NRC INSPECTION MANUAL NMSS/FCSS

MANUAL CHAPTER 1247 APPENDIX A

BASIC-LEVEL TRAINING AND CERTIFICATION JOURNAL FUEL FACILITY INSPECTOR
Issue Date: 06/27/14 i 1247 Appendix A

Table of Contents

Introduction.................................................................................................................................1

Program Organization.................................................................................................................1

Required Basic-Level Training Courses ......................................................................................2

Basic-Level Individual Study Guides ...........................................................................................5

(SG-1) History and Organization of the Nuclear Regulatory Commission ....................... 6

(SG-2) Inspector Objectivity, Protocol, and Professional Conduct .................................. 8

(SG-3) Fitness for Duty (FFD) Rule ...............................................................................11

(SG-4) Allegations .........................................................................................................13

(SG-5) NRC’s Response to an Emergency at a Nuclear Facility....................................15

(SG-6) The Enforcement Process and the Backfit Process............................................17

(SG-7) The Office of Investigations................................................................................20

(SG-8) Exploring the Fuel Facility Inspection Program ..................................................22

(SG-9) Exploring the Nuclear Materials Events Database (NMED)................................25

(SG-10) Incident Inspection Team (IIT) Activities, Augmented Inspection Team (AIT), 

and Special Inspection Team (SIT)................................................................................26

(SG-11) Understanding How the Commission Operates................................................28

(SG-12) Organization and Content of the NRC Inspection Manual ................................29

(SG-13) NRC Interagency Agreements .........................................................................31

(SG-14) Interaction with the Public ................................................................................34

(SG-15) Contacts with the Media...................................................................................37

(SG-16) Institute of Nuclear Power Operations (INPO) and Nuclear Energy Institute 

(NEI)..............................................................................................................................39

(SG-17) Freedom of Information Act and the Privacy Act ..............................................40

(SG-18) Entrance and Exit Meetings .............................................................................42

(SG-19) Documenting Inspection Findings ....................................................................44

(SG-20) Differing Professional Opinions (DPO).............................................................46

(SG-21) Integrated Safety Analysis (ISA) Overview (not for MC&A inspectors) .............48

(SG-22) Overview of 10 CFR Part 30 ............................................................................50

(SG-23) Overview of 10 CFR Part 40 ............................................................................51

(SG-24) Overview of 10 CFR Part 70 ............................................................................52

(SG-25) Overview of 10 CFR Part 71 ............................................................................53

(SG-26) Overview of 10 CFR Part 73 ............................................................................54

(SG-27) Overview of 10 CFR Part 74 ............................................................................55

(SG-28) Overview of 10 CFR Part 76 ............................................................................56

(SG-29) Overview of 10 CFR Parts 19 and 20...............................................................57

(SG-30) Licensee-Specific Regulatory Documents and Procedures (not for MC&A 

inspectors).....................................................................................................................59

(SG-31) Planning Fuel Facility Inspections ....................................................................61

(SG-32) Information Security .........................................................................................64

Basic-Level On-the-Job Training Activities ................................................................................66

(OJT-1) Facility Familiarization Tour with a Qualified Inspector .....................................68

(OJT-2) Licensee Performance Reviews (LPRs) ...........................................................71

(OJT-3) Inspection Activities..........................................................................................73

(OJT-4) Documenting Inspection Findings.....................................................................76

Basic-level Signature Cards and Certification ...........................................................................78

Form 1: Basic-Level Equivalency Justification...........................................................................82

Attachment 1....................................................................................................................... Att1-1
Issue Date: 06/27/14 1 1247 Appendix A

Introduction

The inspector training and qualification program requires that you complete a variety of 

activities, each of which is designed to help you learn information or practice a skill that will be 

important to performing the job of an inspector. When you have completed the entire 

qualification process, you will have demonstrated each of the competencies that describe a 

successful inspector. 

A competent inspector must develop competencies in the following four areas. More details of 

these areas are provided in Attachment 2 of IMC 1247:

Area 1 Understand the legal basis and the regulatory processes for achieving the NRC’s 

regulatory objectives.

Area 2 Understand the technology and apply concepts in various technical areas to allow the 

NRC to carry out its overall responsibilities.

Area 3 Master the techniques and skills needed to collect, analyze, and integrate information 

using a safety focus to develop a supportable regulatory conclusion.

Area 4 Have the personal and interpersonal skills to carry out assigned regulatory activities 

either individually or as a member of a team.

Program Organization

The inspector qualification process has two levels. The first level is the Basic-Level. Basic-level 

activities are designed to help you develop an awareness of the role of the Agency, your role as 

an inspector, and the technology you will be inspecting. Successfully completing the BasicLevel work will provide you with a context for meaningful learning during on-site work and a 

foundation for in-depth learning at the next level. After successfully completing the Basic-Level 

activities, you will receive Basic Inspector Certification with supervisory approval.

With a Basic Inspector Certification, you can be assigned to perform limited scope inspection 

activities under an appropriate degree of detailed oversight and supervision. The scope of your 

assigned inspection activities will be controlled by your immediate supervisor. Typically, your 

supervisor will review your work in detail at specified points during the course of your 

qualification activities. You can be asked to conduct inspection activities and develop 

independent conclusions which you will discuss with the lead inspector. You will not be 

expected to describe official agency positions on evolving issues, or act as an official agency 

spokesperson. The emphasis in the inspector qualification program is on competencies. There 

is no set time for completing each segment of the program nor do the on-the-job activities 

specify an exact number of times you must practice a task. You must practice until you can 

perform inspector tasks successfully in accordance with the evaluation criteria. Therefore, the 

time needed to complete all of the requirements to receive a Basic Inspector Certification will 

vary based on your previous education, training, and experience. Most employees will require 

several months to complete the work to be eligible to achieve Basic Inspector Certification.
Issue Date: 06/27/14 2 1247 Appendix A

The second level of the qualification process is the Proficiency-Level, which has two parts. One 

part is General Proficiency activities, which are designed to develop your interpersonal and 

inspection skills. The second part is Technical Proficiency activities, which are designed to 

develop your technical expertise in one of the inspector classifications. The final activity in the 

Proficiency Level is to appear before a Qualification Board. You may work on the General and 

Technical Proficiency Journals at the same time. Successful completion of the Qualification 

Board will ensure that you have a sufficiently integrated understanding of the role of the Agency, 

the inspection program, and your role as an inspector to act independently in the field. Upon 

successful completion of all Proficiency Level activities, including the Qualification Board, you 

will receive Full Inspector Qualification, with Regional Administrator or Office Director approval.

This is expected to be completed in two years. As a fully qualified Inspector you will be 

assigned the full scope of inspection activities to perform independently.

