Issue Date 10/26/11 D1-1 1246 

APPENDIX D1

TRAINING REQUIREMENTS AND QUALIFICATION JOURNAL FOR 

HIGH-LEVEL WASTE REPOSITORY LICENSE TECHNICAL REVIEWER

I. TRAINING REQUIREMENTS

A. Applicability

The training described below is required for all staff assigned to perform and or projectmanage aspects of High-Level Waste (HLW) Program license reviews.

B. Training

1. Required Initial Training.

a) Self-Study and On-The-Job Training:

(1) NRC Orientation.

(2) Code of Federal Regulations.

(3) Office Instructions.

(4) Regulatory Guidance.

(5) Industry Codes and Standards.

(6) NRC Inspection Manual.

(7) Inspection/Audit/Observation Audit Accompaniments.

(8) NRC Management Directives.

b) Core Training. These courses establish minimum formal classroom 

training requirements. Refer to Section 1246-09 for exceptions to 

these requirements.

(1) NRC and What It Does or NRC and Its Environment

(2) High Level Waste (HLW) Repository Health Physics Course 

(H-403)

(3) Risk Assessment for Applications in Nuclear Materials and 

Waste (P400 or P401)

(4) Quantitative Risk Analysis (P403)

(5) Licensing and Evaluation of HLW Repository (H-415)

c) Specialized Training. Depending on the employee's previous work 

experience and planned activities, additional courses may be 

required to gain knowledge necessary for specialized inspection or 

licensing activities. Management will make this determination on an 

individual basis.

(1) NRC Observation Audits (Center for Nuclear Waste 

Regulatory Analyses)

(2) Fundamentals of Inspection Course (G101)

(3) Environmental Monitoring for Radioactivity (H-111)

(4) General Underground Training (GUT), including First Aid and 

Cardiopulmonary Resuscitation (CPR)
Issue Date 10/26/11 D1-2 1246 

(5) General Employee Radiological Training (GERT)

(6) General Employee Training (GET)

NOTE: GUT, GERT, and GET Training are presently provided to NRC 

employees by DOE at the Yucca Mountain Site under mutual agreement 

between NRC and DOE. They are required for site visits.

2. Supplemental Training. Additional training beyond that identified as Core 

Training. This training will be determined by the supervisor and will depend 

on the individual's previous work experience and planned licensing activities 

in specific areas [e.g.," Environmental Transport" (including groundwater 

transport)] (Form 368).

3. Refresher Training. Refresher training will be conducted every 3 years after 

initial certification. Refresher training will include other courses, as 

determined by management.

II. QUALIFICATION JOURNAL

Applicability

This NRC Technical Reviewer (TR) Qualification Journal implements NRC Manual 

Chapter 1246, by establishing the minimum training requirements for personnel 

assigned to perform HLW licensing activities for a High-Level Waste (HLW) Repository. 

The Qualification Journal must provide traceable documentation to show that minimum 

requirements are met for each TR.

The NRC Technical Reviewer Qualification Journal consists of a series of qualification 

guides and signature cards. Each signature card is used to document task completion, 

as indicated by the appropriate signature blocks. Each signature card has a 

corresponding qualification guide that establishes the minimum knowledge levels or 

areas of study that must be completed for each signature card. Most of the qualification 

guides are divided into sections. The review sections of the qualification guides will 

identify references with general application to the TR's qualification. The TR is expected 

to have a general familiarity with these references. Other sections of the qualification 

guides will identify specific references that have direct application to a licensing 

discipline. The TR is expected to demonstrate detailed knowledge of the licensing 

discipline-specific references.

To support the review of upper-tier documents, programs, and policies, the TR's First 

Line Supervisor may assign one or more specific non-HLW waste facilities and/or 

disposal sites as reference facilities. The selection of a reference facility is intended to 

provide the TR's management with the ability to tailor the qualification process to the 

experience and training level of the TR, and to meet the needs of NRC. The use of 

specific real-world material will reinforce the qualification process.
Issue Date 10/26/11 D1-3 1246 

TECHNICAL/LICENSE REVIEWER QUALIFICATION JOURNAL

High-Level Waste Repository License Technical Reviewer

_________________

Name

_________________

Title

_________________

Branch

_________________

Section

To complete your qualification as a HLW TR you are to complete the following signature 

cards. All sign-offs shall include the signature of the responsible reviewer and the date. 

