI, like other NRC inspectors, may be called on or directed to work at any hour, but an R1 is not required to restrict his off-duty activities or location to be available for calls. However, the R1 should make his home phone number available to the licensee for communications about significant incidents or emergency conditions. The licensee should also be informed if the inspector is to be absent from the site and his home for an extended period of time.

Pagers have been issued to most R1 offices. During off-duty hours the R1 (normally the SRI) will activate the pager to f acilitate communications.

The code number which activates the pager may be given to the licensee. ,

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DRAFT Normal work hours for Ris shall be established in accordance with Regional Procedure. Any deviation from the normal workweek (Monday through Friday) will be negotiated with the assigned Section Chief.

9. Facility Emergencies The R1 will maintain a copy of the Regional' Emergency Response Plan onsite and at home. When notified about a facility emergency, the R1 will imple-ment onsite aspects of the Plan. He will assure that adequate notification of the Regional Office is accomplished promptly. On occasion, the R1 may also be requested to assist in other emergencies such as a transportation incident in proximity to the reactor site.

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10. Visitors Onsite The RI is not part of the sechanism for obtaining site access for indi-viduals or organizations outside the NRC. Onsite meetings with such persons must be compatible with licensee policy and security requirements, and must be arranged with the licensee by the individuals concerned. Visit arrangements with the licensee for NRC personnel will normally be made by the Regional Office.

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DRAFT Official NRC visitors will normally be accommodated through the Regional Office. The Regional Office will screen these requests and attempt to minimize the burden on the R1 created by too frequent visitations.

When visitation requests come through the R1 initially, these requests should be referred to the Regional Office.

11. Relations with Licensee The RI shall always be aware and take actions to avoid the appearance of conflict of interest, loss of independence and objectivity. MC 0237 provides guidance on the code of conduct for the Resident inspectors.

Any questions concerning possible conflict should be discussed promptly with the RI's supervision. Use of the following licensee property to assist inspection activities is permissible.

a. Use of licensee's library.

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b. Use of licensee's manuals and procedures.

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c. Travel in licensee's vehicles to facilitate inspection activities.

d. First aid treatment from licensee's first aid unit.

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e. Emergency assistance.

f. Temporary use of licensee supplied safety equipment.

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DRAFT

12. Relations with Other Organizations An important, but collateral 11 duty is an a point of contact with the public, with state or federal government agencies, and with the local community. Such contacts cannot be allowed to detract from the nuclear safety inspection function. Therefore, where appropriate, inquiries will be referred to'the Regional Office. Where R1 contact is appropriate, an appointment will normally be made in order to select a time which does not conflict with activities to be observed, and to permit orderly planning of the inspection workload. It is important to note that while the NRC function may involve confirmation or denial of licensee state-ments, R1 or NRC communications do not replace licensee communications.

Contacts made by the R1 are to be reported to the region. Significant contacts are to be reported promptly (as fast as possible if media publication or substantive public interest is involved).

Certain programmatic meetings and NRC directed meetings are prescribed to meet the needs of the public, local, and state officials, and others.

These contacts will be arranged jointly between the R1 and the Regional Offices as necessary.

13. Community Relations Af ter R1 assignment and relocation to a site, a meeting will be held with local officials in accordance with RP 0951. All arrangements for the 14

DRAFT meeting related to the site location are the responsibility of the RI. .

These arrangements should be initiated immediately after reporting onsite.

l When the 11 is being transferred upon tour completion, promotion, etc.',

l another meeting should (if appropriate) be held to introduce the replace-ment and review the material covered during the initial R1 meeting. Such l .

l subsequent meetings should be attended by the R1 Section Chief. If subse-quent meetings are deemed inappropriate, the replacement inspector should be introduced to the appropriate officials. A single point of contact is to be established for emergency or incident communications between the R1 and the local community.

After the meeting with the local officials, the R1 will also make his presence known to the local police, fire, and disaster control l

l officials in the area. The single point of contact with the community under emergency conditions and during incidents will be emphasized to these local officials.

Some sites will be located in proximity to more than one community l within the county. Meetings with each of these is appropriate and these j may be held jointly or separately. Local officials should be informed of the availability of Region III personnel for meetings to discuss any concerns they may have regarding a variety of areas under NRC cognizance.

l For further information regarding this subject reference RP 0951.

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14. News Medis Relations 4

Af ter the El has reported for duty at the facility, the Regional Office will issue a news release to the local news media about the assignment' and availability of the RI. The news release will describe the R1 role

and provide the Regional Office telephone number. The news release also points out that all information contacts should normally be made through the regional Public Affairs office.

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lt is expected that R1 contact with the local news media vill be frequent i

at some sites. A summary of the R1 input in such cases will be tele-i phoned to the R1 Section Chief. Copies of local newspaper articles on the site should be mailed to the region when received. The region should be kept informed of significant local radio and TV coverage of licensee and NRC activities.

4 j Contacts with the national news media and extensive sessions with the local news media will normally be coordinated through the Regional Office, inspector judgment will be relied upon to distinguish between the inquiries the R1 should handle and those which should be referred to ,

I the region.

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DRAFT ,

15. State Liaison RI contacts with State officials will normally be coordinated through the Regional Of fice and Office of State Programs (DSP). Meetings with offi-cials shall be scheduled so as to permit attendance by a representative of OSP. Content of telephone inputs from the RI to State officials are to be reported to the Regional Office.

16. Contact with Other Federal Agencies While it is expected that other federal agencies will normally contact the NRC through Headquarters or Regional Office, instances of arrival of representatives of other federal agencies without prior notice will probably occur. For example, OSHA inspectora may arrive to review an injury or respond to a complaint. The R1 should arrange to be notified by the licensee of the arrival of other federal agency representatives if the purpose of their visit can impact upon NRC activities. The region should then be informed by the Rl. R1 contact with such visitors and exchanFe of information about organizational functions is encouraged.

17. Leave Authorization Norra11y, annual leave will be preplanned and be approved in advance  ;

i by the appropriate supervisor. Leave may be authorized by telephone, with the necessary formal authorization processed after the fact. Sick leave or emergency leave may be requested after the fact, but should be done as soon as possible. Reference RP 0910 for further information.

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DRAFT

18. Payroll w

The RI shall advise the Regional Personnel Clerk of changes in delivery of pay that may be caused by relocation. Changes to automatic .

deposits of paychecks or allotments should be provided to the Administra-tive Branch as soon as possible when new addresses are known.

19. Supplies and Services

a. Supplies ,

R1 office supplies will normally be provided by the Regional Procure-ment Section either by mail or courier service. Supplies may be requested either by memo or phone.

Emergency supplies may be obtained from a local office. supply store with whom arrangements have been previously made and approved by the Regional Procurement Section. Supplies may be purchased and a receipt obtained. Payment is made by the Regional Procurement Section directly to the local supply store. Therefore it is i essential to forward the invoice or packing slip to the Regional Procurement Section as soon as possible.

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DRAFT

( b. Other Purchases It is not possible to provide the R1 with an imprest fund. There-fore, all other purchases require receipts which are forwarded to the Regional Of fice for reimbursement. The El is cautioned to l

l obtain regional approval prior to making such purchases so that the likalihood of the expense being disallowed is minimized.

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c. Equipment Repair R1 office equipment repair and maintenance will be arranged by the Rl. The Regional Procurement Section will supply the R1 with a phone list for obtaining these services. Approval for typewriter repair service will be obtained through the Procurement Section prior to arranging for the repair. The R1 will make local repair contacts.

d. Office Equipment The RI should extablish a file containing instructions, etc., for l

l office equipment. Any time or meter readings required will.be obtained by the R1 and mailed as required.

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DRAFT

e. Phone Bills A copy of the monthly phone bills will be sent directly to the RI.

He will certify the phone bill and after certification, forward it to the Regional Procurement Section. Certification in this instance means that the RI certifies all calls made by the resident staff.

The R1 is not required to monitor the use of the telephones by other NRC personnel. He should remind visitors that the telephones are to be used for official business only.

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20. Clerical Support j Each resident site will be provided a part-time secretary. The secretary I will normally be scheduled to work one day per week. Additional hours may be worked if deeged necessary by the RI. Clerical support which cannot be provided by the RI's secretary will be provided by the Regional Office on a case-by-case basis.

The Administrative Branch, in conjunction with local assistance from the R1, will be responsible for recruiting and hiring a secretary. On-the-job

, training will be provided by the Regional Administrative Staff.

The El is responsible for weekly reporting of his secretary's MPS/T&A data to his section's assigned KPS/T&A clerk. j l

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DRAFT As supervisor of the part-time secretary the R1 is responsible for conducting a personnel performance appraisal every year. The R1 will complete NRC Form 625A and obtain the reviewer's signature in accordance with NRC Chapter 4151.

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21. Use of Facsimile Machine r

a. The f acsimile machine can be used by the R1 to transmit and receive certain printed documents to or from the Regional Office and Head-

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quarters. The fax is especially useful for sketches to describe certain incidents which are difficult to describe by telephone.

b. The R1 shall make judicious use of the f acsimile machine and transmit only those documents that should not be delayed through use of the regular postal service, or hand carried by personnel returning to the Regional Office.

c. The f acsimile shall be set for automatic receiving at all times.

d. The Regional Office is responsibic for obtaining and installing the f acsimile machine. The R1 will provide any onsite coordination required such as service personnel access.

e. The R1 will obtain and transmit any required meter readings.

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22. Use of Telephones

s. The RI is authorised to make long distance telephone calls to his residence in unusual circumstances, i.e.. unplanned extension of work hours.

b. The R1 is responsible for notifying the telephone company and obtainin; repair service when required.

c. Hot line phones (red phones) ...e installed at operating facilities.

These are direct lines to the Regional and Headquarters Incident

• Response Centers for use in notification of events. Thej may be used for nonroutine communication when other means of communication are inadequate. The Headquarters IRC is manned 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> a day.

23. Mail I

The RI shall establish a mail receipt point near the site where mail may be picked up each working day. This may be a P.O. box or large rural delivery type mailbox at the RI's residence.

The following should be considered in establishing the mail receipt pointt 22

DRAFT l

a. Licensee's mail service shall not be utilised as the address for the l

l RI's mail or to routinely handle mail for the RI's office. This is not intended to prohibit the use of the licensee's interoffice mail system for receipt of LERa, direct delivery of copies of licensee correspondence to the R1, transmittal of procedures, etc., for review or return of documents used during the course of an

( inspection.

b. Most mail received will be in large envelopes or bulky packages.

c. A large P.O. Box (bin type) or mailbox is required to eliminate frequent trips to the post office for vindow pickup.

d. Travel distance, time and convenience.

The R1 should pick up sail each working day. When the R1 plans to be absent irom the site for an extended period of time, arrangements should be made for the RI secretary to periodically pick up mail and deliver it to the RI's office.

The RI shall provide his Regional Supervisor with his official address and information required to obtain mail in his absence (P.O.

Box combination, etc.).

DRMA will normally mail the contents of the RI's regional mail basket at 1 cast three times a week.

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DRAFT P. O. Box rental will be paid by the RI and a receipt obtained. The receipt shall by forwarded to the Regional Office to obtain retabursement as discussed in Section 19, Supplies and Services.

24. Keys

a. The R1 shall establish the number, and distribution of sets of keys required for the office doors, desks, files, etc.

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b. Office door keys will be obtained from the licensee. The RI will obtain keys for the office equipment and obtain reimbursement as discussed in Section 20. The R1 shall maintain a record of key locations.

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c. Regional personnel visiting onsite when the El is absent may use the region set of keys or obtain keys from the licensee. Access to the >

R1 office in his absence, should be prearranged either with the RI or his supervisor. Any personnel utilizing the Resident Inspector's 1

i office, office equipment or telephone, should leave a note or other-vise inform the RI of the fact. Keys borrowed from the licensee or the Regional Office must be returned promptly.

d. The resident inspector may keep one locked box or file for which the key is not available to the licensee. This will permit security of certain materials such as inspection plans and schedules or allega-tions.

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25. Travel Travel orders to other locations will be requested by asil or phone.

Orders will normally be mailed to the R1 a week in advance of planned.

travel. If time does not allow transmittal by mail, the orders will be facsimiled.

The following travel arrangements are available:

a. R1 will be provided with 5 GTRs that can be used for, unexpected short notice travel. Preplanned travel should receive normal regional processing with a prepaid ticket provided to the R1 by mail or courier.

b. A travel advance up to $500 is available to the RI for official travel. An additional advance is available by check, when the estimated cost exceeds $500 and sufficient leadtime (about 4 weeks)

{ is available to permit prccessinE the advance request. Reimburse-ment for expenditures will be by treasury check.

26. MPS and T&A Reporting a

The R1 shall complete MPS data cards as required by MC 0530. Care should be taken to assure accuracy and the proper use of the codes. The R1 shall 25

DRAFT also prepara the necessary data for T&A reporting. This data abould be supplied to the Regional Office each Friday at the end of the day, but no later than 10:00 a.m. on Monday. Simple uncomplicated NFS and T&A may be phoned to the Region. Reporting of complicated NFS data, leave data, and authorized overtime shall be facsimiled to the Region. It is suggested that the R1 retain a copy for future reference.

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27. Local Public Document Room (PDR)

A local PDR is located near most sites. The RI should visit the local PDR vpon assignment to a site to assess the condition of the documents filed there. lie should become familiar with the PDR sufficiently to inform interested parties of the location, hours, procedures, and types of documents available. Periodic repeat visita are encouraged.

Unusually poor conditions observed at the site should be brought to the l attention of the Regional Supervisor.

l l 28. Regional Hecting of Resident inspectors To counteract the disadvantages of remote assignment, a program of regional i

l meetings will be developed to provide periodic refresher training and give 1

l Resident inspectors opportunity for personal contact with their supervisors 1

and the support staff. This program will also provide regt nal makeup training for these inspectors who, for various reasons, missed significant training sessions.