There are three Qualification Journals (Basic-Level, General Proficiency-Level and Technical 

Proficiency-Level) you will need to complete during the inspector qualification process. Each 

journal identifies the classroom requirements you must complete, and also provides the 

individual study activities and on-the-job learning activities you must complete. The signature 

cards and certifications, which you will use to document your progress as you move through the 

Basic- and Proficiency-Levels, can be found at the end of each journal. Each journal also 

contains a form to document the justification for accepting equivalent training or experience as a 

means of meeting an inspector qualification requirement. The signature cards, certification 

pages, and equivalency justification pages will become the permanent record of your completion 

of the inspector qualification program and will be placed in your official file.

Required Basic-Level Training Courses

These courses can be taken in any order, with the exception of G-104, which should be taken 

after you have completed the majority of the other work in this journal.

 Fuel Cycle Processes/Directed Self-Study (F-201 or F-201S)

 G-104, Expectations for Inspectors Seminar

 H-100, Site Access training 

 Ethics Training - Web-based as part of Individual Study Guide (SG)-3

 Allegations Training - Web-based as part of SG-5

 MCA-101DC, Intro to Nuclear Materials Control an Accountability (Required for 

MC&A inspectors only)

 MCA-104DB, Introduction to Measurement Programs (Required for MC&A 

inspectors only)

 MCA-110, Basics of Nuclear Materials Accountability (Required for MC&A 

inspectors only)
Issue Date: 06/27/14 3 1247 Appendix A

 MCA- 120, Basics of Nuclear Materials Control (Required for MC&A inspectors 

only)

 F-101S, Nuclear Criticality Safety

 (24 hrs) OSHA HAZWOPER or iLearn Health & Safety Training Suite1(See 

ML100200563, for details of equivalent iLearn training modules).

1

The 24hr OSHA HAZWOPER training requirement is intended for qualifying individuals who do not have adequate 

prior experience or training. Qualifying individuals with adequate experience must use the equivalency examination or 

equivalent experience justification process to alternatively opt for the iLearn Health & Safety training suite.

Interpersonal Skills Training

The Interpersonal Skills Training Courses listed below are not required until the 

Proficiency Level for Full Inspector Qualification. However, they can be taken at any 

time during the inspector qualification process. Successful completion of any of these 

courses should be documented on the Signature Card in the General Proficiency 

Qualification Journal.

 Effective Communication for NRC Inspectors

 Gathering Information for Inspectors through Interviews

Technical Training

Technical training may be started at this level, provided that the training does not identify the 

successful completion of the Basic-Level as a prerequisite

Basic-Level Individual Study Activities

The Individual Study Guides (SGs) are designed to direct and focus your efforts as you begin 

reviewing documents that will be important to the performance of your job. Each Study Guide 

begins with a purpose statement informing you of why the activity is important and how it 

relates to the job of an inspector. The level of effort has been noted so that you have an idea 

of how much effort should be expended in completing the activity. (Of course, the times are 

estimates. You may need a little more or a little less time - but use the level of effort as an 

estimate.) The evaluation criteria are listed up front so that you will review them first and 

better understand what you are expected to achieve as a result of completing the activity. Use 

the evaluation criteria to help you to focus on what is most important. The tasks outline in detail 

the things you must do in order successfully address the evaluation criteria. 

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

 SG-3 (Inspector Objectivity, Protocol, and Professional Conduct), and SG-5 

(Allegations) should be completed prior to going on a site visit to a licensee facility or 

inspection accompaniment. 
Issue Date: 06/27/14 4 1247 Appendix A

 The first three SGs should be completed early during qualification, especially for 

individuals new to the NRC. Becoming familiar with the Agency, the internal and 

external web sites, and your overall role as an inspector is important for successfully 

completing many of the remaining SGs. You should also become familiar with the 

content of the remaining SGs so that you can complete the associated activities as 

opportunities arise. 

 Complete all parts of each SG. 

 Your supervisor will act as a resource as you complete each SG. Your supervisor may 

also designate other fully qualified individuals to work with you as you complete the 

various SGs. Discuss any questions you may have about the content of anything you 

read with your supervisor or the person designated as a resource. 

 You are responsible for keeping track of what tasks you have completed. Be sure to 

complete all the tasks in each SG before meeting with your supervisor or the person 

designated as a resource for evaluation.
Issue Date: 06/27/14 5 1247 Appendix A

Basic-Level Individual Study Guides
Issue Date: 06/27/14 6 1247 Appendix A

Basic-Level Individual Study Guide

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

PURPOSE: The purpose of this activity is to familiarize you with the regulatory history 

of the commercial nuclear industry and the evolution of the regulatory 

framework under which today’s NRC staff functions. During this activity 

you will review the organization of the agency and its staff and the 

relationships between the major offices. This SG should be completed 

early in the qualification process for newly hired staff. 

COMPETENCY 

AREA: REGULATORY FRAMEWORK

LEVEL OF 

EFFORT: 8 hours

REFERENCES: 1. Title 10 of the Code of Federal Regulations (10 CFR)

2. NUREG-1350, “USNRC Information Digest” 

3. NUREG/BR-0175, “A Short History of Nuclear Regulations, 

1946-2009,” Rev. 2, October 2010

4. “Our History” http://www.nrc.gov/about-nrc/history.html

EVALUATION 

CRITERIA: Upon completion of this activity, you will demonstrate your understanding 

of the Agency’s regulatory history and development of the commercial 

applications of nuclear energy, by successfully doing the following:

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

amended.

2. Discuss the major regulatory impacts of the Energy Reorganization 

Act of 1974, as amended. 

3. Outline the major offices and briefly describe the function of the 

following: the Commission; the Office of the Inspector General; 

Office of the Secretary of the Commission (SECY); the Atomic 

Safety Licensing Board; the Advisory Committee on Reactor 

Safeguards; Commission staff and program offices, including Chief 

Information Officer, Chief Financial Officer, Executive Director for 

Operations.

4. Describe your Region’s or Office’s organization and key 

management positions.
Issue Date: 06/27/14 7 1247 Appendix A

5. Discuss the relationship between NRC and the Department of 

Energy (DOE).

TASKS: 1. Obtain the reference material listed above. Some documents may 

be available through the regional public affairs office. Electronic 

copies can be found on the NRC External Website in the Electronic 

Reading Room.

2. Read the reference material to gain an understanding of the 

principles discussed in the evaluation criteria.

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

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-1
Issue Date: 06/27/14 8 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-2) Inspector Objectivity, Protocol, and Professional Conduct

PURPOSE: The purpose of this activity is to acquaint you with the NRC’s expectations 

of inspector conduct and protocol. Objectivity and professionalism are 

essential to the Agency fulfilling its goals of protecting public health and 

safety. Inspector conduct is a vital component of the NRC’s credibility as 

an effective regulator. As a qualified inspector, you will often be 

representing the Agency in interactions with licensee management and 

workers, local officials, media, and the public. This SG will help you 

understand NRC procedures, policies, and expectations related to 

inspector conduct. This activity will also help you develop the professional 

conduct that you will need to be an effective NRC inspector. You must 

complete this SG prior to going on a site visit or inspection 

accompaniment.