Maintain these cards in a notebook, along with any background or written material 

required by the program. This notebook will comprise your HLW TR Qualification 

Journal.

Signature When 

Complete

Date

1. NRC Orientation ________________

Supervisor

______

2. Code of Federal Regulations ________________

Supervisor

______

3. Office Instructions ________________ 

Supervisor

______

4. Regulatory Guidance ________________ 

Supervisor ______

5. Industry Codes and Standards ________________

Supervisor

______

6.Inspection/Audits/Observation/Audit 

Accompaniments*

________________ 

Supervisor

______

7. NRC Management Directives ________________ 

Supervisor

_____

8. Formal Training ________________ 

Supervisor

_____
Issue Date 10/26/11 D1-4 1246 

* These portions of the journal are applicable to TRs whose work activities include 

inspections, audits, or observation audits, as may be applicable

Qualification Board Requirement Met 

________________

Second Level 

Supervisor

_____

Recommendation as a qualified Technical 

Reviewer

________________

Branch Chief

______

Certification Memo Issued 

________________

Branch Chief

______
Issue Date 10/26/11 D1-5 1246 

Qualification Card 1

NRC Orientation 

Initials Date

A. Site Orientation

 ____________

Employee

________

Facility tour and 

introduction to HLW staff

____________

Supervisor

_______

B. NRC Organization

 1. Review of NRC 

Headquarters, Office of 

Nuclear Materials Safety 

(NMSS), Division of Waste 

Management (DWM), and 

HLW organization

____________

Employee

_______

 2. Discussion of NRC, 

NMSS. DWM and HLW 

organization ____________

Supervisor 

________
Issue Date 10/26/11 D1-6 1246 

Qualification Card 2

Code of Federal Regulations (CFR) 

Initials Date

A. Familiarization with selected 

CFR parts completed

____________

Employee

__________

B. Discussion completed on 

CFR parts related to waste 

management

____________

Supervisor

__________
Issue Date 10/26/11 D1-7 1246 

Qualification Card 3

Office Instructions 

Initials Date

A. Familiarization with 

NMSS/DWM Office policies 

and procedures completed ____________

Employee

__________

B. Discussion completed on 

NMSS/DWM Office policies 

and procedures ____________

Supervisor

__________
Issue Date 10/26/11 D1-8 1246 

Qualification Card 4

Regulatory Guidance 

Initials Date

A. Review of regulatory guidance

1. Regulatory Guides

____________

Employee

__________

2. NUREGs ____________

Employee

__________

3. Generic Letters

____________

Employee

__________

4. SECY Papers 

____________

Employee

__________

B. Discussion of regulatory 

guidance with application to 

the DWM HLW program

____________

Supervisor

__________
Issue Date 10/26/11 D1-9 1246 

Qualification Card 5

Industry Codes and Standards

Initials Date

A. Review of selected codes 

and standards completed 

____________

Employee

__________

B. Discussion of the application 

of codes and standards 

related to HLW storage, 

transportation and disposal 

in the DWM HLW program

____________

Supervisor

__________
Issue Date 10/26/11 D1-10 1246 

This qualification card is applicable to TRs whose work activities include inspections, 

audits or observation audits as may be applicable

Qualification Card 6

Inspection Accompaniments

Initials Date

A. Inspection/Audit/Observation Audit 

completed

______________

Facility

_________________

Employee

________

B. Review and discussion by the 

Supervisor of the 

inspection/audit/observation audit 

and employee's role in the DWM 

HLW program.

______________

Facility

_________________

Supervisor

________
Issue Date 10/26/11 D1-11 1246 

Qualification Card 7

NRC Management Directives

Initials Date

A. Review of selected portions 

of the NRC Management 

Directives completed ____________

Employee

__________

B. Discussion of the application 

of the NRC Management 

Directives with the HLW 

Technical Reviewer

____________

Supervisor

__________
Issue Date 10/26/11 D1-12 1246 

Qualification Card 8

Formal Training

A. CORE TRAINING

Initials Date

1. NRC and What It Does or

NRC and Its Environment

____________

Training 

Coordinator

__________

2. High-Level Waste (HLW) 

Repository Health Physics 

Course (H-403) ____________

Training 

Coordinator

__________

3. Risk Assessment for 

Application in NMSS 

(P400/P401, P403)