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DRAFT DPRP shall develop. coordinate, and schedule the program. Meetings shall be held at least quarterly. More frequent meetinse are encouraged.

Each Resident inspector is encouraged to note, throughout the interim-period between meetings, possible topics, for the agenda to assure the sessions provide maximum benefit to the Resident inspectors.

29. Emergency Equipment l Each R1 vill be assigned equipment for use in an emergency as outlined in l

l Attachment A. DRMSP will provide the equipment and is responsible for obtaininE a semiannual inventory and checkout of the equipment from the RI. These inventories will be retained for one year in the Regional office. If any portion of the equipment is used in an emergency or otherwise, the R1 shall promptly request replacement from the Procurement Section.

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DRAFT

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Attachment A hergency Equipment Construction RJ Office Home/ Car Camera First Aid Kit Tape Recorder Rain Gear j

l Flashlight i

i Seear Kit Dosimeter - Self-Reading l Low Range Survey Heter

• Opn RI -

t office Home/ Car Tape Recorder Low Range GM Instrument

• Medium Range Survey Meter

• First Aid Kit i Camera Rain Gear Flashlight Smear Kit Self-Reading Dosimeter Full-Face Respirator 28

_-______________-_____A

DRAFT i Fuels R1 Office Bone / Car i Tape Recorder Low Range GM Instrument

• Alpha Survey Meter

• First Aid Kit Medium Range Survey Meter

• Rain Gear Flashlight j Smear Kit Self-Readint Dosimeter Full-Face Respirator

• MRC independent measurements task force will provide specific information i on instrumentation for Resident inspector's office.

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• l Attachment B i

1 1 CONTROL OF 2.790(d) INFORMATION BY l

l RESIDENT INSPECTORS -

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SCOPE a

This attach.nent provides guidance to insure adequate control and safe-guarding of information contained in reports generated by Resident Inspectors. Detailed information pertaining to the licensee's security plan, procedures or program are exempt f rom public disc 1osure in accordance with 10 CFR 2.790(d).

PROCEDURE A. Manual Chapter 2595 contains the following security

• inspection procedures which must be completed periodically: 81902C, 81904C, 81906C. 81908C, l 81910C, 81912, 81914C, and 81916C.

f B. When the Resident's activities result in " clear" inspections with no l

identified items of noncompliance, deviations, unresolved items or l

weaknesses, a non-proprietary report will be written or the  !

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! non-proprietary information will be included in another routine inspection report.

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DRAFT C. Should an taspection result in items of noncompliance, deviations, unresolved itema or weaknesses, a separate proprietary report will be prepared.

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1. The Resident laspector will prepare the report and enforcement letter in draf t form and forward it to his respective section Chief for referral to tha Safeguards Branch. Appropriate "boilerplate" paragraphs reflecting that 2.790(d) is involved are to be used in ,

l the enforcement letter.

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2. The Safeguards Branch will review the draft and assign a Document f

! Control Number in accordance with RP 0920. Paragraph 2b. The l

enforcement letter and report will then be forwarded to the Word l

! Processing Unit for final typing and dispatch.

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l 3. The draf t report will be marked "10 CFR 2.790(d) Information" at the top and bottom of each page which contains proprietary information, l

f 4 Sequential report numbers will continue to be assigned in accordance with established procedures.

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5. Copies of work papers, drafts or final reports containing 2.790(d) l information are to be stored, when not in use, in accordance with RP 0920, Paragraph D.I.

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0483 o

• REACTOR OPERATIONS RESIDENT AND REGION-BASED PROJECT INSPECTORS IE TRAINING AND QUALIFICATION J0URNAL .

Applicability This IE Training and Qualification Journal (IE Journal) est'ablishes the minimum training requirements for reactor operations, resident and region-bas'ed project inspectors assigned to perform preoperational testing, startup testing, and/or operational inspection activities.

The IE Journal serves as a guideline fot development of a Regional Training and Qualification Journal (Regional Journal), used to implement the minimum requirements. The Regional Journal must provide traceable documentation to show that the minimum requirements are met for each inspector (quizzes, boards, records of seminars and/or discussions).

The IE Journal consists of a series of Qualification Guides and Signature Cards. The Qualification Guides list the minimus knowledge levels or areas of study that must be completed. The corresponding Signature Card is used to document completion as indicated by the appropriate signature block.

' (* Signature Cards and associated Qualification Guides must be completed as outlined below:

Required inspector Signature Cards i New Resident All (except 9.B.2)

New Project IB&C, 2, 3, 4, 5, 6, 8, 9A&8.1, 9C

! Resident Being Reassigned to Same 3, 7 t Type of Plant i Resident Being Reassigned to 3, 7, 98.2 and 9C Different Type of Plant l

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• i < Signature Card 1 Regional and/or site Orientation

_ Initials Date A. Site Orientation ,

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1. New employee processing package ..

completed (Employee) l

2. Initial site activities completed '

I.

(5RI) 1

3. Resident orientation completed l , (SRI) l l -

4. Briefings on resident administration duties completed (SRI or Section Chief)

B. Regional / Site Orientation

1. Self-Study list completed (Employee)

C. Regional Orientation

1. Staff introduction and tour completed j (Section Chief) l 2. Briefings on administrative items completed (Section Chief)

3. NRC organization and mission orientation completed (SectionChief) 1 1 -

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i Signature Card 2

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Code of Federal Regulations Initials Date A. Familiarization with selected 10CFR -

parts completed. (Section Chief)

8. Seminars / Discussion; completed on 10CFR parts related to the (Section r.hi'ef) l inspection program. '

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l. Signature Card 3

/ Final Safety Analysis Report '

1 initi.is o.se 1

A. Self-study on facility FSAR completed *

, (Employee) 1 B. Current Technical Specifications for i facility

• l 1. Self-study c.ompleted

! (Employee)

2. Discussion items completed '

(SRI or section Chief) l l

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. "ForProjectInspectors,thisneedonlybecompletedforoneofthefacilities in the section to which he is assigned. i

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. 0483 Signature Card 4 Regulatory Guides Initials Date A. Self-study of Regulatory Guides .

completed (Employee)

B. Regulatory Guide seminars / discussions completed (SRI or section, Chief)

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0483 Signature Card 5 1

l NRC/IE Manual Initials Date A. Review of NRC Manual Chapters completed (Employee)  ;

B. Review of IE Manual Chapters completed (non-inspection program) (Employee)

C. Review of IE Manual Chapters concerning inspection program (Employee) completed l D. Discussion of inspection program ind

) inspection philosophy completed (Section or Branch Chief)  :

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l Signature Card 6 .

Industry Codes and Standards A. Review of: .

Initials Date

1. Selected portions of the ASME Codes completed (Employee) l 1

2. Selected ANSI /ANS Standards completed (Employee) l 3. Selected IEEE Standards -

completed (Employee)

4. Selected National Fire Protection Agency standards completed (Employee)

6. Seminar / discussion of an application of Codes and Standards in the inspection (SRI or Section Chief) process completed I

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0483 Signature Card 7 -

i Onsite Trainino Initials Date A. Onsite training completed -

(SRI or Section Chief) g

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0483 Signature Card 8 Power Plant Inspection Accompaniments Initials Date A. Inspections completed -

1. ,

(Facility) (Dates) (Inspector in Charge)

2. ,

(Facility) (Dates) (Inspector in Charge)

3. ,

(Facility) (Dates) -

(Inspector in Charge)

4. ,

(Facility) (Dates) (Inspector in Charge) i

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II-9

0483 Signature Card 9 Technology Training Program Initials Date A. Regional Training and Qualification -

Journal reviewed and completed (Section Chief)

B. Training program completed per IE MC 1231

1. For newly hired inspectors, the follow- .

ing training courses completed for the type of facility assigned: *

{ a. BWR(PWR) Technology Course (R-404B(P)) (Training Coordinator)

b. BWR(PWR) Advanced Technology Course (R-505B(P)) (Training Coordinator)

, c. BWR(PWR) Simulator Course (R-604B(P)) (Training Coordinator)

d. Fundamentals of Inspection i Course (G-101) (Training Coordinator)

e. Radiation / Contamination Protection Course (G-102) (Training Coordinator) or equivalent plant training.

j 2. For resident reassigned to a different  ;

) type facility (i.e. BWR reassigned to PWR):  :

i a. BWR(PWR) Technology Course (R-204B(P)) (Training Coordinator)

b. BWR(PWR) Advanced Technology Course (R-504B(P)) (Training Coordinator) l 1

c. BWR(PWR) Simulator Course 1 (R-604B(P)) (Training Coordinator) {

3. Other training courses required for inspectors performing in-spections in specific areas.

Area of Inspection Course a.

(Training Coordinator)

II-10  :

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0483

. b.

(Training Coordinator)

c. .

(Training Coordinator)

d. .

(Training Coordinator)

C. Branch Chief review completed (Branch Chief) e s

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0483 Qualification Guide 1

. Regional and/or Site Orientation The following list of' activities is provided as a guide for completing inspec-tor orientation conducted at the regional office or resident site.

Site Orientation A.

These activities are to be completed by resident inspectors at their assigned facility.

1. Upon reporting to the. site, a package of administrative forms and activities will be provided by the regional office. Guidance for completing these activities can be obtained from the Regional Administrative Office and inspectors on site.

2. Initial activities on site should include the following:

a. Introduction to the licensee by the senior resident or resident inspector

b. Completing licensee's health physics and security training

c. Entering into licensee's badge system

d. Completing a site tour conducted by the resident and/or senior resident inspector,

e. Accompanying the resident inspector on daily activities B. Regional / Site Orientation i

These activities are to be completed by resident inspectors at their assigned facility, and by project inspectors at the regional office.

1. Inspector orientation shall acquaint the inspector with various publications, their location, and general contents, to include i the following:

a. Facility Final Safety Analysis Report l

b. Facility Technical Specifications

c. NRC Manual

d. IE Manual

e. Licensee administrative and emergency procedures

f. Plant operating procedures o

S 11-12

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0483

g. Code of Federal Regulations

h. Regulatory Guides

1. Standa'ds r available (ASME, ANSI, IEEE, ANS, etc.)

2. The inspector should become familiar with the general content.cf the following self-study list in preparation for briefings and discussions to be held at the regional orientation.

ADMINISTRATIVE ITEMS WITH IMMEDIATE PERSONAL IMPACT

a. Hours of Work / Time Cards / Weekly Manpower (MPS)

1. NRCH 4136 (Hours of Work and Premium Pay, Overtime /

Compensating Time),

2. NRCM4137(TimeandAttendanceReporting)

3. IE Manual Chapter 0530 (Weekly Manpower Reporting)

b. Personal Conduct

1. 10'CFR Part 0 (Conduct of Employees)

2. IE Manual Chapter 0235 (Conduct of Employees)

3. IE Manual Chapter 0236 (Requests for Approval of Outside Employment)

4. IE Manual Chapter 0237 (Supplemental Statement on Conduct of Employees for Resident Inspectors)

c. Office Security / Security of Classified Material Regional Procedure (Physical Security Plan)

d. Privacy and Freedom of Information Acts

1. NRCM 0204 (Privacy Act) l l

2. NRCH 0211 (Freedom of Information Act) )

3. 10 CFR 9 (Public Records)

e. Use of Telephones Regional Procedure (Telephone Procedure)

f. Probationary Period / Performance Appraisals

, 1. NRCH 4109 (Probationary Period)

II-13

. 0483

2. NRCM 4151 (Personnel Performance Appraisal System)

3. Regional Procedure (Appraisal of Inspection Program Performance)

g. NRC Resident Training Program and Inspector Qualifications IE Manual Chapter 1231 (Inspector Qualification)

h. Safety Program

1. NRCH 0507 (NRC Safety Program Under OSHA)

2. NRCH 0553 (Motor Vehicle Operator Standards)

3. Regional Procedure, (Office Safety Procedures) -

4. Regional Procedure (Respiratory Protection Program for Inspectors)

u. NRC and Regional Organization & Function

1. 10 CFR 1 (Organization)

2. NRCM 0127 (Organization and Functions, Office of s Inspection and Enforcement) l

3. NRCM 0128 (Organization and Functions, Regional '

Offices)

4. Regional Organization Chart.

5. NUREG-0325, USNRC Functional Organization Chart

j. Legal Basis of NRC

1. Atomic Energy Act of 1954, as amended.

2. Energy Reorganization Act of 1974, as amended.

k. Enforcement Policy

1. IE Manual Chapter 0710 (0400 Revised) (Enforcement i Actions)

C. Regional Orientation These activities are to be completed by resident and project inspectors l at the regional office.

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0483

., 1. The inspector should be given a tour of the regional office and should be introducted to the Regional Administrator, Deputy Regional Administrator, Division Directors, and staff members of the various functional divisions with whom contact may be frequent.

2. Briefings should be given on the following administrative items by staff members acquainted with the subject. These briefings should reinforce self-study completed in Item B.2 above, ar.d provide the inspector an opportunity to have questions answered.

These briefings may be held on a one-to-one basis, but would be better if integrated with initial training sessions including other newly hired personnel.

Hours of Work '

Personal Conduct Office Security / Security of Classified Privacy and Freedom of Information Acts Salary, Checks, Leave Manpower Reporting (MPS)

Use of Telephones Probationary Period and Performance Appraisals Travel Public Relations Library Services Mail Policy Union Membership Word Processing Services Regional Safety Program

3. The inspector should be briefed on NRC and regional organization and on NRC mission by a Section Chief or by personnel at a level above Section Chief. This should reinforce the self-study completed in Item B.2.j above and provide an opportunity to have specific questions answered.

4. A one-week session should be scheduled so that several newly hired inspectors could be in the regional office at the same time. This will facilitate formal training sessions, group discussions, and exchange of information as well as economize on the use of super- l visory time. This aspect of regional introductory training should be completed by the end of the third month of employment.