COMPETENCY 

AREAS: INSPECTION

SELF-MANAGEMENT 

LEVEL OF 

EFFORT: 8 hours

REFERENCES: 1. MD 7.5, “Ethics, Counseling and Training”

2. Inspection Manual Chapter (IMC) 1201, “Conduct of Employees”

3. NUREG/BR-0075, “Field Policy Manual,” (ML041170225) Policy 

No.10, “Conduct of Employees” and Policy No.13, “Witnessing of 

Unsafe Situations”

4. Regional or Office guidance related to inspector/employee conduct

(Regional Office Instructions [ROI] are available on the region’s 

SharePoint site.) 

EVALUATION

CRITERIA: Upon completion of the tasks in this activity, you will demonstrate your 

understanding of proper NRC inspector conduct during inspections at 

nuclear facilities by successfully addressing the following:

1. What are the expectations of NRC employees regarding: 

a. alcohol and illegal drugs?

b. official business and personal relationships?

c. business partnerships with licensees?

d. work habits and professional demeanor?
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2. Describe the restrictions regarding the following specific employee 

activities which could result in a loss of impartiality (or the 

perception thereof):

a. accepting transportation from a licensee

b. attending social functions essentially limited to licensee and 

contractor attendance 

c. coffee clubs, cafeterias, credit unions

d. property and neighborhood relationships

e. community activities

f. employment of spouse and children 

3. Explain the Office of Government Ethics (OGE) standards of ethical 

conduct for the following areas as applicable to NRC inspectors:

a. gifts from outside sources

b. gifts between employees

c. conflicting financial interests 

d. impartiality in performing official duties

e. seeking other employment

f. misuse of power

g. outside activities

4. Explain the actions expected of NRC personnel when they identify 

unsafe work practices or violations which could lead to an unsafe 

situation. 

5. Describe the overall requirements used by NRC managers to verify 

the performance and objectivity of individual inspectors and team 

leaders during on-site activities at fuel facilities.

6. Describe how NRC managers with responsibility for oversight of 

inspectors assess the performance and objectivity of those 

inspectors. Identify the specific areas that NRC management 

should focus on in assessing inspectors. 

7. Describe the expectations for inspector conduct in a fuel facility 

control room during normal, transient, and emergency conditions. 

Identify any differences among facilities.

8. Describe what NRC employees are supposed to do if they receive 

an allegation of improper action by an NRC staff member or 

contractor involved in inspection or other oversight activities. 

TASKS: 1. Complete the web-based Ethics Training. To access the training, 

select Ethics on NRC’s Internal Website. Print the completion 

record at the end of the on-line ethics course. This must be 

presented to your supervisor as evidence that you have completed 

the course.
Issue Date: 06/27/14 10 1247 Appendix A

2. Read the material listed in the Reference section of this activity. 

3. Identify, locate, and review your Region’s or Office’s policy guidance 

on inspector/employee conduct. Some of this guidance may be 

located in directives which describe the duties and responsibilities of 

specific positions (e.g., resident staff or project engineer guidance). 

You should closely review the guidance applicable to your position. 

For assistance with identifying and locating these materials see your 

technical mentor or branch chief.

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

designated ethics expert. Demonstrate your understanding of the 

NRC’s expectations of inspector conduct and protocol by explaining 

the answers to the questions listed in the Evaluation Criteria section 

of this activity. Regional Counsel is considered one of the ethics 

experts.

5. Meet with your supervisor or other designated ethics expert to 

discuss the evaluation criteria and any questions you may have as a 

result of this activity. 

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-2
Issue Date: 06/27/14 11 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-3) Fitness for Duty (FFD) Rule

PURPOSE: The purpose of this activity is to provide you with an understanding of the 

Fitness for Duty Rule. NRC licensees authorized to possess (Category 1 

fuel facilities) use or transport formula quantities of strategic special 

nuclear material are required to have Fitness-for-Duty programs which 

include drug and alcohol testing procedures and other measures to assure 

that the licensee staff are capable of operating the facilities safely. 

COMPETENCY

AREAS: INSPECTION 

SELF-MANAGEMENT 

LEVEL OF 

EFFORT: 3 hours

REFERENCES: 1. Enforcement Manual, Chapter 7.15, “Enforcement Actions Involving 

Fitness-For-Duty (FFD)”

2. NRC External Website

3. 10 CFR Part 26

EVALUATION

CRITERIA: Upon completion of this activity, you will demonstrate your understanding 

of the NRC’s Fitness-for-Duty Rule by successfully addressing the 

following: 

1. State the purpose of the NRC’s Fitness for Duty Rule and which 

licensees are required to meet this rule.

2. Explain why the Fitness or Duty Rule (10 CFR Part 26) is not 

considered an “unwarranted” invasion of privacy and how licensees 

implement the requirements.

3. Discuss the enforcement policy related to violations of the Fitness 

for Duty Rule.

TASKS: 1. On the NRC’s External Website, find information on “fitness for 

duty.”

2. Read the information on the history of the NRC’s Fitness for Duty 

Program.

3. Read the information on the Fitness for Duty Rule and Drug Testing 

Program guidance provided on the NRC’s External Website.
Issue Date: 06/27/14 12 1247 Appendix A

4. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section. 

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-3
Issue Date: 06/27/14 13 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-4) Allegations

PURPOSE: The purpose of this activity is to provide you with the opportunity to 

practice handling an allegation from receipt of the allegation to final 

disposition. This Study Guide will help you to effectively interact with 

individuals bringing concerns to the NRC and to appropriately respond to 

those concerns. You must complete this SG prior to going on a site visit or 

inspection accompaniment.

COMPETENCY 

AREAS: INSPECTION 

SELF-MANAGEMENT 

COMMUNICATION

LEVEL OF 

EFFORT: 12 hours

REFERENCES: 1. MD 8.8, “Management of Allegations”

2. Regional Guidance or Office Guidance (if applicable)

3. NRC Form 613, “Disclosure of Alleger’s Identity”

4. Allegation Guidance Memorandum 2004-002 (ML042150016)

5. Region or Office Allegation Coordinator

6. Office of Enforcement internal web page

EVALUATION

CRITERIA: You will demonstrate your understanding of how to receive, process, and 

document an allegation by successfully completing allegation processing 

activities. 

TASKS: 1. Complete the web-based training module on Allegations. Print the 

completion certificate at the end of the on-line allegations training. 

You must present the certificate to your supervisor as evidence that 

you have successfully completed the course.

2. Read the reference documents listed above for allegations.

3. Attend at least (2) allegation review boards (ARB) which include 

both fuel facility and reactor allegations on the agenda. For staff 

located external to the regional office, participation in the ARB may 

be via teleconference.
Issue Date: 06/27/14 14 1247 Appendix A

4. Meet with the Allegation Coordinator and have him/her brief you on 

the allegation process and the Allegation Coordinator’s role in the 

process.