____________

Training 

Coordinator

__________

4. Licensing and Evaluation 

of HLW Repository (DWM, 

in development) or 

Completion of DWM’s 

HLW Training Modules 

given in year 2002/2003 

____________

Training 

Coordinator

__________

____________ __________ _________

Supervisor

__________

Training 

Coordinator

______

____________ __________ _________

Supervisor

__________

Training 

Coordinator

______
Issue Date 10/26/11 D1-13 1246 

B. SPECIALIZED TRAINING

Other specialized training courses required for license reviewers performing licensing 

activities in specific areas:

Course Title Course # Initials Initials Date

____________ __________ _________

Supervisor

__________

Training 

Coordinator

______

____________ __________ _________

Supervisor

__________

Training 

Coordinator

______

____________ __________ _________

Supervisor

__________

Training 

Coordinator

______

____________ __________ _________

Supervisor

__________

Training 

Coordinator

______
Issue Date 10/26/11 D1-14 1246 

Qualification Guide 1

NRC Orientation 

A. Site Orientation

The Supervisor should orient the qualifying individual to the facility as follows:

1. Tour the facility and introduce the qualifying individual to the staff.

2. Indicate to the qualifying individual the location of controlled documents, 

reference material, supplies, office equipment, etc.

B. NRC Organization

1. The qualifying individual should review and become familiar with NRC 

organization and responsibility.

a. Organizational charts of region, NMSS, and headquarters and overall 

NRC organization. Check NRC Public Web Site for organization chart and 

responsibility.

b. The U.S. Nuclear Regulatory Commission and How It Works, NUREG/BR 

- 0256

c. NRC - Regulator of Nuclear Safety, NUREG/BR - 0164

d. NRC Information Digest, NUREG - 1350

The Supervisor should discuss NRC organization and role with the qualifying 

individual to ensure that the qualifying individual has an adequate understanding of 

NRC's organization and mission. The qualifying individual should review and 

become familiar with:

a. DWM Organization charts

b. DOE Headquarters and Yucca Mountain Office organizational charts

c. “Repository Safety Strategy: U.S. Department of Energy’s Strategy to 

Protect Public Health and Safety After Closure of a Yucca Mountain 

Repository (Latest Edition)”, U.S. DOE, OCRWM

d. U.S. NRC, Strategic Plan, NUREG – 1614

e. Risk-Informed White Paper

f. HLW/DWM, Operations Plan

g. Center for Nuclear Regulatory Analyses Operations Plan

h. HLW Web Page and DOE’s YMP Web Page
Issue Date 10/26/11 D1-15 1246 

Qualification Guide 2

Code of Federal Regulations (CFR)

A. The Supervisor should select currently applicable CFR Parts. The selection should 

include the references listed below as appropriate and be documented. The 

qualifying individual should be expected to have a general knowledge of the topics 

addressed in the references. This review may be accomplished by self-study, study 

quizzes, briefings, or discussions.

1. 10 CFR Part 1 Statement of organization and general information

2. 10 CFR Part 2 Rules of practice for domestic licensing proceedings and 

issuance of orders

3. 10 CFR Part 9 Public Records

4. 10 CFR Part 20 Standards for protection against radiation (includes selected 

questions and answers, Qs & As)

5. 10 CFR Part 51 Environmental protection regulations for domestic licensing and 

related regulatory functions

6. 10 CFR Part 63 : Disposal of High-Level radioactive wastes in a proposed 

geologic repository at Yucca Mountain, Nevada

7. 10 CFR 71 Packing and transportation of radioactive material

8. 10 CFR Part 72 Licensing requirements for the independent storage of spent 

nuclear fuel and High-Level radioactive waste

9. 40 CFR Part 197 : Environmental Radiation Protection Standards for Yucca 

Mountain, Nevada

B. After the qualifying individual finishes studying the listed CFR Parts, the Supervisor 

will discuss these parts with the qualifying individual. To the extent practicable, the 

supervisor should emphasize recent applications of various sections, new regulatory 

initiatives, and current industry issues.
Issue Date 10/26/11 D1-16 1246 

Qualification Guide 3

Office Instructions

A. NMSS Office Policies and Procedures

1. Read the NMSS Policy and Procedures Letters:

1-8 Differing Professional Views and Opinions (MD 10.159)