Formal Training Sessions i Enforcement I 766 System Inspection Report Writing and Processing Bulletin, Circular, and Information Notice System Entrance and Exit Interviews Allegations and Investigations Outstanding Items File System .

. AITS ~

Daily Reports and Preliminary Notifications II-15

0483 Emergency Preparedness / Incident Response Licensee Events (LERs)

Licensee Enforcement History Systematic A'ssessment of Licensee Performance (SALP)

Independent Measurements Program Other formal training sessions, as appropriate.

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6 II-16

, 0483 Qualification Guide 2 4

Code of Federal Regulations The following list of areas is provided as a guide for reviewing the Code of Federal Regulations.

i A. Listed below are 10CFR parts not covered in other portions of this Journal which the new inspector should become generally familiar. This may be accomplished by self-study, study quizzes, briefings, or

, discussions. Completion of reviews of each part must he documented by listing the area (s) and date of completion.

f

1. 10CFR2 Rules of practice for domestic licensing proceedings

2. 10CFR19 Notices, instructions and reports to workers; inspections

3. 10CFR30 Rules of general applicability to domestic

, licensing of byproduct material

4. 10CFR31 General domestic licenses for byproduct material

5. 10CFR32 Specific domestic licenses to manufacture or transfer certain items containing by-product material

6. 10CFR33 Specific domestic licenses of broad scope for byproduct material

7. 10CFR34 Licenses for radiography and radiation t

safety requirements for radiographic operations

8. 10CFR35 Human uses of byproduct material

9. 10CFR100 Reactor site criteria i B. Listed below are 10CFR parts with application'in the inspection program.

Application of the specific 10CFR parts to the inspection program listed l should be covered by a regional seminar. These seminars should be con- I ducted by senior inspectors to illustrate recent application of various sections of the CFR parts to the inspection programs'. It is suggested that inclusion of experienced as well as new inspectors in these seminars would enhance exchange of inspection experience. Alternatively, discus-sions of a similar nature can be held with the Senior Resident Inspector or Section Chief. At least four such seminar / discussions should be con-ducted during the new inspector's first 24 months of employment.

II-17 .

0483 d

Completion of each seminar / discussion must be documented by listing the areas covered, date, and initials of the seminar / discussion le:dar.

1. 10CFR20 Standards for protection against radiation-

2. 10CFR21 Reporting of defects and noncompliance

3. 10CFR50 Domestic licensing of production and utilization facilities .,

4. 10CFR55 Operator's licenses

5. 10CFR70 Domestic licensing of special nuclear material ,

6. 10CFR71 Packaging of radioactive material for transport and transportation of radioactive material under certain conditions

7. 10CFR73 Physical protection of plants and materials I

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0483 Qualification Guide 3 Final Safety Analysis Report A. The inspector should become thoroughly familiar with the Final Safety Analysis Report (FSAR) for the facilities assigned. The following self-study areas provide a guide to reviewing the FSAR and relating it to the licensing process via the Standard Review Plan (SRP). Completion of self-study in each area must be documented by listing the area (s) and date of completion.

1. 10 CFR 50.34 and 10 CFR 50.34a (Contents of applications; technical

, information).

2. Regulatory Guide 1.70 (Standard Format for Safety Analysis Reports).

Compare by scanning, an FSAR'and the SRP to determine their organization, general content, and relationship.

Scan a Preliminary Safety Analysis Report (PSAR) and compare it to an FSAR to determine differences in content.

3. FSAR Section 2 (Site Characteristics).

4. FSAR Section 3 (Design of Shutdown Systems and Components).

5. FSAR Section 4 (Reactor).

6. FSAR Section 5 (Reactor Coolant System and Connected Systems).

7. FSAR Section 6 (Engineered Safety Features).

8. FSAR Section 7 (Instrumentation and Control Systems).

9. FSAR Section 8 (Electric Power Systems).

10. FSAR Section 9 (Auxiliary Systems).

11. FSAR Section 10 (Steam and Power Conversion Systems).

12. FSAR Section 11 (Radioactive Waste Management).

13. FSAR Section 12 (Radiation Protection).

14. FSAR Section 13 (Conduct of Operations).

15. FSAR Section 15 (Accident Analysis).

16. FSAR Section 17 (Quality Assurance).

B. Each section of the facility's Technical Specifications should be studied c

and discussed with the Senior Resident Inspector or Section Chief, emphasizing application of Technical Specifications in the inspection program. -

II-19

0483 Qualification Guide 4 t Regulatory Guides The following list of areas is provided as a guide for reviewing the Regula-tory Guides.

A. Listed below are Regulatory Guides for self-study. The inspector should become familiar with the general content and scope of each of the Regula-tory Guides in preparation for the seminars and discussions in Part B of this Qualification Guide. Note that many Regulatory Guides reference or endorse industry codes and standards listed in Qualification Guide 6.

Study of corresponding codes and stan'dards is recommended.

Regulatory Guide Subject ,

1.8 Pers'onnel Selection and Training 1.16 Reporting of Operating Information 1.26 Quality Group Classifications and Standards for Water , Steam , and Radioactive Waste-Containing Components of Nuclear Power Plants 1.27 Ultimate Heat Sink i

i 1.32 Criteria for Safety-Related Electric Power Systems for Nuclear Power Plants 1.33 Quality Assurance Program Requirements (Operation) 1.39 Housekeeping Requirements for Water-Cooled' Nuclear Power Plants 1.45 Reactor Coolant Pressure Boundary Leakage Detection Systems 4 1.47 Bypassed and Inoperable Status Indication for Nuclear Power Plant Safety Systems 1

1.62 Manual Initiation of Protective Actions  ;

1 1.68 Initial Test Programs for Water Cooled l Reactor Power Plants ,

1.74 Quality Assurance Terms and Definitions 1.75 Physical Independence of Electric Systems t ,

e II-20

' o 0483 1.81 Shared Emergency and Shutdown Electric

., Systems for Multi-Unit Nuclear Power Plants 1.88 Collection, Storage, and Maintenance of Nuclear Power Plant Quality Assurance Records 1.89 Qualification of Class IE Equipment for Nuclear Power Plants 1.93 Availability of Electric Power Sources 1.97 Instrumentation for Light Wat'er Cooled Nuclear Power Plants to Assess Plant and Environs condi-tions During and Following an Accident 1.101 Emergency Planning for Nuclear Power Plants 1.105 Instrument Setpoints 1.108 Periodic Testing of Diesel Generator Units Used As Onsite Electric Power Systems at Nuclear Power Plants 1.114 Guidance on Being an Operator at the Controls of a Nuclear Power Plant 1.118 Periodic Testing of Electric Power and Protection Systems 1.120 Fire Protection Guidelines for Nuclear Power Plants 1.139 Guidance for Residual Heat Removal 5.7 Exit / Entry Control to Protected Areas, Vital Areas, and Material Access Areas 5.43 Plant Security Force Duties 8.10 Operating Philosophy for Maintaining Occupational l Radiation Exposures As Low As Reasonably l Achievable l 8.15 Acceptable Program for Respiratory Protection 8.27 Radiation Protection Training for LWR Nuclear Power Plant Personnel l

l II-21 l

0483 B. Application of the Regulatory Guides to the inspection programs should be

. covered by regional seminars. These seminars should be conducted by senior inspectors and illustrate current use of Regulatory Guides in the inspec- I tion programs. It is suggested that inclusion of experienced as well as

, new inspectors would enhance exchange of inspection experience. Alterna-tively, discussions of a similar nature can be held with the Senior Re-sident Inspector or Section Chief. At least four such seminar / discussions should be conducted during the first 24 months of employment. Note ~that other Qualification Guide seminar topics can be integrated into a single set, such as those on the Code of Federal Regulations and Codes and Standards. Completion of each seminar / discussion must be documented by '

listing the areas covered, date, and initials of the seminar / discussion leader. -

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0483 Qualification Guide 5 NRC/IE Manual )

The following list of' areas is provided as a guide for review of the NRC Manual and IE Manual. This review may be accomplished by self-study, study quizzies, briefings, or discussions. Completion of review in each area must be documented by listing the area (s) reviewed and date of completion. This list includes only manual chapters not covered elsewhere in this Journal.

A. NRC Manual Chapters *

1. 0516 - Systematic Assessment of Licensee Performance (SALP)

2. 1501 - Travel .

3. 4125 - Differing Professional Opinions B. IE Manual Chapters (non-inspection program)

1. 0030 IE Manual System

2. 0720 Bulletins, Circulars, Information Notices

3. 1310 Regional Office Incident Response Actions C. IE Manual Chapters (inspection program) i

1. 0310 Independent Inspection Effort

2. 0610 Inspection Reports: Format and Content

3. 0810 Inspector Feedback

4. 2594 Reactor Inspection Program for Sites Having a Resident Inspector - Startup Testing Phase D. Upon completion of the above self-study items, the inspector should dis-cuss specifics of inspections and inspection philosophy with the appro-priate Section or Branch Chief.

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0483 Qualification Guide 6 Industry Codes and Standards A. The following list of areas is provided as a guide for review of indus-try codes and standards. These reviews may be completed by self-study, study quizzes, briefings, or discussions. Completion of review mus~t be documented by listing codes and standards reviewed and date of completion.

Note that many codes and standards are referenced or endorsed in the Re-gulatory Guides, studying them together is recommended.

1. Selected portions of the ASME Code

2. Selected ANSI /ANS Standards

3. Selected IEEE Standards  !

1

4. Selected National Fire Protection Agency Standards B. Application of the Codes and Standards to the inspection program should '

be covered by regional seminars. These seminars should be conducted by senior inspectors and illustrate current use of Codes and Standards in the inspection programs. It is suggested that inclusion of experienced as well as new inspectors would enhance exchange of inspection experience.

Alternatively, discussions of a similar nature with the Senior Resident Inspector or Section Chief can be held. At least four such seminar /

discussions should be conducted during the first 24 months or employment.

Note that other Qualification Guide seminar topics can be integrated into a single set, such as those on industiy codes and standards and Regula-tory Guides. Completion of each seminar / discussion must be documented by listing the areas covered, date, and initials of the seminar / discussion leader.

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0483 Qualification Guide 7 Onsite Training The resident inspector should become thoroughly familiar with the operations management organization, and systems of the assigned s!te. The following pro-vides a guide for those itent to be covered in this familiarization. .

A. Observation of Facility Operation

1. Complete at least one observation shift at each of the major opera-tor stations for your facility. Examples of majo'r operator stations

! are: Shift Supervisor (Engineer), Shift Technical Advisor, Control Room Operator, Shift Foreman. These and any additional observation shifts at other operator stations and centers of site activity must be documented by listing the, station and dates of observation.

2. Under the guidance of the SRI: 1) complete.all the inspections required in IE 71707 (Operational Safety Verification) at least l -

twice; 2) Complete the inspections required in IE 71710 (Engineered Safety Systems Walkdown) for at least three systems. Completion of each inspection must be documented by listing the procedure, date of completion, and SRI initials.

, B. Site Manaaement The following list of organization components or activities should be reviewed for functions and responsibilities. Completion of czch item must be documented by listing dates of discussions or briefings, or by retention of notes or sketches.

1. Site Organization Chart

2. Onsite and offsite safety review committees.

3. Site QA program.

C. Site Systems The in11owing list is a guide for review of systems and components.

This re iew may be accomplished by some or all of the following methods:

h91f-study using licensee procedures and operator training materials, Walk-throughs conducted by experienced inspectors.

Tracing (walkdown) of systems using licensee procedures and/or piping and instrumentation drawings, 1

Making simple sketches of system flowpaths (including major and safety related components) or structures, Discussion with the SRI, or

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, - - , , m. - . . - , , - - - - - - - . - - . ,.n,- , . , - . - , , - , - . , , . ,,,,,,n -

0483 Completion of each area to be reviewed must be documented by listing the

,- area completed, date of completion and: 1) retention of study notes, sketchs, completed procedures, or 2) initials of person conducting walk-

. throughs, discussions, or oral boards.

1. Reactor coolant system. .

a. Reactor vessel

b. Fuel

c. Reactor coolant system and components -

2. Secondary systems:

a. Main steam

b. Condensate and feedwater

c. Auxiliary feedwater

d. Turbine / generator and auxiliaries

e. Circulating water and service water

3. Engineered Safety Features (ESF)

a. Syster.s and components listed as ESF in the FSAR.

b. Operation, interlocks, and control features of the ESF.

4. Electrical power system

a. Offsite power (AC)

b. Norma? auxiliary power (AC)

c. Emergency power (AC and DC)

5. Instrumentation and control systems

a. Safety related systems as listed in the FSAR.

b. Turbine EH control

c. Feedsater control or steam generator level control system

d. Recirculation flow control system

e. Steam dump system

f. Instrument room layout

g. Cable spreading room 11-26

0483

h. Remote shutdown equipment and instrumentation

i. Integrated control system s

6. Radwaste Systems

] a. Gaseous .

f

b. Liquid

c. Solid -

7. Safety-related seismic structures & instrumentation

8. Security, alarm and access system.

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0483

. Qualification Guide 8 1

Power Plant Inspection Accompaniments Each inspector should accompany region-based inspectors or residents on at least four inspections. For resident inspectors, at least two of these in-spections should be performed at a facility other than that assigned.