5. Review several allegation files (for closed allegations) and 

familiarize yourself with the documentation to the concerned 

individual. Due to limited resources staff located external to the 

regional office should review a minimum of one file.

6. Review how the original concern was brought to the NRC’s 

attention.

7. Working with your supervisor or other designated individual, 

simulate receiving an allegation and complete the required 

documentation to have the concern presented at an ARB meeting. 

Discuss with your supervisor a proposed inspection/review of the 

simulated allegation.

8. Discuss with your supervisor the options available to the NRC to 

follow up on an allegation and the circumstances when each are 

appropriate.

9. Obtain the inspection results and/or licensee review information for 

a concern that has been referred. Discuss the precautions and 

limitations associated with referrals with your supervisor or the 

Allegation Coordinator.

10. Compare the inspection results or licensee investigation results to 

the original concern. Discuss with your supervisor how the 

inspection results addressed the concerns.

11. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-4
Issue Date: 06/27/14 15 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-5) NRC’s Response to an Emergency at a Nuclear Facility

PURPOSE: The purpose of this activity is to acquaint you with the actions taken by the 

NRC in response to an emergency that may occur at a nuclear facility. 

Emergency response is vital to the Agency, fulfilling one of its primary 

mandates - protecting the health and safety of the public. As a fully 

qualified inspector, you will be trained to perform specific emergency 

response activities. This SG will help you to understand how the NRC 

meets its emergency response mandate, and will begin to build the 

knowledge you will need later to successfully perform your assigned 

emergency response responsibilities.

COMPETENCY

AREA: EMERGENCY RESPONSE

LEVEL

OF EFFORT: 12 hours

REFERENCES: 1. NRC Internal Website - Program Office - Nuclear Security and 

Incident Response (NSIR)

2. MD 8.2, “NRC Incident Response Program”

3. Regional Guidance or Office Guidance (if applicable)

4. NUREG 0728, “NRC Incident Response Plan” (ML050750552)

(Note: This NUREG is revised periodically to reflect changes to the 

agency’s activities. Be sure to obtain the most recent version.)

5. NRC External Website

EVALUATION

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

understanding of the role of the Agency and your Region or Office in 

protecting public health and safety when responding to emergency 

situations at a nuclear facility by successfully addressing the following:

1. Identify the types of emergency classifications and give examples of 

when the different classifications would be declared.

2. Identify the different modes of NRC emergency response and 

describe the purpose of each mode.

3. Discuss the capabilities (e.g., communications, information 

technology, etc.) provided in the Headquarters, Regional, and 

on-site emergency response facilities.
Issue Date: 06/27/14 16 1247 Appendix A

4. Recognizing that these positions may not apply to all nuclear 

facilities and that the NRC will act with all available resources to 

respond to an emergency, identify the responsibilities of the 

following during a declared emergency event:

a. Resident staff

b. Region-based staff

c. Headquarters Staff

d. Headquarters Operations Officer

e. Licensee

f. State and Local officials

g. Site team

h. Base Team

5. Discuss the responsibilities/roles of region-based inspectors when 

onsite when an emergency occurs.

TASKS: 1. Explore all aspects of NSIR’s organization presented on the NRC’s 

Internal Website.

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

response.

3. Review the NRC Incident Response Plan in order to address the 

evaluation criteria. Go to Emergency Preparedness on the NRC 

External Website and become familiar with the available 

information.

4. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-5
Issue Date: 06/27/14 17 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-6) The Enforcement Process and the Backfit Process

PURPOSE: The purpose of this activity is to provide you with an overview of the NRC’s 

process for enforcing the Agency’s rules and regulations. This SG will 

assist you in learning, understanding, and using the Agency’s enforcement 

process for a wide variety of circumstances. It will also provide you with 

information on the internal activities used by the NRC for processing 

enforcement actions. 

COMPETENCY 

AREAS: REGULATORY FRAMEWORK 

ASSESSMENT

ENFORCEMENT 

LEVEL 

OF EFFORT: 24 hours

REFERENCES: 1. Enforcement Policy on NRC External Web site

2. Enforcement Guidance Documents

3. Office of Enforcement Annual Report for most recent year

4. Regional Guidance or Office Guidance (if applicable)

5. Technical Guidance, NOEDGAS, IMC 9900, “Operations - Notice of 

Enforcement Discretion for Gaseous Diffusion Plants”

6. Office of NMSS Policy and Procedure Letter 1-82, “10 CFR Part 70 

Backfit Guidance” (ML052280266)

EVALUATION

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

understanding of the Agency’s enforcement policy by successfully 

completing the following items:

1. State the purpose of the NRC’s enforcement policy.

2. Describe the legal basis from which the NRC derives its 

enforcement authority. 

3. Compare and contrast the different severity levels of violations.
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4. Identify the method used to determine the significance of a violation.

5. Identify the method used to assign a severity level to a violation.

6. State the purpose of an enforcement panel.

7. State the purpose of a pre-decisional enforcement conference.

8. Discuss the purpose and use of enforcement actions against an 

individual.

9. Discuss the purpose of civil penalties and how to determine the 

amount of the penalty.

10. Recognize the purpose of the escalated enforcement process flow 

chart.

11. Recognize the purpose of the different types of Orders and when 

they are used.

12. Recognize the purpose of an Exercise of Discretion.

13. Recognize the purpose of a Notice of Enforcement Discretion.

14. Define a backfit and what the attributes of a backfit are.

15. Discuss the NMSS Backfit Process Flow-chart.

TASKS: 1. Review the overall enforcement process outlined on the NRC 

External Website by selecting “Enforcement” from the list under 

“Public Meetings & Involvement.”

2. Locate the Enforcement Annual Reports in the Electronic Reading 

Room. Read the Introduction and Overview of the Office of 

Enforcement Annual Report for the most recent fiscal year.

3. Locate the Enforcement Manual on the NRC External Website. 

Bookmark it for future use and review the table of contents.

4. Review your Region’s or Office’s guidance on implementing the 

enforcement policy. 

5. Meet with the enforcement specialist in your Region or Office to 

discuss the current enforcement guidance.
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6. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

7. Review the Office of NMSS Policy and Procedure Letter 1-82, “10 

CFR Part 70 Backfit Guidance” and your Region’s guidance on 

implementing the Backfit policy.

8. Observe an Enforcement Panel Meeting.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG- 6
Issue Date: 06/27/14 20 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-7) The Office of Investigations;

PURPOSE: The purpose of this activity is to familiarize you with the Office of 

Investigations (OI). As a fully qualified inspector you may be assigned to 

work with the Office of Investigations by providing technical support. This 

SG will help you to understand the role of OI, how it functions, and what 

your responsibilities will be if you are assigned to assist OI during the 

conduct of an investigation.