1-11 Communications with Licensees 

1-22 Quality Assurance 

1-23 Open Meetings 

1-27 Management of Allegations 

1-37 NMSS Participation in ACNW Reviews 

1-38 Interface with Commissioners' Offices 

1-48 Procedures for Preparing Environmental Assessments

1-50 Environmental Justice in NEPA Documents 

1-52 Guidance on Making NRC Electronic Information Available to the Public 

DWM Policy

a. Trip and Meeting Reports (Jan. 23, 1995)

b. Control of and Response to Incoming Correspondence (01/03/95)

c. Use and Documentation of Phone Calls (03/29/96)

Agreement Between DOE OCRWM and NRC/NMSS Regarding Prelicensing 

Interaction (1999)

The qualifying individual should review the NMSS policies and practices on:

a. Telephone use

b. Use of government equipment, including computers (ADAMS) and 

Management Directive 13.1, Property Management

c. Communications outside NRC

d. Policies on outside employment and acceptance of gifts

e. Ordering of documents (e.g NUREGs)

f. Employee appraisal system and Individual Development Plan (IDP)

B. The Supervisor should discuss these policies and practices with the qualifying 

individual to ensure that the qualifying individual completely understands them.
Issue Date 10/26/11 D1-17 1246 

Qualification Guide 4

Regulatory Guidance

A. The Supervisor should select currently applicable regulatory guidance. These 

references should include those listed below as appropriate and should be 

documented. The qualifying individual should be expected to have a general 

knowledge of the topics addressed in the references. The qualifying individual can 

accomplish studying this by study-quizzes, briefings, or discussions. Study of 

corresponding and sub-tier codes and standards is recommended. 

1. Regulatory Guides as determined by Supervisor

Reg. Guide 3.69 Topical Guidelines for the Licensing Support Network (latest 

Rev.)

2. NUREGs (latest revision, where applicable). 

The following is a list of recommended references:

NUREG 1804 Yucca Mountain Review Plan

NUREG 1762 Integrated Issue Resolution Status Report

NUREG 1297 Generic Technical Position on Peer-Review for High-Level 

Nuclear Waste Repositories (1988)

NUREG 1298 Qualification of Existing Data for HLW Repositories (February 

1988)

NUREG 1318 Items and Activities in the High-Level Waste Geologic Repository 

Program Subject to Quality Assurance Requirements (April 1988)

NUREG 1563 Branch Technical Position on the Use of Expert Elicitation in the 

High-Level Radioactive Waste Program (1996)

NUREG/BR-0167 Software Quality Assurance Program and Guidelines 

(February 1993)

NUREG/CR-4369 QA Plan for Computer Software Supporting the U.S. NRC's 

HLW Management Program (January 1986)

NUREG/CR-4640 Handbook of Software Quality Assurance Techniques 

Applicable to the Nuclear Industry (August 1987)

Others as selected by the supervisor

3. Generic Letters (GL)

GL 83-007 The Nuclear Waste Policy Act of 1982

Others as selected by the Supervisor
Issue Date 10/26/11 D1-18 1246 

4. SECY Papers

98-237 Final Rule, Part 2, Subpart J, Procedures Applicable to 

Proceedings for the Issuance of Licenses for the Receipt of High-Level 

Radioactive Waste at a Geologic Repository

99-074 Staff Review of U.S. Department of Energy Viability Assessment 

for a High-Level Radioactive Waste Repository at Yucca Mountain, 

Nevada

99-186 Staff Plan for Clarifying How Defense-in-Depth Applies to the 

Regulation of a Possible Geologic Repository at Yucca Mountain, Nevada

00-0047 Draft Regulatory Guide Providing Guidance and Examples for 

Identifying 10 CFR 50.2 Design Bases

B. The Supervisor will hold discussions, interviews, or oral quizzes to assess that the 

qualifying individual has adequate knowledge and understanding of the selected 

references to the HLW program.
Issue Date 10/26/11 D1-19 1246 

Qualification Guide 5

Industry Codes and Standards

A. The Supervisor should select currently applicable industry codes and standards. The 

qualifying individual should be expected to have a general knowledge of the Codes 

and Standards. He/she may review these by studying, study quizzes, briefings, or 

discussions. The Supervisor should document the selected standards. 