The following provides a guide for material that should be studied and dis-cussed with the inspector in charge during these inspections. It is not in-tended that each inspection activity encompass all of these items; however,

all may be encountered within the scope of the inspections. The inspector in charge should ensure, through observation of work or discussion during inspec-t tions, that the material in each area is thoroughly understood. i INSPECTIONS '

1. The Inspection Program

a. IE Manual Chapter 2500 (Reactor Inspection Program)

b. IE Manual Chapter 2510 (Light Water Reactor (LWR) Inspection Program)

c. IE Manual Chapter 2513 (LWR - Preoperational)

d. IE Manual Chapter 2514 (LWR - Startup Testing)

e. IE Manual Chapter 2515 (LWR - Operations)

f. IE Manual Chapter 2600, 2700, 2800 (Scan)

g. IE Manual Chapter 0106 (Inspection of SNUPPS) .

h. Regional Instruction: (Inspection Program Control and Transfer of Lead Responsibility)

2. Schedulina and Preparation for Inspections

a. How to prepare for an inspection

b. IE Manual Chapter 0300 (Unannounced Inspections)

, c. Regional Instruction (Inspection Access at Power Reactors) i 1

O II-28

0483

. d. Regional Instruction: (Inspection Program Assignments and Scheduling)

e. Regional Ins.truction: (Inspection Plans)

3. Scope of Inspections

a. Regional Instruction: (Emphasis on Safety Inspections) '

4. Entrance / Exit Interviews

a. Conducting entrance and exit interviews with lice'nsee management

b. IE Manual Chapter 30703 (Management Meetings - Entrance and Exit Interviews)

c. Regional Instruction: (Exit Interviews)

5. Conduct of Inspection, Accumulation of Data

a. How to perform an inapection involving documentation review and observation of work activities

b. How to deal with apparent fraud or prevarication

c. Effective communication during the conduct of inspections

d. Investigation and followup of allegations

6. Post-inspection Activities of Inspectors

a. Debrief with regional management

b. Inspection Report Processing (1) IE Manual Chapter 2005 (Inspection Reports)

(2) IE Manual Chapter 1006 (Safeguards Inspection Reports)

(3) Regional Instruction: - (Preparat1 >n of Inspection Report Packages)

(4) Regional Instruction: (Handling and Documenting I Deviations) l 1

1 II-29 .

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,. 0483

c. Outstanding Items List (1) Regional Instruction: (Regional Office Work Forms)

d. Statistical Data Reporting (766 System)

(1) IE Manual Chapter 0535 (Statistical Data Reporting)

e. Enforcement (1) IE Manual Chapter 0710 (0400 Revised) (Enforcement Actions)

~

(2) Identifying. appropriate legal commitments and requirements for enforcement action (3) IE Manual Chapter 30702S (Management Meetings - As Needed)

f. Contacts With Licensee (1) IE Manual Chapter 1100 (Notification of Significant Meetings)

NON-ROUTINE INSPECTOR ACTIVITIES

1. Mornino Reports IE Manual Chapter 0230 (Morning Report) l

2. Non-routine Licensee Events '

a. IE Manual Chapter 1105 (Reports of Non-routine Events)  !

b. IE Manual Chapter 1110 (Potential Abnormal Occurrence) l

c. Regional Instruction: (Handling of Non routine Event Reports)

d. IE Manual Chapter 92700 (Licensee Event Followup)

e. IE Manual Chapter 90711B (Non-routine Event Review)

f. IE Manual Chapter 90712B (In-office Review of Event Reports)

g. NUREG-0161 (Instructions for Preparation of Entry Sheets for LER File) '

h. Reg. Guide 1.16 (Reporting of Operating Information)

1. NUREG-0660 (NRC Action Plan Developed As a Result of the TMI-2 Accident)

j. HUREG-0694 (TMI-related Requirements for New Licensees)

~

k. NUREG-0737 (Clarification of TMI Action Plan Requ,trements) l 11-30

3. Prelininary Notifications I a. IE Manual Chapter 1120 (Telephone and Written Preliminary Notifications)

b. Regional Inst ~ruction, (Issuance of PN)

4. Circulars / Bulletins /Information Notices

a. IE Manual Chapter 1125 (NRC Office of Inspection and Enforcement Bulletins & Circulars) .

b. IE Manual Chapter 92703B (IE Bulletin / Circular /Immediate Action Letter Followup -

c. Regioral Instruction: (Authority for Processing IE Bulletins and Circulars) ,

5. Hearinos

a. Participation in public hearings

b. 10 CFR 2 and, Study Guide

c. IE Manual Chapter 94010B (IE Testimony for ASLB or ASLAB Hearings) l

6. Evaluation of Licensee Management Effectiveness '

( a. Evaluation of licensee management effectiveness l

b. Regional Instruction: (Periodic Audit of Licensee En-forcement History)

7. Safety-related Matters Not Covered by Requirements or Commitments

a. The Atomic Energy Act of 1954, Section 161

b. The Energy Reorganization Act of 1974, Section 206

c. 10 CFR, Paragraphs 50.70, 30.63, 40.81, 50.110, 70.71, 71.64, 73.80, Part 50, Appendix 8

d. IE Manual Chapter 0525 (Action Item Tracking System)

8. Incident Response

a. NUREG-0845 (Agency Procedures for the NRC Incident Response Plan)

b. Incident Response Program / Headquarters Organization

(?

II-31

, 0483

IE Manual Chapter 1320 (Headquarters Incident Response (1)

( Actions)

(2) IE Manual 1310/1 (MUF Action Guidelines)

. c. Realonal Incident Response (1) Regional Incident Response Plan (2) IE Manual Chapter 1310 (Regional Office Inciden't Response Actions)

'- (3) Regional Instruction: (Responsibilities of Regional Duty Officer)

(4) Regional Instruction: '

, (Regional Emergencies)

(5) Regional Instruction: (Response to Notifications of ,

Emergency Tests or Drills)

(6) IE Manual Chapter 93700B (Inspector Dispatched to Site)

(7) IE Manual Chapter 93701B (Followup of Significant Event)

(8) IE Manual Chapter 93702 (Plant Trips-Safety System Challenges)

( (9) Followup of major incident

9. Allegations and Investigations Regional Instruction: (Allegations, Complaints, and Investi-gations)

10. Independent Measurements Program

11. Use of. Consultants by NRC IE hanual Chapter 0105 (OIE Policy Statement on the Use of Consultants) l-e 11-32 i

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• j#""C% UNITED STATES

. ,t NUCLEAR REQULATORY COMMISSION

$ REGION IV

"IdYN$"ExYdN' APR 161935 Regional Office Policy Guide No. 1602, Revision 1 MEETINGS BETWEEN RESIDENT INSPECTORS AND LOCAL OFFICIALS A.

Purpose:

To establish regional policy on introductory meetings between resident inspectors and representatives of local government and to provide guidance on arranging and conducting such meetings.

B. Discussion:

It is the policy of NRC Region IV to hold a meeting between resident reactor inspectors and local government officials when circumstances indicate that such a meeting would be appropriate, e.g., usually within 120 days of the assignment of a new Senior Resident Inspector to a reactor site, or within 120 days of the establishment of an office of Resident Inspector at a reactor site.

The purpose of these meetings is to provide an opportunity for represent-atives of local governments in the vicinity of reactor plants to become acquainted with NRC's resident inspectors and other NRC regional repre-sentatives. In addition, the meetings provide opportunities for NRC to explain to local officials its reactor licensing and inspection program and the role of the regional office in it. This Policy Guide is in accord with Procedure No. 94600 from the IE Manual (October 1, 1980) general C. Action:

1. Arranging The Meeting ,

It is the joint responsibility of the Section Chief and the Regional l State Liaison Officer (RSLO) to plan the meeting. This includes establishing the date and location, planning the agenda and developing the list of invitees. Normally, each municipality (county, parish, city, etc.) within a 10-mile radius of the plant will be invited to send a representative. However, meetings of a smaller scale are d acceptable. A determination on the size of the meeting will be made on a case-by-case basis. The RSLO will execute the required actions and will serve as overall coordinator. The Division of Reactor Safety .-

and Projects will notify the RSLO of resident inspector assignments and changes in those assignments.

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Regional Office Policy Guide No. 1602, Rev. 1 A?E 10 1935 D.

Contact:

Suggestions or comments should be directed to Gary Sanborn, RSLO, Extension 267.

E. Cancellation Date:

This Policy Guide supersedes Regional Offipe Policy Guide No. 1602, l Revision 0, and is in effect when issued.,',

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{L , [Lc bert D. Martin Regional Administrator Distribution List C

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Revision Responsibility - DRSP Region V Instruction No. 0601 I f RESIDENT INSPECTOR POLICY AND ADMINISTRATIVE GUIDANCE i A. PURPOSE

! To provide general policy and administrative guidance to the Regional

] Resident Inspectors. This guidance emphasizes concepts more than

, implementation details. .-

B. BACKGROUND AND GENERAL GUIDANCE The presence of Resident Inspectors, on:;ite and doing their job, represents the fundamental element of the NRC inspection program.

Resident Inspector monitoring of licensee activities is important,

] especially for operating reactors.

The Senior Resident is the official NRC representative at the site. As j

such the Senior Resident shall be the prime interface and focal point for NRC activities at the site. The Resident's primary role is that of an I inspector, observer of activities which are of nuclear safety significance, ar.d evaluator of those activities; administrative duties must not unduly interfere with that role. Resident Inspectors live

)

within commuting distance of the assigned facility or facilities and spend their normal work week inspecting there. There will, however, be periodic unreplaced absences for liaison with other NRC offices, leave training, etc. The Resident Inspectors are NRC officials available to local officials, other government offices, the media, and the public.

C. POLICY GUIDANCE General adherence to the policy in scheduling Resident Inspector activities for reactors in the construction phase through the operations phase will ensure that the intent of the resident inspection program is 3 carried out. Clearly, situations will occasionally arise in which ,

4 Regional management may determine that it is best to deviate from this guidance in order to most effectively utilize overall inspection

resources. This guidance should apply in " normal" situations and is not  !

meant to pre-empt Regional management from scheduling inspection coverage at facilities in abnormal situations as needed to assure nuclear safety.

1

For units under construction. Periods of absence (leave, training, 4 meetings, other inspections, etc.) of Resident Inspectors assigned to

' construction activities should normally be scheduled by Regional i supervision, taking into account the licensee schedule for construction activities. Significant activities should be covered by qualified Regional inspectors as deemed necessary by Regional management. It is-  ;

i expected that all Resident Inspectors assigned to construction units'at a site would not be absent from the site for periods longer than two '

consecutive working weeks without Regional based inspection coverage.

i Revision 2, I" +.. 1985 i

Instruction No. 0601 I

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.,.. 2 For units in pre-op testing: Periods of absence of Resident Inspectors assigned to monitor the preoperational testing program should be scheduled by Regional supervision such that activities requiring inspection in accordance with MC 2513 (or other important activities) are adequately covered.

Periods of actual absence of more than five consecutive working days by all Operations Residents assigned to the site should be compensated by inspection coverage with personnel qualified to review the testing program. This condition is normally expected to occur only at sites where only one Operations Resident is assigned.-

" For units in start-up or operation (including outages): Periods of absence of assigned Resident Inspectors at sites where two or more Operations Residents are assigned should be scheduled such that absence of all Operations Resident Inspectors from the site does not exceed five working days. Periods of actual absence of more than five consecutive working days by all operations Resident Inspectors should be compensated by inspection coverage with personnel capable of performing the minimum inspection program. This latter condition is normally expected to occur only at single unit sites where only one Operations Resident is assigned.

D. ADMINISTRATIVE GUIDANCE 1

1. SITE ACTIVITY COORDINATION The Senior Resident Inspector is responsible for coordinating NRC site activities to identify and resolve safety concerns, or potential safety concerns ai the facility. This responsibility C mandates close coordination between the Resident Inspectors, Regional Based Inspectors, and Regional Management. Resident Inspectors are in a unique position to evaluate individual problems or occurrences which may be precursors to safety concerns of greater j significance. The individual problems may be identified by the licensees, or their contractors, by the various disciplined {

1 l

Inspectors from the Regional Office (operations, construction, health physics, safeguards, etc.), as well as many other sources.

Resident Inspectors are expected to be attentive to these individual issues and provide coordinating guidance to focus attention on the s l

relationships of these issues, where such relationships indicate a {

safety concern or potential safety concern.

In support of the above, Resident Inspectors will usually be in contact with Regional Based Inspectors prior to the Regional Based Inspector's entrance interview. The Regional Based Inspectors will initiate this contact. The contact may be by telephone during the preparation phase of the Regional based inspection or immediately prior to the entrance interview at the site. The purpose of this contact will be to share information about the focus of the Regional based inspection and ' identify any specific actions that support the identification or resolution of broader safety issues. The Resident Inspector may or may not attend the entrance interview.

Revision 2,APR 2 3 G M , 1985 Instruction No. 0601

• ' 3 Resident Inspectors shall normally attend the Regional Based Inspector's exit interview, and will use this opportunity, as appropriate, to identify to senior licensee management any

.C significant commonalities between current inspection findings and previously identified safety concerns, or broader safety issues.

Site visits by other NRC representatives (e.g. Headquarters personnel) will normally be coordinated through the Senior Resident Inspector. Resident Inspectors will use judgement in def.ining their degree of involvement with the visiting depresentatives. "

Consideration shall be given to purpose and scope of ths visit; relationship to significant safety issues at the facility; and the needs of the visiting representatives.

2. REGIONAL OFFICE COMMUNICATIONS _

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Communications between the Resident Inspectors and the Regional office staff will be frequent. Communications will be planned to minimize the impact upon the inspection effort. Regional office technical personnel shall inform the Resident Inspectors of planned inspection visits and review the focus of the planned inspection as discussed in paragraph C.1, above.

Resident Inspectors shall be sensitive to and promptly inform the Regional Administrator and responsible Regional based personnel of potential or actual safety items or issues that may relate to their area of responsibility. This information shall be transmitted promptly to the Regional Administrator and then to the Resident C- Inspector's Section Chief and, as appropriate directly to the responsible Regional Based Inspector. Conversely, Regional based technical personnel shall keep the Resident Inspectors fully informed of potential or actual safety issues, or planned events related to the facility.

The Resident Inspectors shall be responsible for notifying Regional based management of significant events relating to the facility.

The Resident Inspectors shall use judgement in determining the threshold and timeliness for notification. For events of significant safety or public interest the Regional Office should be informed as promptly as possible. If the Resident Inspector's information at that time is preliminary or unverified this should be stated.

Each week the Senior Resident Inspector will inform the, Regional"-

Administrator of significant activities which have occurred during the week.