COMPETENCY 

AREAS: INSPECTION 

REGULATORY FRAMEWORK

LEVEL

OF EFFORT: 1 hour

REFERENCES: 1. MD 9.8, “Organization and Functions, Office of Investigations”

2. Regional Guidance or Office Guidance (if applicable)

3. Office of Investigations Website on the NRC External Website

EVALUATION

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

understanding of the purpose and function of OI by successfully 

addressing the following: 

1. State the function of OI.

2. Describe the organizational structure of OI. 

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

4. Describe the authorities of an OI investigator.

TASKS: 1. Review MD 9.8.

2. Study the Office of Investigations website and associated 

organizational charts.
Issue Date: 06/27/14 21 1247 Appendix A

3. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-7
Issue Date: 06/27/14 22 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-8) Exploring the Fuel Facility Inspection Program

PURPOSE: The purpose of this Study Guide is for you to obtain a broad overall 

knowledge of the fuel fabrication facility program. Upon completion of this 

Study Guide, you will have the necessary background to go into a more 

detailed study of the inspection program, and learn the specifics of what an 

inspector does, why it is done, and how it is done.

COMPETENCY 

AREAS: INSPECTION 

REGULATORY FRAMEWORK

LEVEL 

OF EFFORT: 30 hours

REFERENCES: 1. IMC 2600, “Fuel Cycle Facility Operational Safety and Safeguards 

Inspection Program”

2. IMC 2630, “Gaseous Diffusion Plant Operational Safety and 

Safeguards Inspection Program”

3. IMC 2601, “Team Assessments of Fuel Cycle and Materials 

Licensees”

4. IMC 2604, “Licensee Performance Review”

5. IMC 2605, “Decommissioning Procedures for Fuel Cycle and 

Materials Licensees”

6. IMC 2681, “Physical Protection and Transport of SNM and 

Irradiated Fuel Inspections of Fuel Facilities”

7. IMC 2683, “MC&A Inspection of Fuel Cycle Facilities”

8. IMC 0616, “Fuel Cycle Safety and Safeguards Inspection Reports”

9. IMC 0300, “Announced and Unannounced Inspections”

10. IMC 0620, “Inspection Documents and Records”

11. IMC 0330, “Guidance for NRC Review of Licensee Draft 

Documents”

12. Regional Guidance or Office Guidance (if applicable)
Issue Date: 06/27/14 23 1247 Appendix A

EVALUATION

CRITERIA: After completing this Study Guide, you will demonstrate your 

understanding of the fuel facility inspection program by successfully doing 

the following: 

1. State when the NRC starts implementing the operating inspection 

program at a site, and how long it remains in effect.

2. State the three major program elements of the fuel facility inspection 

program and their specific functions. Identify how often resources 

are assigned to each program element.

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

4. State the purpose of providing an inspection hours estimate in each 

procedure.

5. State the purpose and content of inspection reports.

6. State the general policy regarding an inspector's review and 

handling of non-NRC generated documents.

7. State the policy for announced and unannounced inspections and 

for controlling major inspection activities at a licensee's site.

8. Describe in general terms the implementation of the NRC's fuel 

facility assessment program.

 

TASKS: 1. Locate the referenced IMCs. Read each in detail and scan the 

appendices to become aware of the organization of the inspection 

program including its major parts.

2. Locate IMC 0616, “Fuel Cycle Safety and Safeguards Inspection 

Reports.” Read the manual chapter to obtain a general 

understanding of the objectives of an inspection report; become 

familiar with the terminology, definitions, and the format of an 

inspection report; and have a general understanding of how 

inspection “findings” are addressed.

3. Locate IMC 0330, “Guidance For NRC Review of Licensee Draft 

Documents” and IMC 0620, “Inspection Documents and Records.” 

NOTE: All inspection documents identified below can be obtained from the 

Electronic Reading Room on the NRC’s Website.
Issue Date: 06/27/14 24 1247 Appendix A

Scan the two manual chapters to obtain a general knowledge of the 

types of documents that will be encountered during an inspection 

and the NRC policy regarding how these documents should be 

handled.

4. Locate IMC 0300, “Announced and Unannounced Inspections.” 

Scan the manual chapter and determine the difference between 

announced and unannounced inspections and when each would be 

used. 

5. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-8
Issue Date: 06/27/14 25 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-9) Exploring the Nuclear Materials Events Database (NMED)

PURPOSE: The purpose of this activity is to introduce you to an available resource you 

might find useful as an inspector.

COMPETENCY

AREAS: INFORMATION TECHNOLOGY 

INSPECTION 

COMMUNICATION

LEVEL

OF EFFORT: 1 Hour

REFERENCES: NMED Internal Website

EVALUATION

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

supervisor or other Agency personnel as a resource as you complete this 

activity.

TASKS: 1. Open your web browser. Locate the NMED website on the NRC 

internal webpage. Register for access for the NMED database.

2. Search events for three facilities and read in detail three reports for 

each facility.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-9
Issue Date: 06/27/14 26 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-10) Incident Inspection Team (IIT) Activities, Augmented Inspection 

Team (AIT), and Special Inspection Team (SIT) 

PURPOSE: The purpose of this activity is to familiarize you with the actions taken by 

the NRC in response to incidents that do not require activation of the NRC 

Incident Response Plan. As a fully qualified inspector, you may be 

assigned to an IIT, AIT or SIT inspection activity. This SG will help you to 

understand how the NRC implements this program, what your 

responsibilities will be if you are assigned to a team, what the differences 

are between an IIT, AIT and an SIT, and how this program differs from the 

NRC Incident Response Program.

COMPETENCY 

AREA: INSPECTION

LEVEL 

OF EFFORT: 6 hours

REFERENCES: 1. Regional Guidance or Office Guidance (if applicable)

2. MD 8.3, “NRC Incident Investigation Program”

3. Inspection Procedure (IP) 93800, “Augmented Team Inspection”

4. IP 93812, “Special Inspection”

EVALUATION

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

understanding of the NRC’s IIT, AIT and SIT inspection activities by 

successfully addressing the following:

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

2. Describe what an IIT is and its purpose.

3. Describe what an AIT is and its purpose.

4. Describe what a SIT is and its purpose.

5. Describe how the Incident Investigation Program is different than 

the Incident Response Program.
Issue Date: 06/27/14 27 1247 Appendix A

TASKS: 1. Review MD 8.3. MDs can be found on the NRC Internal Website.

2. Explore all aspects of the Incident Investigation Program presented 

on the NRC’s Internal Website. 

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

activities.