B. The Supervisor should evaluate the qualifying individual's knowledge of application 

of these codes and standards to the HLW TR program by discussions, interviews, or 

oral quizzes.
Issue Date 10/26/11 D1-20 1246 

This qualification card is applicable to TRs whose work activities include inspections, 

audits or observation audits as may be applicable

Qualification Guide 6

Inspection/Audit/Observation Audit Accompaniments

A. Each TR being certified to perform work related to inspection/audit/observation audit 

should accompany certified inspectors on at least one inspection/audit/observation 

audit.

B. The following is a guide for material that should be studied and discussed with the 

team lead or inspector in charge during these inspection/audit/observation 

accompaniments. The Supervisor will discuss these items, as appropriate, after each 

inspection accompaniment.

1. The Inspection/Audit/Observation Audit Program

2. Scheduling and Preparation for Inspections

MC 0300 Announced and Unannounced Inspections

3. Scope of Inspection

4. Entrance/Exit Interviews

5. Conduct of Inspection/Audit/Observation Audit, Accumulation of Data

MC 2410 Conduct of Observation Audits

6. Post-inspection Activities of Inspectors

MC 0610 Inspection Reports

MC 0620 Inspection Documents and Records

MC 1100 Notification of Significant Meetings

7. Morning Reports

MC 0230 Morning Report

8. Non-routine Licensee Events

MC 1110 Potential Abnormal Occurrences

IP 90714 Non-routine Reporting Program

Management Directive 8.3 NRC Incident Investigation Program

Management Directive 8.9 Accident Investigation

9. Preliminary Notification

MC 1120 Preliminary Notifications

10. Bulletins/Information Notices

MC 0720 NRC Bulletins and Information Notices

11. Use of Consultants of NRC

12. Allegations and Investigations

13. Communication outside NRC

Management Directive 5.5 Public Affairs Program

Management Directive 3.6, Distribution of Unclassified NRC 

Staff/Contractor-Generated Reports
Issue Date 10/26/11 D1-21 1246 

Qualification Guide 7

NRC Management Directives

A. The Supervisor should select currently applicable NRC Management Directive (MD) 

references. These references should include those listed below as appropriate and 

be documented. The qualifying individual should be expected to have a general 

knowledge of the topics addressed in the references. He/she may learn the 

information by self-study , briefings, or discussions. The selection should include:

1. NRC MD 9.1 Organization Management

2. NRC MD 9.29 Organization and Function of Regional Offices

3. NUREG 0325 USNRC Functional Organization Chart

4. NRC MD 3.2 Privacy Act

5. NRC MD 3.1 Freedom of Information Act

6. NRC MD 10.130 Safety and Health Program Under the Occupational Safety and 

Health Act

7. NRC MD 10.131 Protection of NRC Employees Against Ionizing Radiation

8. NRC MD 10.159 Differing Professional Views or Opinions

9. NRC MD 8.3 NRC Incident Investigation Program

10. NRC MD 8.8 Management of Allegations

11. NRC MD 5.1 Intergovernmental Consultation

12. NRC MD 5.5 Public Affairs Program

13. NRC MD 8.11 Review Process for 10 CFR 2.206 Petitions

14. NRC MD 10.160 Open Door Policy

B. The First Line Supervisor will discuss application of the selected NRC Management 

Directives with the qualifying individual to evaluate his/her knowledge.
Issue Date 10/26/11 D1-22 1246 

Qualification Guide 8

Formal (Core & Specialized) Training

The standards for each Training Course are provided in the NRC Technical Training 

Course Catalog and will not be duplicated in the Qualification Guide.
Issue Date: 10/26/11 Att1-1 1246 

Attachment 1

Revision History for IMC 1246, Appendix D1

Commitment 

Tracking 

Number

Document 

Accession 

Number and 

Issue Date

Description of Change Training 

Needed

Training 

Completion 

Date

Comment Resolution 

Accession Number

N/A ML11230B347

10/26/11

CN 11-022

Revision history sheet added. 

Combined Appendix A15 with 

Appendix B15 and renamed as 

Appendix D1. Added “training 

requirements” section from 

Appendix A15.

None N/A ML11235A917