Revision 2, PR 2 3 1985, 1985 Instruction No. 0601 ^ '

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3. LICENSEE / CONTRACTOR / WORKER COMMUNICATIONS The Resident Inspectors shall establish effective communications with licensee representatives, particularly senior management representatives. These communications shall be sufficiertly formal such that the Resident Inspector's independence is unimpeachable, yet open and direct such that safety concerns and potential safety concerns can be discussed and explored in an e,ffective manner. The Resident Inspectors should use every appropriate opportunity to keep safety concerns or supportive issues in the forefront of. senior licensee management's attention. - -

The' Resident Inspector's assignment does not relieve the licensee of any written communication requirements. The telephone input to the Regional Office required for prompt reports will normally be made to the Regional Office; however, these reports can be made to the Resident Inspector.

The Resident Inspector should recognize that the NRC provides individuals an avenue to express safety concerns. As such, the-Resident Inspector should be open and direct in talking with licensee and contractor personnel. Workers should be urged to take their concerns to their management first (unless the concerns relate to " wrong doing"), but should be informed that they are free to come to the NRC, and that they are afforded legal protection in this regard. Discussions with individuals should be helpful and professional in nature. Allegations shall be handled in accordance with Regional procedures.

[k In order to ensure all site personnel are aware of the presence of Resident Inspectors, each Resident Inspector should devote part of each day touring some area of the plant and spend time talking with plant workers. Identification should be provided by wearing a hard hat and/or a badge.

4. FACILITY EMERGENCIES The Resident Inspectors shall have s thorough knowledge of both the NRC's and licensee's emergency response plans. Particular attention shall be addressed to the Protective Actions Guide. The Resident Inspectors will function as the NRC's on-site representative until the Emergency Site Team arrives.

When notified about a facility emergency, the Resident Inspectors will implement on-site aspects of the Regional Emergency Response Plan.

Revision 2,N 3 1935 , 1985 Instruction No. 0601 l(t

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5. SITE ACCESS The Resident Inspectors will undergo the necessary licensee training and obtain the highest level of unescorted site access which licensee employees receive. They will follow licensee rules and safety precautions, including accompanied inspection or tour.

Consistrat with safety, unaccompanied access will normally be used to inspect areas in which any licensee employee has unescorted access. Regular unaccompanied tours must be made to ensure'that the Resident Inspectors are available to all on site personnAl.

Resident Inspectors are not the normal escort for other NRC personnel. Unless non-resident NRC personnel on-site are inspecting with them, their escort requirements will be fulfilled by the licensee.

6. VISITORS Resident Inspectors are not a mechanism for obtaining site access for individuals or organizations not employed by the NRC. On-site meetings with such persons must be compatible with licensee policy and security requirements, and must be arranged with the licensee by the individuals concerned. Resident Inspectors will normally conduct appropriate meetings off-site if on-site visits are not authorized.

7. ENFORCEMENT IE enforcement by the Regional actions Office. and Confirmation of Action Letters are issued Informal communications (exit interviews) are used to permit prompt initiation of appropriate corrective action. Resident Inspectors are expected to meet with senior licensee management representatives weekly to address issues and licensee actions. Once each month Resident Inspectors will conduct an exit interview with the senior licensee representative on-site and present an oral statement of preliminary findings. No written material except publicly available documents will be provided to the licensee outside of official channels, unless specifically authorized in writing by the Regional Administrator..

8. RELATIONS WITH OTHER ORGANIZATIONS

a. COMMUNITY RELATIONS After Senior Resident Inspector assignment and relocation to a site, and as necessary thereafter, a meeting will be held with local officials (MC 95600C). To facilitate maximum information exchange, this meeting should be small and informal. Items covered are to include the routine availability of the Resident Inspectors in a not-to-interfere basis with nuclear safety inspection, normal work hours for the Resident Inspectors,

( Revision 2,APR 2 3 TS95 1985

( Instruction No. 0601 um - --

6

• and the information available from the Regional Office. The meeting should, further, address the planned location and functions of the NRC response team (including Public Affairs) which would arrive onsite promptly in an emergency.

NRC attendees at the initial meeting should include the Senior Resident Inspector, his Section Chief, the Regional PAO, and (if appropriate) the Regional State Liaison Officer. When the Senior Resident Inspector is being relieved upon tour completion, another meeting should be held to introduce the replacement and review the material covered during the initial meeting. Such subsequent meetings should be attended by the cognizant Section Chief.

After the meeting with local officials, the Senior Resident Inspector will also make his presence known to other local police, fire, and disaster control officials in the area. His availability on a routine basis and the single point of contact with the community under emergency conditfons and during incidents will be emphasized. These meetings are to be repeated for new local officials.

The Resident Inspectors office phone numbers shall be published in the local phone directory. The Resident Inspectors should expect some contact with the local public. The Resident Inspector's communications with the public should be helpful and professional in nature. Public concerns should be noted and reviewed with Regional staff members. Feedback to the

[( individuals shall be provided as appropriate. Allegations shall be handled in accordance with Regional instructions.

b. MEDIA RELATIONS The Regional Office will issue a press release to the local media about the assignment and availability of the Senior Resident Inspector. The press release will describe the Senior Resident Inspector's role in '.he inspection program.

Contact with the local media may be frequent at some sites. A summary of the contact in such cases will be telephoned to the Section Chief. Copies of local newspaper articles concerning the site will be mailed to the Region when received.

Contacts with the national media and extensive sessions with the local media will normally be coordinated through the Regional Office. Judgment'will be relied upon to distinguish between the inquiries th'e Resident Inspector should handle and those which should be referred to the Region. ,.

Revision 2, 3 US3, 1985 Instruction No. 0601 w

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c. STATE LIAISON Contacts with State Officials will normally be coordinated C through and reported to the Regional Office and State Liaison Officer. The Resident Inspector will, nonetheless, be available to meet with State Officials. If such meetings are scheduled directly, cognizant NRC officials are to be notified of the scheduling and conduct of such meetings through the Section Chief. If feasible, meetings with such officials shall be scheduled so as to permit attendance by the State Liaison Officer. The content of telephone contacts with St'a te Officialssis to be reported to the Regional Office.

d. CONTACT WITH OTHER FEDERAL AGENCIES While it is expected that other federal agencies will contact the NRC through the Headquarters and Regional Office, instances of arrival of representatives of other federal agencies without prior notice will probably occur. For example, an OSHA inspector may arrive to review an injury or respond to a complaint. In such cases, the Resident Inspector should request of the licensee that he be notified of the arrival of representatives of any federal agency. If the purpose of the visit can impact upon NRC activities, the Region should be informed. Resident Inspector contact with such visitors and exchange of information about organizational functions is encouraged.

9. WORK HOURS Resident Inspectors are required to work 40 hours4.62963e-4 days <br />0.0111 hours <br />6.613757e-5 weeks <br />1.522e-5 months <br /> per week in accordance with the first 40 hour4.62963e-4 days <br />0.0111 hours <br />6.613757e-5 weeks <br />1.522e-5 months <br /> work schedule procedures.

Backshift and weekend inspections will be performed by each Resident Inspector, with an objective of 20% of an Inspector's work week conducted during these times. The intent of this objective is to include backshift and weekend inspections within the 40 hour4.62963e-4 days <br />0.0111 hours <br />6.613757e-5 weeks <br />1.522e-5 months <br /> work week. Unless other normal work hours are approved, the Resident Inspector will use Regional' Office work hours for preparation of his schedule. Each Resident is responsible for determining the specific hours he will work, using his knowledge of the facility, its personnel, f acility activities, and the inspe.ction program. Hours worked must be recorded in a legible, permanent, and auditable manner. t Resident inspection planning must be based on facility activities and program requirements. It is desirous to have NRC inspection representation (i.e. Resident or Regional Inspectors) on site during the normal work week. Residents should schedule their leave such that alternative NRC inspection coverage is provided. Scheduled absences should be coordinated with Regional Management in a timely manner so that alternative coverage can be arranged.

Revision 2,APR 2 3 19S5, 1985 1 Instruction No. 0601 O

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Unscheduled absences from the site during the normal work day are to i f be communicated to the Regional Office in a timely manner, j Telephone notification is acceptable. -

i Regulatory Information Tracking System (RITS) data will normally be g i

transmitted to the Regional Office using the facsimile machine, weekly. Alternatively RITS information may be transmitted by i telephone to the Regional Office, followed by a RITS form sent j

through the mail. Time and attendance data shall be reported by tr facsimile to the Branch Secretary. When necessary, the.need for i

corrected time cards.will be communicated by mail and by telephone.

l 10. INSPECTION DOCUMENTS Resident inspection reports issued by the Regional Office are the official inspection record. The reports shall normally be sufficiently detailed such that findings addressed in the report can be suitably traced to facility hardware or documentation without reference to the Inspector's personnel notes or internal NRC records. Preliminary drafts of inspection reports shall normally be retained until the final report is issued, at which time the draf ts may be discarded.

Inspection module check sheets and completion records shall be retained until the data has been incorporated into the computerized Open Items List for the facility.

11. LEAVE Normally, leave will be planned and authorized in advance by the Section Chief in the Regional Office. Leave may be authorized by telephone, with the necessary formal authorization handled by mail after the fact. Short notice sick leave may be requested after the fact. Standard leave request forms will be used for absences i

greater than three consecutive work days. Where more than one l

l Resident Inspector is at a site, the Inspectors should attempt to i

schedule leave so that at least one Inspector is on-site.

12. AVAILABILITY l

Like other NRC . inspectors, the Resident Inspector may bh called or directed to work at any hour, but he is 'not required to restrict his l

off-duty activities or location to be available for calls. Prompt and emergency telephone reports should be made to the Regional i

l Office or Regional Duty Officer when the Resident Inspector is not available (i.e. not at the site). However, the Resident Inspector should make his home phone number available to the licensee for

( communications about significant incidents or emergency conditions.

Revision 2,APR 2 3 E 5, 1985

! Instruction No. 0601 h

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13. DUTY STATION I

The duty station is the assigned facility or facilities. Permanent change of station orders will be issued for assignment to a new duty station. Moving provisions will be in accordance with federal regulations.

14. ROTATION The tour of duty is for a nominal 3 to 5 year period. Extension beyond 3 years requires a request in writing from the Resident ,

Inspector. Such a request will be reviewed by Regional, and as -

necessary, Headquarters management. Rotation and upward mobility l shall be consistent with IE MC 0227.

15. TRAINING The Regional Administrator is responsible for determining the qualification of personnel as Resident Inspectors. Prescribed training for such qualification includes the IE schools specified in MC 1231 for the resident program (or equivalent background).

16. EQUIPMENT SUPPLIES AND SERVICES Office equipment, supplies, and services will normally be provided by the Regional Office. Outside purchases should be minimized and

(

should be authorized in advance. When such purchases are made, receipts must be obtained and submitted to the Regional Office for reimbursement.

Office equipment repair and maintenance contracts will be arranged l by the Regional Office. The Resident Inspector will handle emergency repairs and service directly and submit the bills to the i Regional Office. Such actions will be coordinated with the Regional Office.

17. MAIL 1

! The normal mailing and mail receipt point is the Resident Office on the site or post office box, as appropriate. The Resident Inspector may also receive official mail at home.

18. CLERICAL SUPPORT l Clerical support will be provided by either part time secretarial help on-site or direct support by the Regional Office.

I Part time secretarial help should be for no more than tiie number of hours per week approved by the Division Director.

1

{r Revision 2 APR 2 3 1985, 1985 i k Instruction No. 0601 C

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10 If part time secretarial help is not provided on-site, the Region will provide clerical assistance to the site. Provision will be C made for telephone dictation of RRI documents and for facsimile transmission of time sensitive drafts for proofing and retyping.

19. TRAVEL Travel orders will normally be requested in writing to the Regional ,

Office. They may also be requested by mail or telephonei Travel orders will normally be mailed to the Resident Inspector' at least a week in advance of travel commencement. If the lead time is shorter than 5 work days, the travel orders will also be transmitted by facsimile. Travel advances should be requested by check if lead time permits. Normally, the Resident Inspector's travel account balance will be maintained (by travel advance) such that expected travel costs and reimbursement timing will not result in travel at personal expense.

20. DOSIMETRY Personal dosimetry may be provided by the licensee. Additionally, dosimetry will be provided by the Regional Office.

21. OFFICE SECURITY The Resident Inspector need not be present when activities like

( janitorial services are performed. Documents which should not be seen except by NRC personnel (ex. inspection plans, allegation statements, etc.) are to be kept in locked containers when the Resident Inspector is not physically present.

A key to the office should be held by the licensee for fire protection purposes. Keys to locked containers in the office should be held by the Resident Inspectors.

An extra set of all keys will be sent to the Regional Office.

22. VEHICLE USE The use of government (GSA) vehicles, if authorization is granted, will be limited to official business such as travel to and from the local post office, travel around the site and to off-site duty points and responding to off-site incidents. The GSA vehicle will be parked at the site. Only one vehicle will be assigned to a resident site.

Revision 2,APR 2 3 9S5, 1 1985 Instruction No. 0601 c_________-_________-_.

..f. . 11 The visibility of vehicle use and the irregular work hours may elicit inquiry. It is particularly important that there be no actual or appearance of vehicle use for personal purposes.

Records of vehicle use must account for all mileage.

Approved , ,,.i?(T)

Jo 1:

n . arfin ..'

/6v Regional Administra Date: APR 2 31965 i

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1. o UNITED STATES

'~g ' ", ~ ,,g NUCLEAR REGULATORY COMMISSION REGION 11 We r

' ' \ ' g) 101 MARIETTA ST., N.W., SulTE 3100

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f[ ATLANTA, G EORGIA '803o3 APR 0 9198'd Regiona! Office Instruction No. 2251, Revisior. 2 RESIDENT INSPECTOR GUIDANCE A. Purpose To provide guidance and Instructions for Resident Inspectors.