4. Meet with your supervisor, or the person designated to be your 

resource for this activity, and discuss the answers to the questions 

listed under the Evaluation Criteria.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-10
Issue Date: 06/27/14 28 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-11) Understanding How the Commission Operates

PURPOSE: The NRC Commissioners establish the approach the NRC staff will use to 

address a particular need of agency importance. Examples include the 

Commission policy statement regarding NRC staff use of Probabilistic Risk 

Analysis in the decision making process and resident inspector staffing 

requirements at power reactor facilities. Since Commission decisions can 

have a significant impact on the conduct of inspection activities, inspectors 

should be familiar with the direction-setting and policy-making activities of 

the Commission. 

COMPETENCY 

AREA: REGULATORY FRAMEWORK

LEVEL 

OF EFFORT: 4 hours

REFERENCES: NRC External Website

EVALUATION

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

1. Locate Commission-related documents on the internal and external 

agency websites.

2. Discuss how staff requirements memoranda are used by the 

Commission to direct the staff. 

TASKS: 1. Read about the Commission’s “Policy Making” activities under the 

heading of “About NRC.”

2. Read about the different kinds of decision documents issued by the 

Commission.

3. Find and read Chairman Meserve’s speech given on 12/11/2001 

about “NRC Programs and Processes for Safety Oversight.”

4. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-11
Issue Date: 06/27/14 29 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-12) Organization and Content of the NRC Inspection Manual

PURPOSE: The purpose of this activity is to introduce you to the contents and 

organization of the NRC Inspection Manual, and to how those contents 

relate to inspection programs, particularly the operating fuel facilities 

inspection program. As an inspector, you will be implementing an 

inspection program that is defined by a manual chapter and implemented 

by its associated inspection procedures. This SG will help you to identify 

and locate inspection procedures that are used in the fuel facilities 

inspection program and to recognize the limitations associated with 

applying the guidance contained in the procedures. This activity will also 

introduce you to manual chapters that establish policy which will govern 

some of your actions in implementing the fuel facilities inspection program.

COMPETENCY 

AREAS: REGULATORY FRAMEWORK 

INSPECTION

LEVEL 

OF EFFORT: 8 hours

REFERENCES: 1. NRC Internal Home Page - Program Office - NMSS

2. NRC External Website

3. IMC 0040, “Preparing, Revising and Issuing Documents for the NRC 

Inspection Manual”

EVALUATION

CRITERIA: After completing this activity you will demonstrate your understanding of 

the content and organization of the NRC Inspection Manual, and the 

limitations associated with applying the guidance contained in the manual 

by successfully doing the following: 

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

2. State the purpose of each of the following types of documents 

located in the NRC Inspection Manual:

a. Manual Chapters

b. Inspection Procedures

c. Temporary Instructions

d. Change Notices (CN)

3. Describe the numbering/identification process used for the 

documents in item 2 above.
Issue Date: 06/27/14 30 1247 Appendix A

4. Demonstrate the ability to locate copies of inspection documents 

contained in the NRC Inspection Manual on the internal and 

external websites.

TASKS: 1. Locate IMC 0040, “Preparing, Revising and Issuing Documents For 

The NRC Inspection Manual” from the Electronic Reading Room on 

the NRC External Website.

2. Read in detail the first six sections of IMC 0040, and scan the 

remaining portions of the document.

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

4. Scan the Table of Contents, noticing in particular the following:

a. The date of issuance and latest change notice entered in the 

Table of Contents.

b. Title associated with Part numbers.

c. The number associated with each document.

d. The issue date and CN number associated with each 

document.

5. Locate the section of the NRC Inspection Manual entitled “Technical 

Guidance.”

6. Scan the titles of the individual guidance documents.

7. Read the inspection procedures that apply to your inspector 

specialty area.

8. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-12
Issue Date: 06/27/14 31 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-13) NRC Interagency Agreements

PURPOSE: While conducting fuel facility inspection activities, inspectors may identify 

important issues that could adversely affect health and safety but are not 

under the direct regulatory authority of the NRC. Examples include 

industrial safety items, such as loose asbestos insulation, and other 

issues, such as defective radioactive waste shipping trailers. Conversely, 

other federal and state agencies may identify issues of concern to the 

NRC. To ensure these items are addressed by the proper regulatory 

authority, the NRC has established agreements, called memoranda of 

understanding, with other federal and state agencies which outline how 

these issues should be addressed. 

This activity will introduce you to the major interagency agreements that 

the NRC has entered into and familiarize you with the regional or office 

points-of-contact that have been established for other federal and state 

agencies. It will also familiarize you with the inspection procedure which 

implements the Occupational Safety and Health Administration (OSHA) 

memorandum of understanding (MOU).

COMPETENCY 

AREAS: INSPECTION 

REGULATORY FRAMEWORK

LEVEL OF 

EFFORT: 4 hours

REFERENCES: 1. IMC 1007, “Interfacing Activities Between Regional Offices of NRC 

and OSHA”

2. Regional Guidance or Office Guidance (if applicable)

3. MOU Section of the CFR Manuals

4. IP 93001, “OSHA Interface Activities”

5. Volume 61 of the Federal Register (61 FR) Page 40249 

“Memorandum of Understanding with Respect to the Gaseous 

Diffusion Plants,” Published 81196, Effective 7126196

6. MOU with DOE on Cooperation Regarding the Gaseous Diffusion 

Plants

7. NRC Internal Website
Issue Date: 06/27/14 32 1247 Appendix A

EVALUATION

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

1. Locate the active MOU used to coordinate between the NRC and 

other federal or state agencies.

2. Explain, in general terms, how the NRC coordinates with state and 

other federal agencies on matters that are not under the regulatory 

authority of the NRC. 

3. Explain the actions required by an NRC inspector when he/she 

identifies an occupational health and safety issue at a fuel facility. 

Be able to state where the guidance for these actions is provided. 

4. Identify who, in your Region or Office, is the point of contact for 

coordinating NRC activities with the following federal agencies:

a. OSHA

b. Department of Transportation (DOT)

c. Federal Emergency Management Administration (FEMA)

d. DOE

e. State Agencies

f. Federal Bureau of Investigation (FBI)

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

or Office. Electronic versions can be found on the NRC Internal 

Website by accessing “Information Resources”, then “Enforcement 

Manual”. 

2. Review the MOUs to develop a general understanding of the 

agreements between the NRC and the following federal agencies: 

OSHA, DOT, FEMA, DOE, and FBI with particular attention to the 

OSHA MOU. For Regional inspectors, review any MOUs between 

the NRC and the states in your regions. Determine the major 

services or resources available to be coordinated between the NRC 

and these agencies.

3. Review IMC 1007 and IP 93001 to develop a general understanding 

of how the MOU with OSHA is implemented during an inspection.

4. Identify the designated liaison for those agencies and state 

agencies in your Region or Office.

5. Meet with your supervisor, an experienced qualified inspector, or the 

above liaison representative, and discuss two fuel facility issues that 

involved interface with other federal agencies or state agencies. 