B. Discussion The anclosure provides guidance and instructions for Resident Inspectors.

It emphasizes basic concepts and premises more than implementation details.

The legional Office Instructions and IE Manual chapters which cover the subjects discussed herein provide additional information needed for a full understanding of Regional and pronram requirements. The enclosure has been prepared for convenience, recognizing thct some substantive program aspects may be missing or subject to frequent change. This document is not intended to replace or to be redundant to other NRC documents.

C. Action CN

( ) All members of the regional staff should be aware of the contents of this V' Instruction. All Senior Resident Inspectors and Resident inspectors should review it in detail. Updating will occur when sufficient new material is available.

D. Contact Suggestions, comments, or questions should be directed to the Division Director of Project and Resident Programs, extension 5680.

E. Effective Date Thi Revised Instruction is effective when issued.

W R. C. Lewis, Director Division of Project and Resident Programs .

1 Enclosure-  !

Resident Inspector Guidance 1

Distribution List: B l

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9 ENCLOSURE TO ROI 2251 i

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RESIDENT INSPECTOR GUIDANCE 1

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INDEX

1. General ....................................... .... ............ 1 i

2. Management of the NRC Inspection Program......................... 1

3. Reporting and Documentation .... ................................ 4

! 4. Enforcement /Manageme,t Interviews .............. ............... 5

5. Miscellaneous Documentation ..................................... 5

6. Resident Inspector Access to Plant Areas ........................ 6

' 7. Visitors / Inspectors Onsite, Access and Escort ................... 7

8. Resident Inspector Work Hours and Availability .................. 7

9. Leave Authorization ............................................ 8 i 10. Facility Emergencies ............................................ 8 1

11. Relations with Licensee ......................................... 9

12. Relations with Other Organizations .............................. 9

13. Community Relations ............. ............................... 10

14. News Media Relations ............................................ 10

15. State Liaison ................................................... 11

16. Contact with Other Federal Agencies ............................. 11

17. Payroll ......................................................... 11

18. Suppites and Services ........................................... 11

19. Courier Service ................................................. 12

20. Clerical Support ................................................ 12

! 21. Use of Facsimile Machine ........................................ 13

22. Regional Communications /Use of Telephones ....................... 13 i

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23. Mail ............................................................ 14 f

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24. Keys / Access to Resident Office when Resident  !

Inspectors are Absent ......................................... 14 l i

25. Travel Arrangements ............................................. 15 l t

26. Vehicle Use ..................................................... 15 i

27. MPS Reporting ................................................... 15 l l

28. Local Public Document Room ...................................... 16 !

29. Quarterly Regional Meeting of Resident Inspectors ............... 16

30. Program Ef fe:tivene ss Reporti ng . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

31. Resident Inspector Training and Qualification ................... 17

32. Inspection P ogram ........................................... . . 20

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. . . g g . . g e . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . .. .

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Resident Inspector Guidance l

1. General Senior Resident Inspectors (SRI) and Resident Inspector's (RI) are regional inspectors assigned to inspect specific facilities. They live within commuting distances of assigned facilities and spend their normal work weeks inspectine there. There will, however, be occasional unreplaced absences

for liaisen with other NRC offices, leave, training, etc. The SRI as the senior NRC representative onsite, is occasionally available to local officials, other government offices, the news media, and the public; although, these activities are normally conducted by regionai personnel (PA0 and management) so as not to interfere with inspection responsibilities.

The SRI will inform region supervision when conditions at the assigned site are such that undue time and effort are required outside the inspection program.

In special cases where more than one Senior Resident Inspector is assigned to a site, such as both operations and construction, responsiblities for performing assigned duties are limited to those areas to which each SRI is assigned. The Operations Resident, for example, will normally limit routine concerns to the Operat' ions inspection program.

2. Management of the NRC Inspection Program b a. Section Chief The inspection program is be managed from the Regional Cffice. The inspection program for each resident facility is assigned to a Section Chief assisted by a Project Inspector. The Senior Resident Inspector and the Project Inspector report to and receive direction from the l

Section Chief.

The Section Chief is responsible for and maintains a detailed, overall knowledge of NRC inspection activities and inspection program status at assigned facilities. The Section Chief also maintains close communi-cations with the NRR Project Manager to stay abreast of NRR-Licersee matters,

b. Project Inspector The Ptoject Inspector maintains close communications with the SRI to remain awcre of the facility status and the status of inspection procedures being executed by the resident inspector (s).

The Project Inspector maintains overall knowledge of status of the facility inspection program. The Division of Project and Resident Program Administrative staff maintains records of the inspection

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! .( program. The Project Inspector informs his management if the inspec-tion program is not meeting its objectives. Official module sign off records are maintained in the branch which performed the inspect'on.

The results are transmitted to the Project Inspector.

In general the Project Inspector will:

(1) Be prepared to brief senior regional management on the facility status, inspection program status and identified problen' areas.

l (2) Prepare / Review rainbow book information (3) Be familiar with the facility enforcement history -

(4) Coordinate inspection activitics including travel arrangements and review of inraection plans for support intpectors.

(5) Assist in the preparation of testimony for hearings.

(6) Assist in investigations as required.

(7) Conduct or arrange for special site inspections based on communi-cations with SRI, and as requested by the Section Chief.

(8) Coordinate the review and disposition of special reports.

(9) Perform special assignments as requested by his Section Chief or senior regional management, such as evaluations of the inspection program and enforcement history, and review of site related material.

(10) Review and update the computerized outstanding items list. Ensure that other regional personnel have reviewed the list and added appropriate items to their inspection plans.

(11) Prepare Daily Reports, Confirmation of Action Letters, and other

, day-to-day activities.

(12) Coordinate interactions between regional personnel and tte !,RI. .

c. Senior Resident Inspector 1 1

The SRI coordinates day-to-day NRC activities at the site and is the primary contact regarding current facility status and everts. He also

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"pervises the Resident Inspector (s) and assigned secretary. Refer to Section 32 concerning the role of Residant Inspectors while in training status and not fully qualified.

Region-based inspectors will inform cogni: ant Project Inspectors (or

) Section Chiefs) of intent to inspect onsite during a specific time f

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3 7s period. (See ROI 2211) Where feasible, this will be done at least one week in advance. The project inspector will inform the SRI to assure compatibility of the planned inspection with site activities. All region-based inspectors, upon arrival onsite are expected to promptly contact the SRI.

The SRI will r.ormally be briefed by the regional inspectors of the inspection results prior to the exit intervious. The SRI will normally attend exit interviews.

In general:

(1) When separate SRI's are assigned for operations and :orstru.: tion, each will be responsible only for inspection activities associated with that phase. However, there must be frequent interface between the two inspectors, as there is only one NRC casite. This will also permit a more thorough overall evaluation of the licensee's performance of site activities.

(2) ihe SRI is expected to request assistance, from the Rogional Office for additional inspector assistance when the inspection program can 'not be completed, or when technical assigned assist-ance is necessary to look at a specific problem or activity.

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(3) The SRI will telephone the regional offica inves?.igators and cognizant Section Chief promptly of all allegations which come to their attention. The telephone notification will be followed by a written memorandum to his Section Chief. The SR1, when directed by his Section Chief, will conduct preliminary investigations of allegations and assist the regional / headquarters investigators to the extent necessary.

(4) The SRI is the primary onsite evaluator for LER's/CDR's or other reactive efforts, and shall receive all LER's/ COR's issued by the licensee for the assigned facility. (See ROI 1340) LER review for immediate safety impact and conformance to regulations and license requirements shall be done by the SRI and regional based special-1sts. Generic evaluation of LER's and CDR's for impact on other licensees shall be accomplished by the region based specialists.

Depending on the event type and discipline involved, the LRI's '

reactive effort may be supplemented by region based inspectors, i (5) The SRI will have periodic discussions with o.her NRC offices regarding plant status. These discussions are encouraged.

However, be reminded that when discussing matters of policy relative to inspection, enforcement and licensing matters, these must be regional positions.

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d. Resident Inspector The Resident Inspector reports to and receives routine direction from the Senior Resident Inspector. He is in a training status until such time as determined to be " qualified". A "qualifiad" Resident Inspector may perform duties of the Senior Resident in an acting capacity in the absence of the SRI. .

3. Reporting and Documentation The resident inspector's inspection report shall reflect activities con-ducted during the month in sufficient detail to support the f ndings.

The minimum inspection program must be accomplished withoJt failure. The regional goal is to complete the basic program and 90% of the supplemental program. If the basic program cannot be completed, the minimum program shall be implemented at the direction of the Regional Administrator for periods of three to six months. It is the senior resident inspector's responsibility to inform regional management when they are unable to com-plete the assigned inspection program requirements.

Non-routine or reactive activities still require more documentation than routine findings. Whe're non-clear findings are made by the resident inspectors (such as violations or deviations) these will be documented in s

the Notice of Violation or Notice of Deviation and Report Details as has previously been done. Where reactive effort is uncertaken by the resident inspector, it will be documented in accordance with MC 1005. Licensee commitments, unresolved items, open items, or resident inspector closeout of previously identified items, will also be documented in accordance with MC 1005.

The resident inspector office shall maintain a " daily journal" containing entries made by the SRIs and RIs to summarize their activities. It will serve as a supporting record.for the inspectior, report. The resident inspectors shall make daily activity entries, includirg their hours of work, pertinent plant status, and inspections performed.

All preliminary inspection reports are to be mailed along with MIS input, to the Regional Of fice within 3 days af ter the end of each established report period.

• Report periods may be extended in unusual circumstances with the approval of the cognizant branch chief. In the Regional Office, the reports are edited and signed off for the SRI by the Project Inspector or Regional Supervision, and given normal distribution. The SRI is placed i on the bec list for his/her site, therefore, copies of all reports pertain-ing to the assigned site are provided to the SRI /RI. )

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5 O *The inspection reports will cover one month period; with inspection end dates as follows:

5th of 10th of 15th or 20th of 25th of 30th of each moath each month each month each month each month each month Sequoyah St. Lucie Brunswick Hatch Browns Ferry Surry NFS Grand Gult Harris Crystal River Bellefonte North Anna Robinson McGuire Watts Bar Catawba Hartsville Vogtle Farley Turkey Point Summer Oconee

4. Enforcement / Management Interviews Enforce 1 ant policies and guidance are contained in MC 0800. Revisions to enforcement policy will be the stbject of discussions at the Quarterly Regional Meetings. Enforcement actions are issued by the Regional Office or IE:HQ as provided by MC 0800.

Informal oral communications are often necessary to permit prompt initiation of appropriate corrective action. The SRI is expected to conduct a bi-weekly, routine management interview with the senior licensee representative

onsite to discuss " clear" inspection activities.

\' Findings involving violations, nonccmpliance, deviations, or safety issues will be discussed with plant supervision as soon as possible after identi-fication. The SRI should discuss any major adverse findings with his regional supervisor as soon as possible, and in any case, prior to conduct-ing the management interview.

The SRI will assist regional supervision in preparing the systematic assess-ment of licensee performance. Information on this activity is contained in MC 0516 and Regional Office Instruction 1411.

5. Miscellaneous Documentation

a. LERs, 50.55(e) Notices, Part 21 Reports It is expected that the SRI will receive verbal notifications of these events from the licensee, and that the licensee will provide the SRI with copies of related correspondence sent to the regional office. The SRI will perform screening of all LER's, 50.55(e) Notices and Part 21 Reports, and provide information to regional supervision as appropri-ate. The regulations require 50.55(e) and Part 21 initial notifica-tions to be made directly to the region. The project inspector should perform screening of these reports when received in the Region, and discuss them with the SRI.

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l l ( b. Daily Reports Daily Reports should be drafted in the proper form by the SRI /RI and called in to the the Project Inspector for review and editing by the Section Chief and other regional personnel.

I c. Preliminary Notifications l

l Preliminary Notifications (PN's) (See ROI 1920) are prepared by the Public Affairs Office from information provided by the cognizant Section Chiefs, project inspectors or others,

d. Distribution of Documents to Resicents The SRI will be provided copies of:

i (1) All inspection reports, licensee replies, and acknowledgement

letters concerning the facility (2) Technical Specifications and license amendments (3) Copies of al'1 COA's, orders, etc., applicable to the facility (4) Preliminary Notifications for the applicable site and other site as appropriate.

(5) Regional Office Instructions and Notices appitcable' to residents  :

(travel, telephones, inspection reports, emergency plans, etc.)

(6) ANSI standards and Regulatory Guides applicable to the site. '

(7) Changes to the IE Manual applicable to the assigned site.

(8) Personnel documents, such as health benefits, MPS information.

holiday schedules, telephone lists, organizational charts, relevant vacancy announcements, etc.

i (9) NRC Bulletins, Circulars and Information Notices (10) Annual revisions to 10 CFR (11) FSARs and Changes (12) QA Manuals (13) Docket Materials

6. Resident Inspector Access to Plant Areas l b

r The SRI /RI will undergo necessary licensee training and obtain the highest l

\ level of unescorted site access which licen eee employees receive. Normal 1

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safety precautions and plant safety and security rules will be followed by the SRI /RI. Unescorted access will normally be used to inspect areas in i which any licensee employee has unescorted access. Regular unescorted tours ,

, must be made by the SRI to ensure that the SRI is not inhibited in perform-I ance of inspections. See paragraph 9 for discussion of access / escort for visitors.

l 7.' Visitors /Inspuctors Onsite, Access and Escort

a. Individuals or organi:ations outside NRC: The SRI is not part of the mechanism for obtaining site access for individuals or organizations outside the NRC. Onsite meetings with such persons must be compatible with licensee policy and security requirements, and must be arranged

• with the licensee by the ind.viduals concerned,

b. NRC Visitors (Not Inspector s): Arrangements with the licensee for NRC personnel or NRC sponsored official visitors will normally be made by the Regional Office.