Discuss how the issues were addressed in the context of the 

applicable NRC MOU and office guidance. 
Issue Date: 06/27/14 33 1247 Appendix A

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

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-13
Issue Date: 06/27/14 34 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-14) Interaction with the Public

PURPOSE: The purpose of this activity is to acquaint you with the expectations of NRC 

inspectors when dealing with members of the public. Responsiveness and 

openness are essential to the Agency fulfilling its goal of enhancing public 

confidence. As a qualified inspector, you will have many opportunities to 

interact with the public. This SG will help you understand NRC 

procedures, policies, and available resources related to interaction with the 

public. 

COMPETENCY 

AREAS: COMMUNICATION 

SELF-MANAGEMENT

REGULATORY FRAMEWORK

LEVEL 

OF EFFORT: 6 hours

REFERENCES: 1. NUREG/BR 0215, “Public Involvement in the Nuclear Regulatory 

Process” Rev. 1

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

3. MD 3.4, “Release of Information to the Public”

4. MD 3.5, “Attendance at NRC Staff Sponsored Meetings”

5. MD 8.11, “Review Process for 10 CFR 2.206 Petitions”

6. NRC Internal Website, Communication and Public Meetings

7. Regional or Office guidance related to interaction with the public 

(Conduct of public meetings, Response to inquiries from the public, 

Release of Information to the Public). 

NOTE: NUREG references in this activity that cannot be found on the NRC External

 Website may be requested from your Public Affairs Officer (PAO).

EVALUATION

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

understanding of proper interaction with the public by successfully 

addressing the following: 
Issue Date: 06/27/14 35 1247 Appendix A

1. Describe the expectations of NRC employees regarding answering 

telephone calls that involve inquiries from members of the public.

2. Name some resources available to assist you in responding to the 

following types of public inquiries:

a. General questions about NRC organization and functions

b. General questions about a technical topic such as radioactive 

particles

c. Questions about a licensed facility’s performance or an NRC 

inspection 

d. Questions on a specific technical issue of current interest 

3. Describe what is meant by “Plain Language.” Identify where 

examples and guidance related to plain language can be found.

4. Explain what a “2.206 petition” is. Describe how it is handled by the 

NRC. 

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

6. Describe how other public inquiries, including “non-allegations,” are 

handled in your office.

7. Describe what an NRC employee should do if he/she is requested 

to speak (on an NRC-related topic) at a meeting such as the Lions 

Club or local chapter of the American Nuclear Society.

8. Identify what types of NRC meetings are generally open to the 

public. List some that are not usually open to the public. 

9. Describe how members of the public can find out about NRC public 

meetings. Discuss the expectations on timeliness of meeting 

notices and summaries.

10. Describe the restrictions regarding the release of information to the 

public including specific types of information that are not to be 

released. 

TASKS: 1. Review the information presented by the NRC Public Affairs Office 

on interactions with the public on the NRC’s Internal and External 

Websites. Review the information available on the external NRC 

website related to general topics of interest to the public such as the 

Public Involvement, School Programs, and the Technical 

Information Papers. 

2. Visit the NRC’s “Plain Language Action Plan” on the internal 

website, including some of the links to resource materials. 
Issue Date: 06/27/14 36 1247 Appendix A

3. Visit the Communication and Public Meetings page on the NRC 

Internal Web site. Review the public meeting policy and checklist.

4. Locate and review the material specifically listed in the Reference 

section of this activity. The NMSS Project Manager’s Handbook 

and NUREG/BR-0200, Public Petition Process may also be 

beneficial in understanding the processing of 2.206 petitions and 

“ticketed items.”

5. Review the steps in the rulemaking process on the NRC’s External 

Website under “Public Meetings & Involvement.”

6. Identify, locate, and review your region’s policy guidance on staff 

receipt and processing of inquiries from the general public. Meet 

with your PAO or supervisor and discuss the expectations of an 

inspector who receives an inquiry. 

7. Meet with your supervisor and discuss what types of public 

interactions you are likely to encounter and to ensure that you 

understand what you are to do. Then, discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-14
Issue Date: 06/27/14 37 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-15) Contacts with the Media

PURPOSE: The purpose of this activity is to provide you with an understanding of the 

importance of communicating with the public and media in an accurate, 

clear, and non-complex manner and within the limitations of agency 

guidance for the release of information to the public. This supports one of 

the NRC’s main objectives of increasing public confidence. This Study 

Guide will provide you information on the implementation of the guidance 

on contacts with the public and media.

COMPETENCY 

AREAS: COMMUNICATION 

SELF-MANAGEMENT

LEVEL 

OF EFFORT: 4 hours

REFERENCES: 1. NUREG/BR-0202, Rev. 3, “Guidelines for Interviews with the Media” 

(ML050270289)

2. MD 3.4, “Release of Information to the Public”

3. NUREG/BR-0224, Rev. 1, “Guidelines for Conducting Public 

Meetings” (ML061710199)

4. Regional or Office Instructions establishing the policy and process 

for receipt of inquiries from the public/media

EVALUATION

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

understanding of the guidance on contacts with the media by successfully 

addressing the following:

1. Discuss the NRC goal of improving public confidence and how good 

communication with the media contributes to achieving that goal.

2. Identify the importance of communicating with the media in a 

manner to build trust.

3. Discuss the importance of the following with regard to 

communication with the media: agency goals, onsite inspection 

staff, safety focus, risk informed, trustworthiness, limited knowledge 

on the subject.

4. Discuss the importance of planning ahead and preparing well for 

communication with the media.
Issue Date: 06/27/14 38 1247 Appendix A

5. Discuss the importance of controlling your speech, including what 

words not to use, not speculating, not guessing, not answering the 

“what if” questions, not giving your opinion or repeating any other 

person’s opinion, and not talking “off the record”.

6. Describe the policy and process for communicating to management 

any inquiries from or unplanned interactions with the news media 

and other members of the public.

TASKS: 1. Meet with the regional PAO or someone from Office of Public Affairs 

at Headquarters to discuss the guidelines for interviews with the 

news media.

2. Explore all aspects of the importance of appropriate, accurate, and 

clear communications with the public provided on the NRC’s Web 

Site.

3. Review the agency guidance on how to communicate with the public 

and the media.

4. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-15

NOTE: NUREG references in this activity that cannot be found on the

 NRC External Website may be requested from your PAO.
Issue Date: 06/27/14 39 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-16) Institute of Nuclear Power Operations (INPO) and Nuclear Energy 

Institute (NEI)

PURPOSE: The purpose of this activity is to familiarize you with the appropriate 

protocols when reviewing documentation generated by INPO or NEI. It will 

also familiarize you with the proper conduct when INPO is at a facility.