When visitation requests como through the SRI initially, these requests should be referred to the Regional Office. The Regional Office will screen visitation requests and attempt to minimize the burden on the SRI created by too-frequent visitations at convenient sites. Regional

) or HQ approved site visitors or Regional and HQ management will be j escorted by a resident when requested by the resident's Section Chief or senior regional management,

c. Clerical support personnel: Clerical support personnel assigned to the resident office will be escorted by resident or other Regional Office personnel only. The licensee is not expected to provide this service,

d. NRC Inspactors/ Investigators: The SRI or RI are NOT the normal escorts for other NRC Inspectors / Investigators. Unless non-residen: NF.C personnel onsite have the licensee's full access clearance or are inspecting with the RI, their escort requirements will be f alfilled by the licensee.

8. Resident Inspector Work Hours and Availability ,

a. Establishing work hours: Residant Inspectors are normally required to I work a minimum of 40 hours4.62963e-4 days <br />0.0111 hours <br />6.613757e-5 weeks <br />1.522e-5 months <br /> per week on an irregular schedule. (ROI 0397 - Unscheduled Work Week). The SRI is responsible for establishing the no mal (regular) work hours at the site and the specific deviations l needed. In doing tnis, consideration is given to the number or SRI /

RI's assigned to the site, normal ".gional Office hours and routine, i the normal facility hours and routine, facility activities and the j inspection program requirements. Any time the SRI /RI plans to be absent from the site for long.tr than four hours during the normal work period, the supervisor shall t.e advised.

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b. Resident inspector back shift inspections: It is expected that ap-proximately 20*4 of SRI /RI inspection activities wi1* be performed during backshif ts or weekend shif ts each week. The method for accom-pli:hing backshift inspections will be by changes from the normal work hours. Overtime or multiple trips to the site on a given day for meeting the backshift inspection goal will not be authorized. For construction sites, the percentage or backshift inspection time should be connensurate with the percentage of work performed by the licensee on backshift up to a maximum of 20%. The SRI shall establish the schod.le and participate in backshif t and weekend shif t inspections.

The !RI shall keep his supervisor advised of resident work hours viriattor. at the siti, Requests by others for non-routine resident work hours should be referred to the SRI's Section Chief or senior regional management.

c. Approval of overtim6/ premium time worked: Backshift or additional time worked that results in overtime, compensatory time or premium pay shall receive the prior (at least verbal) approval of the SRI's supervisor with prompt written followup. Authorized overtime or compensatory time which results from m event or activity which requires the return of a l resident to the site (or the area of an emergency) will be computed

! from the time he leaves his home until he returns subject to statutory l limits. Any travel expenses required in excess of the usual once/ day l reporting to the site will be compensated in accordance with the travel l regulations, provided the additional travel was the result of program-matic requirements or the specific directions of managment. Compensa-tion will not be provided for occasional or unapproved overtime.

d. Resident Inspector availability: The residents, like other NRC inspec-tors, may be called on or directed to work at any hours, but are not required to restrict off-duty activities or location to be available for calls. However, the residents should make their home phone numbers available to the licensee for communications about significant incident or emergency conditions. The resident's home phone numoers are not to be given to callers without the prior approval of the resident. ,

9. Leave Authorization Normally, SRI annual leave will be preplanned and approved in advance by the Section Chief. Leave may be authorized by telephone, with the necessary formal authorization processed after the fact. RI annual leave may be approved by the SRI. Sick leave or emergency leave may be requested after the fact, but should be requested as soon as possible. Compensatory time for SRI's or RI's should be approved in advance.

10. Facility Emergencies The SRI will maintain a copj of the Regional Emergency Response Plan onsite.

When notified about a facility emergency, the SRI will implement applicable onsite aspects of the Plan. The Region is responsible for adequate noti-fication of the SRI. The responsibilities of the SRI /RI are discussed in l ,

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9 V Appendix A, to this instruction. On occasion, the SRI /RI daring emergencies may also be requested to assist, on an interim basis, in other lesser  !

cmergencies such as transportation incidents in proximity ta the reactor sites.

11. Relations with Licensees

a. To avoid appearanc<s of loss of objectivity, resident inspectors shall not:

! (1) Accept offsite rides with licensee representatives (e.g., rides to

, or from lunch or work).

l l (2) Socialize with licensee employees on a regular basis.

(3) Utilize the licensee's postal delivery service.

(4) Utilize the assistance of the licensee's clerical personnel,

b. Resident ir pectors may accept the following assistance or services:

(1) Use of licensee's library.

! (2) Use of licensee's manuals and procedures.

l (3) Travel in licensee's vehicles to facilitate insp9ction activities j while onsite.

! (4) Share in food service where a meeting, work activity or test is not interrup;ed for a meal, and food service are supplied.

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(5) First aid treatment from licensee's first aid unit, or other

personal emergency assistance.

! NOTE: For additional guidance on the code of conduct for Resident l Inspectors, refer to MC 0237 or, if there is any question i concerning possible conflict, consult with the Section Chief 4

promptly. -

12. Relations With Other Organizations .

) Important, but collateral SRI duties, are occasional contacts with the j public, state or federal government agencies, and local communities. Such 4

I contacts nowever, must ne* detract from the nuclear safety inspection functions. Therefore, inquiries should usually be referred to the Regional l Office. Where SRI contact is appropriate, an appointment should normally be i made in order to select a time which does not conflict with activities to be

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observed, or conflict with orderly planning of the inspection workload.

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10 0 It is important to note that while the NRC function may involve confirmation or denial of licensee statements, SRI or NRC communications do not replace licensee ccm.munications. Contacts with other organizations made by the SRI are to be reported to the Regional Office and if significant, are to be reported promptly (as fast as possible if media publication or substantive public interest is involved).

Certain programmatic meetings and NRC directed meetings are prescribed to meet the needs of the public, local, and state officials, and others. These contacts will be arranged jointly between the SRI and the Regional Office as necessary.

13. Community Relations After initial SRI assignment and relocation to a site, a meeting will be scheduled with local officials in accordance with MC 94600C. All arrange-ments for the reeting including location are the responsibility of the SRI.

These arrangements should be initiated immediately after reporting onsite.

When the SRI is to be transferred upon tour completion, promotion, etc., the replacement inspector should be introduced to the appropriate officials.

Some sites are located in oroximity to more than one community within one or more counties. Meetings with each of these is app.*opriate and these may be helo jointly or separately. Local officials should be informed of the availability of Region II personnel for meetings to discuss any concerns they may have regarding a variety of areas under NRC cognizance.

14. News Media Relations After the SRI has reported for duty at the facility, the Regional Office will issue a news release to the local news nedia about the assignment and availability of the SRI. The news release will describe the SRI role and provide the Regional Office telephane number. The news release also will point out that all information contacts should normally be made through the regicnal Public Affairs Office.

It it expected that SRI contact with the local news media will be infre-quent. A summary of the SRI input in such cases will be telephoned to the l SRI Section Chief. Copies of local newspaper articles concerning the site should be mailed to the region when received. The region should be kept informed of significant local radio and TV coverage of licensee and NRC activities.

Contacts with tne national news media and extensive sessions with the local news media will normally originate with and be coordinated through the Regional Office. Inspector judgement will be relied upon to distinguish between the inquiries the SRI should handle and those which should be referred to the Regional Office. ..

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15. State Liaison SRI contacts with State officials will normally be coordinated by the Regional Office of State Program (OSP) representative. Meetings with such officials shall be scheduled so as to permit attendance by the Regional OSP representative whenever possible. Contents of telephone inputs from the SRI to State officials are to be reported to the Regional Office.

16. Contact with Other Federal Agancies While it is expected that other federal agencies will normally contact the NhC through Headquarters or Regional Offices, instances of arrival onsite of re.)resentatives of other federal agencies without prior notice will probably  ;

occur. For exa'nple, an OSHA inspector may errive to review and injury or  :

respond to a complaint. The SRI should arrange to be notified by the  ;

licensee of the arrival of other federal agency representatives if their visits impact on NRC activities. The region should then be informed by the SRI. SRI contact with such visitors and exchange of information about organizational functions is encouraged. l

17. Payroll The residents shall advise the Regional Office of desired changes in ,

delivery of pay checks caused by their relocations. Changes to automatic deposits of pay checks or allotments should be provided to the Administra-tive Branch as soon as new addresses are known.

18. Supplies and Services ,

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a. Routine Supplies Resident office supplies will normally be provided by the Regional l Office. Regionci Office Instruction No. 2256 Standard Office Supply i Listing for Resident Offices, details the instructions for ordering i these supplies.

b. Emergency Supplies Supplies which the resident office needs on an " emergency" basis may be obtained from any local office supply store with prior verbal approval of the Travel and Procurement (T&P) Section Chief or, in his absence, the Administrative Officer. Verbal appraisal is acceptable two basic means are available to pay for these supplies: (1) The RI may pay for supplies and submit receipts to the T&P denton for reimbursement, or (2j lhe T&P Section may phone an emergency purchase order direct to the store with written confirmation to follow,

c. Other Purchases -

Regional Office. Instruction 2255, Procurament of Supplies and Equip-ment, is to be utilized for unique requirements for supplies, equipment J l l

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or services. It is not possible to provide the SRI with an imprest fund. Therefore, all other purchases require receipts which must be

. forwarded to the Regional Office for reimbursement. The SRI is cau-tioned to obtain approval from the T&P Section Chief or, in his absence, the Aministrative Officer, prior to making such purchases to ensure that the expense will be allowed. .

d. Equipment Maintenance and Repair Services

! Resident office equipment maintenance and repair orders that will l involve regional NRC payment, vill be arranged through the Regional l Office upon notification of such need. The SRI will make local repair contacts where no-costs to the NRC are involved. The T&P Section Chief shoula be contacted to identify the local repair contacts at the time they are made. Telephone, copiers, and facsimile repairs are examples of no-cost services.

19. Courier Service

a. The cognizant Section Chiefs should be informed if courier service is needed. If regional personnel are scheduled to travel to the site, and

! if urgent regiona'l correspondence, supplies, etc., are awaiting trans- l l mittal to the site, regional personnel may be requested to pick up urgent supplies or correspondence for hand carrying to the Resident Offices.

b. Courier service should be used to expedite delivery of urgent cor-respondence and supplies only and is not a routine service. Heavy or bulky supplies will not normally be deliver (d by this method unless government vehicles are being used from the regionalo 'ffice,

c. Regional inspection personnel may also be requested by the SRI prior to leaving the site to hand carry urgent correspondence to the Regional Of fice.

20. Clerical Support l

a. General ROI 0160 describes provisions for onsite clerical support. Provisions I have been made for clerical assistance on a part time basis, but clerical assistance may also be supplied from the Regional Office Administrative Branch on a prearranqed schedule under certain con-ditions.

b. Direct Dictation Service l

l When the Regional Office is open, telephone dictation may be given to one of the Division Aides. Time-sensitive written material may also be l*\,

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sent to the Regional Office using facsimile equipment.

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21. Use of Facsimile Machine '

a. The facsimile machine may be used by the residents to transmit ind receive certain printed documents to or from the Regional Office and NRC Headquarters. The fax is especially useful for sketches to des-cribe e.ertain incidents which are difficult to describe by telephone,

b. The SRI shall ensure the judicious use of the facsimile machine to transmit only those documents of reasonable urgency that would be excessively delayed through use of the regular postal service, or by being hand carried by personnel returning to the Regional Office.

c. The resident office facsimile machine shall be set for automatic l receiving at all times when not transmitting.  !

d. The SRI shall make routine and emergency repair contacts with the

facsimile service in his area whenever possible, i l l

22. Regional Communications /Use of Telephones '

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a. To minimize time spent by residents and supervision in trying to i contact each other by telephone, pre planned times for routine calls i i should be established. Both primary and alternate time, during normal work hours, are recommended. When resident calls to the region reach  ;

the division secretary, or regional callers reach the resident office l answering device, the caller should indicate a preferred time for the 1 l

return call. Initial calls should be made on the HPN or FTS networks, '

to the secretary, Section Chief or Branch Chief,

b. The telephones in the resident office are serviced by the commercial telephone system. '

c. The SRI is responsible to assure proper use of the telephones in the .

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d. When long distance calls are charged to the resident office telephone, N the SRI shall maintain a separate log of all long distance telephone '

calls identifying the person called, person initiating the call, date  !

of call, and identify the telephone charged with the call. The SRI /

will send a copy of all long distance log forms to the Regional Office ,

each month. Commercial long distance calls should be minimized by use of FTS or HPN networks whenever possible. , .

e. The residents are author,1 zed to make long distance telephone calls to their residences in unusual circumstances, e.g., unplanned exter,sions of work hours.

f. The SRI is responsible for notifying the telephone company and obtain-ing service when required. ,

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g. Telephone answering devices are provided to improve SRI /RI efficiency,

therefore they should be used.

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h. Speaker phones are also provided to improve efficiency.

1. The residents are reminded that calls on the NRC emergency phone (ENS) l in the resident office are recorded in Headquarters.

J. The " Health Physics" telephone network (HPN) has been installed to facilitate communications during emergencies but is not reserved for emergency use. It has several useful featt.res such as " Broadcast" dialing where all resident offices, or their telecopiers, can be cHaled at once, greatly enhancing rapid information flow. These telephones are also installed in the Regional Office reception area, division l'

admin areas, technical Division Directors Offices and Branch Chief Offices.

23. Mail The normal mailing and mail receipt point is the rural route serving the site. Rural mail boxes are installed near the entrances to the sites (Closest location served by the rural mail carrier.)

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The resident inspectors do not utilize .the licensee's mail service.

When all residents plan to be simultaneously absent from the site, arrange-ments may be for regional based inspectors to pick up mail.,

24. Keys / Access to Resident Office when Resident Inspectors are Absent

a. The SRI shall obtain at least four sets of keys for all office doors, cabinets, desks, tables, telephones, car, and other equipment equipped with a lock. Receipts for purchases of keys should be forwarded to the Regional Office for retebursement as discussed in Section 20.

b. One set of keys shall be properly tagged, and forwarded for retention in the Regional Office. ,

c. One set of keys shall be retained by the SRI.

d. One set of keys shall be retained by the RI.

c. One set of keys (except for one locked box / file) shall be placed in the licensee's projec6 e plant managers' office for safekeeping with the understanding that other NRC personnel may obtain the keys in case of necessity.

f. The SRI should keep one locked box or file for which the key is not O availabla to the licensee. This will permit security of certain i

(v) materials such as inspection plans and schedules or allegations. ,

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U g. Regional personnel visiting onsite when the residents, are absent may use the regional key set or obtain keys from the licensee. Such access to the resident office should be prearranged either with the SRI or the Regional Office supervisor. Any personnel utilizing the resident office, office equipment or telephone should leave a note or otherwise inform the SRI of the fact. Keys borrowed from the licensee or the Regional Office must be returned promptly.

25. Travel Arrar.gements the followirg travel arrangements are available:

6. Residents will be provided with two GTR's that can be used for unex-pected short notice travel.

b. Preplanned travel should receive normal regional processing as detailed in Regional Office Instruction 0241. ., This method allows for the use of d prepaid ticket to be provided to the' inspector. Orders can be sent by facsimile if necessary.

26. Vehicle Use f- Government vehicles for certain construction sites are authorized. Legis-lation is being pursued to expand authorized use of government vehicles by all residents. All authorized local travel, travel in responsibile to site or area incidents, or directed travel back to the site in excess of normal I round trip travel to the duty station will be compensated for in accordance  !

with existing travel regulations. I

27. MPS Reporting The residents shall complete MPS data cards as required in MC 0530, and call the information into the Regional Office by 10:00 a.m. each Monday. In that the SRI /RI's are required to perform a portion of their duties during irregular hours, an unscheduled work week is approved in accordance with NRC Manual Chapter 4136. Chapter 4136 specifies that the first 40 hours4.62963e-4 days <br />0.0111 hours <br />6.613757e-5 weeks <br />1.522e-5 months <br /> worked during a 6 day period of the administrative work week are considered the basic. work week. The work week includes:

a. Onsite ir.spection activities anywhere on the site outside of the resident office.

b. Offsite; out of office: Official duties at locations other than the {

facility, c g., local official meetings, PDR visit, corporate HQ of i utility. i

c. In-office: All activities conducted in the resident office at the s site.

s ,, ) d. Other NRC locations: Trips to HQ, Training Center, or to the Regional Office.

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Accunulation of statistical data on the application of inspector time is important to manpower forecasting, evaluation of the utilization of the staff, and preparation of the annual budget. Careful attention to program and activity codes and the hours applied is essential to the success of the Regional Office mission. Direct inspection effort goals are 44% for the SRI's, and 53% for the RI's, of available time. These goals will allow the region to meet the inspection program goals imposed upon it. Regional Office Notice 1301 provides specifics for coding of activities.

Special codes applicable to Resident Inspectors are contained in MC 0530.

In general, these codes parallel those of region-based inspectors in such activities as prepation for inspection, inspecting, and recorting. Copies of tne MPS cards prepared each week will be retained on file by the resi-dents for future reference.

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28. Local Public Document Room (PDR)

There is a local POR near most sites. The SRI should visit the local POR immediately after assignment to a site to assess the condition of NRC and ,

licensee documents filed there. The SRI should become sufficiently famil'ar with the PDR to inform interested parties of the location, hours, pro-cedures, and types of documents available. Repeat visits should be made at approximately annual intervals and a brief record of these visits should be retained. Unusually poor conditions observed at the local PDR should be l brought to the attention of the SRI's supervisor.

29. Quarterly Regional Meetings of Resident Inspectors The resident inspecters miss most of the regional activities, and rarely have face-to-face contacts with their supervisors and the regional staff.

They may also experience situations at their sites of interest to other residents and the regional staff. In order to counteract the distdvantages ,

of remote assignment, quarterly regional office meetings are held to provide  !

periodic refresher training and give residents opportunities for personal l contact with their supervisors and the regional staff. l Prior to each quarterly meeting, a Regional Office Notice is issued calling for input on. topics for the upcoming meeting. At this time the Resident J Inspector Quarterly Meeting Coordinator will also contact each SRI fo- input to the agenda.

Residents are encouraged to note, throughout the interim period between meetings, possible topics for the agenda to assure the meeting provides maximune benefit.

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30. Program Effectiveness Reporting As the number of residents increases, much experience is gained concerning

/ the difficulties and highlights of program implementation. While reporting k_,}/ of inspection results is adequately covered in the existing Inspection 1

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Manual and addenda yet to be issued, more attention should be given to identification of non-technical matters that affect the program.

The experience accumulated by residents serves as a valuable rescurce to smooth out implementation of the program at sites subsequently manned by residents. In order to capture that experience, a quarterly report is requested from each resident to his Section Chief. These reports are optional, but encouraged. There is no prescribed format and the reports should be no more than one page in length. They are to be expressions of the residents' personal assessments of non-technical aspects of the program.

The subjects to be addressed in the reports are those determined by the resident to have an impact on the conduct of his duties. Issues identified should be clearly delineated; proposed solutions to problems are en:ouraged but not required.

Residents are encouraged to submit reports as outlined above to th=ir Section Chiefs. Although issues of concern may obviously be brought to the Section Chief's attention at any time, the quarterly report can provide additional organizational attention on issues that could affect specific residents or contain " generic" aspects of the resident program.

The reports should be ' addressed to Section Chiefs (ADDRESSEE ONLY, if appropriate). Clear and legible longhand copies are acceptable. These

[ reports may contain opinions, advice or recommendations. As such, there is Q} no requirement to retain the reports as agency records.

Inspection findings, results, and technical recommendations are specifically excluded from coverage in these reports. Except for the exclusion, the subject matter of the letter reports is to be determined by the resident.

31. Resident Inspector Training and Qualification During the first 6-12 months after reporting onsite, newly hired resident inspectors are in a training status. The Section Chief and the SRI are responsbile for training, and evaluation of the new resident's progress, and must ensure that the new resident is scheduled for formal schools, inspec-tions away from the site, office visit, etc. The Section Chief must also ensure that periodic evaluations and notebook reviews are acccmplished at the 3,6,9 and 12-months intervals after the resident's reporting date. The SRI is responsible for the new resident's performance appraisal.

The SRI is responsible for the new resident's on-the-job training. He must ensure that the new resident participates in site inspections made by

. yion-based inspectors in the various technical disciplines. He should direct the resident to perform system lineup verifications, observe plan' operations, and perform reactor operations inspections.

The SRI, will have the most significant impact in the development of the new resident. The SRI will be allowed time for his training functions (probably i

Cj several hours per week) and will actively involve the new resident ir. all aspects of regulatory activities at his site. The SRI will be evaluated by I

i l

+45 18

\ )

management regarding his contributions to development of the resident inspector.

The SRI will provide input to his Section Chief regarding the riew resident's progress and periodic evaluations, and with the concurrence of the Section Chief, will advise the new resident regarding the adequacy of his progress.

The new resident is evaluated informally by the SRI at 3, 6, 9 and 12-month intervals. Formal evaluations are required at 6 and 12 month intervals.

(If progress is unsatisfactory. This evaluation should be discussed promptly with the trainee and documented as appropriate. This should be discussed promptly with regional supervision.

Specific objective criteria for evaluation of a new resident's performance include formal course exam grades, self-study course grades, and the quali-fication notebook. A formal training course grade of 70*; or abo /= is considered satisfactory. '31f-study course grades of 70% or above (correct answers) are considered sacisfactory. The qualification notebook will be evaluated by the SRI and the Section Chief. The following goals for note-book completion are established:

MONTHS AFTER HIRE PERCENT COMPLETE T 3 15's Q 6 9

45%

75%

12 100%

Since the notebook will be completed piecemeal (various line items in different sections), a completion estimate should be made by the SRI at each evaluation interval.

The notebook may be judged as to percent complete by the prescribed time-table above. Written sections of the notebook should be reviewed by the SRI for accuracy and completeness. He should spot-check 3 or 4 writeups and sketches against the FSAR, facility procedures, administrative instructions, etc. Although the notebook need not by typed, it shouid be neat and legible. Neat pencil sketches of required systems are ac:eptable.

An exam grade below 70 should result in a joint review by the Headquarters Training Department staff and the resident's Section Chief. The resident will be allowed input to this review. The new resident will then be required to undertake a self-study program on the appropriate material and be given a re-exam within one month. New residents should achieve a score of 70 on each exam in a course series (PWR or BWR) as well as at ' ast a grade of 70 overall. Failure to achieve a grade of 70 overall requires additional self-study and re-exam as determined by the NRC Training Depart-ment Staff and the resident's Section Chief. I (3

( ) The completed qualification notebook will be retained by the trainee until he is detached from his assigned site.

I

19 U Formal course grades will be inserted in the trainee's personnel file.

The training guide summary certification page (documenting completion of the notebook, formal training, self-study programs, etc.) will be part of the trainee's personnel file.

The trainee will sign off individual line items indicating he has completed the items and has a general understanding of that instruction, system, function, etc.

Completion of major notebook sections, assist inspections, etc., will be signed off by the SRI or the trainee's Section Chief.

The trainee is an NRC employee and will be afforded the rights of NRC employees concerning facility access, freedom of movement, etc.

The trainee is also an " inspector-in-training" and will be identified as such to the licensee. When he becomes certified, he will be identified as such to the licensee also. As a trainee, the individual may not transmit policy for the agency, seek to independently infloence licensee actions, or receive licensee reports. The trainee, as an NRC employee, cannot operate facility equipment, manipulate plant components, or move control switches,

,- s even though he may be" standing watches" as an observer at various facility

( ) watchstations. The trainee is learning to be an inspector in an on-the-job

%d basis. If he identifies items requiring-enforcement or of a regulatory interest he should discuss them with the SRI (or regional inspector). These items will then be pursued by the SRI or other inspectors as regulatory matters with the licensee. (This does not mean that the trainee may not gather information and inspect licensee activities as he learns his role.)

The licensee should be advised that his onsite peint of contact is the SRI.

If the SRI is absent or not reachable, the licensee should contact the Regional Office. If the SRI is absent from the site, the. region may request

! the trainee to observe licensee actions or verify a lineup, etc. However, the trainee should not be placed in a role of transmitting regulatory policy to the licensee.

. The project division training coordinator will be responsible for coor-dinating and presenting the "one-hour" training sessions as part of t regional indoctrination sessions. Since much of the training s activities outside of the division, he must work with the Regional Training Coordinator to identify session leaders for the sessions. The session leaders should be formally advised of their responsibilities and given time to prepare for the session. Assignments a e preplanned such that the burden on any one individual or the trainee's Sec-ion Chief is i...oimized.

When the formal training program is complete to the satisfaction of the SRI, the SRI will certify to the Section Chief that the trainee has completed the

(}

! final and informal training program and is ready for certofocatopm as an s _,/ inspector. The certification examination will include both an oral and a

4 20

\ '

! walk through exam by the Section Chief. The Section Chief will review the 4 training records, and conduct an oral examination of the trainee either

separately or concurrently with a walk through exam at the assigned site.

During this walk through c::2m, the trainee shall demonstrate his knowledge and familiarity with plant safety-related system plant' procedures, and regulatory requirements to the satisfaction of the Section Chief. The Section Chief should keep sufficient r.otes to make a subjective evaluation

. of the qualification of the trainee. Following the certification exam, the Section Chief will either recommend to the Regional Administrator that the trainee be qualified as an inspector in a memoradam, or document.a program i for additional training designed to qualify the trainee based on weakness

identified during the certification exam. lipon recent of the section

! chief's recommendation the Regional Administrator will officially certify .

the trainee as a qualified inspector in a letter to the inspector.

32. Inspection Program ,

I

! A coordinated Resident / Regional Inspection Program has been developed by.IE HQ for Operating Reactors in accordance with MC 2515, but has been modified

by Manual Temporary Instructions due to the availability of resources, j Currently MC 2511 and MC 2512 specify the inspections required for reactors urder' construction. MC 2513 and MC 2514 specify the inspection requirements for preoperational and startup testing. MC 2695 specifies the inspection requirements for fuel facilities.

l 33. Documents to Maintain

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TECHNICAL ASSOCIATES HB TECHNICAL CONSULTANTS ON E D:le G. Bridenbaugh I723 Hamatton Avenue-Suite K Richard B. Hubbard San Jose, California 95125 Gregory C. Minor Phone:s'408) 266 2716 November 18, 1985 FREEDOM OF INFORMATION ACT REQUEST Mr. J.M. Felton, Director [ d M - M

• 7 dy f Division of Rules and Records Office of Administration M*d 2 8 U.S. Nuclear Regulatory Commission Washington, D.C. 20555

Dear Mr. Felton:

Pursuant to the Freedom of Information Act., please make available at the Commission's Washington, D.C., Public Document Room, records in the following categories:

(A) All documents related to the most recent Seabrook 1 Caseload Forecast Panel meeting. You recently provided a response on this same subject (FOIA-85-669); this request is a continuation of that request. We understand that additional records may have been generated since'your response to FOIA-85-669 was completed.

(B) The NRC Resident Inspector's Handbook, and/or any similarly-titled guidance to NRC's Resident Inspectors which provides instructions to them regarding the conduct of their work.

(C) All comment letters (to date) on Draft NUREG-0956, "A 1 Reassessment of the Technical Bases for Estimating  !

Source Terms." I (D) All records concerning the NRC-sponsored " Risk l' Methodology Integration and Evaluation Program" (RMIEP) '

at Sandia National Laboratories (including any and all subcontractor documents).

I Please do not hesitate to make partial responses to any portion of this request if that is feasible. If there are any questions regarding this request, please call me at (408) 266-2716. Thank you for your attention to this request.

l l

Sincerely,

) Steven C. Sholly SCH:dg

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