COMPETENCY 

AREA: REGULATORY FRAMEWORK

SELF-MANAGEMENT

LEVEL 

OF EFFORT: 1 hour

REFERENCES: 1. NUREG/BR-0075, Rev. 4, “NRC Field Policy Manual” (Available on 

the NRC Internal Website under Information Resources or 

ML041170225)

2. IMC 0616, “Fuel Cycle Safety and Safeguards Inspection Reports”

EVALUATION 

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

demonstrate your general understanding of the appropriate protocols and 

conduct when reviewing INPO or NEI and when conducting an inspection 

when INPO is at a facility by discussing the following:

1. Specify when it is appropriate to refer to INPO documents in an 

NRC inspection report or other agency documentation.

2. Identify the circumstances under which are you allowed to perform 

an inspection of an NEI initiative.

3. Identify the accepted protocol for an NRC inspector attending an 

INPO meeting held with licensee personnel.

TASKS: 1. Review Field Policy Manual - Policy No. 9, “NRC Review of Institute 

of Nuclear Power Documents.”

2. Review Field Policy Manual - Policy No. 14, “NRC Interaction with 

the Nuclear Energy Institute.”

3. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-16
Issue Date: 06/27/14 40 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-17) Freedom of Information Act and the Privacy Act

PURPOSE: The purpose of this activity is to provide you with an understanding of the 

how the NRC implements the FOIA and the Privacy Act while guarding 

against the inadvertent and unauthorized release of information. While it is 

very important to communicate with the public, communication must be 

done within the limitations of agency guidance for the release of 

information to the public. This supports one of the NRC’s main objectives 

of increasing public confidence. This SG will provide you information on 

the implementation of the guidance on responding to FOIA requests for 

information from the public.

COMPETENCY 

AREAS: COMMUNICATION 

SELF-MANAGEMENT

REGULATORY FRAMEWORK

LEVEL 

OF EFFORT: 6 hours

REFERENCES: 1. 10 CFR Part 2.390, “Public inspections, exemptions, requests 

for withholding”

2. 10 CFR Part 9, “Public Records”

3. MD 3.1, “Freedom of Information Act”

4. MD 3.2, “Privacy Act”

5. MD 3.4, “Release of Information to the Public”

6. Regional or Office Instructions establishing the policy and procedure 

for processing FOIA requests for agency records

7. NRC Sensitive Unclassified Non-Safeguards Information (SUNSI) 

policy 

http://www.internal.nrc.gov/OIS/divisions/irsd/SUNSI/index.html

EVALUATION

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

understanding of the guidance on contacts with the media by successfully 

addressing the following:

1. Discuss the NRC goal of improving public confidence and how 

implementing the provisions of FOIA and the Privacy Act will 

contribute to achieving that goal.
Issue Date: 06/27/14 41 1247 Appendix A

2. Identify the completeness and timeliness requirements for 

responding to an FOIA request and discuss how important this 

responsiveness is in building public trust.

3. Discuss the following responsibilities when responding to a FOIA 

request:

a. provide all records subject to the request in the Agency’s 

possession;

b. identify other NRC offices that might have records subject to 

the FOIA request;

c. screen the records prior to release to ensure that non-public 

information is properly marked prior to forwarding to FOIA 

coordinator; and

d. support the decision to withhold information by providing the 

appropriate exemption and “foreseeable harm” statements. 

4. Identify the type of information which should be withheld from 

release when responding to an FOIA request, including proprietary, 

pre-decisional, and privacy information.

5. Describe the legal limitations of what can be released to the public 

and what must be protected under the Privacy Act.

6. Describe the policy and procedure for processing FOIA requests for 

agency records.

7. Discuss the process and criteria for evaluating a withholding request 

submitted under 10 CFR Part 2.390.

TASKS: 1. Meet with the FOIA Coordinator to discuss the procedure for 

processing FOIA requests for agency records.

2. Explore the information made available to the public on the NRC’s 

Website and via the Agenceywide Document Access and 

Management System (ADAMS).

3. Review the agency guidance on how to implement the FOIA without 

releasing pre-decisional information and other information covered 

under the Privacy Act.

4. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-17
Issue Date: 06/27/14 42 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-18) Entrance and Exit Meetings

PURPOSE: Effective communication is critical for overall Agency success. For NRC 

inspectors, the inspection entrance and exit meetings are the primary 

forums for communicating issues with licensees. In addition to 

communicating effectively, as government officials, inspectors have 

additional requirements to follow during entrance and exit meetings to 

ensure proprietary data and safeguard information are not disclosed, and 

information is shared with the public when appropriate. To ensure issues 

are discussed in accordance with NRC requirements, communication 

standards have been established that outline how entrance and exit 

meetings are to be conducted. The purpose of this SG is to introduce you 

to the standards for conducting NRC entrance and exit meetings and to 

allow you to demonstrate an ability to conduct an entrance and exit 

meeting.

COMPETENCY 

AREAS: COMMUNICATION

TEAMWORK

INSPECTION

LEVEL 

OF EFFORT: 6 hours

REFERENCES: 1. IMC 2600. “Fuel Cycle Facility Operational Safety and Safeguards 

Inspection Program”

2. Regional Guidance or Office Guidance (if applicable)

EVALUATION

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

1. Locate the various guidance for conducting NRC entrance and exit 

meetings.

2. Successfully conduct an entrance and exit meeting in accordance 

with NRC guidance.

TASKS: 1. Locate and read the guidance for conducting NRC entrance and exit 

meetings contained in IMC 2600 and regional or office instructions.

2. Observe at least one entrance and exit meeting conducted at a fuel 

facility. If possible, observe meetings that have been conducted for 

a wide range of inspection activities in a variety of forums, such as a 

public exit meeting. 
Issue Date: 06/27/14 43 1247 Appendix A

3. Review an inspection report that was recently completed, and 

conduct a “mock” entrance and exit meeting of the inspection report 

findings in the presence of your supervisor or a fully qualified 

inspector designated by your supervisor.

4. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-18
Issue Date: 06/27/14 44 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-19) Documenting Inspection Findings

PURPOSE: NRC inspection reports serve many important functions. In addition to

serving as a vehicle to communicate inspection findings to a licensee, 

inspection reports form part of the historical record of NRC activities at a 

fuel facility. To that end, it is vital for inspection reports to clearly 

document the results of inspection activities conducted. To assist 

inspectors in the preparation of inspection reports, the NRC has developed 

several guidance documents, which outline what information should be 

documented in an inspection report, and how that information should be 

presented. The purpose of this SG is to introduce you to the standards for 

preparing NRC inspection reports and to allow you to demonstrate an 

understanding of the applicable inspection report documentation 

requirements. 

COMPETENCY

AREAS: INSPECTION

SELF-MANAGEMENT

COMMUNICATION

TEAMWORK

ASSESSMENT AND ENFORCEMENT

LEVEL 

OF EFFORT: 16 hours

REFERENCES: 1. IMC 0616, “Fuel Cycle Safety and Safeguards Inspection Reports”

2. IMC 0620, “Inspection Documents and Records”

3. Regional Guidance or Office Guidance (as applicable)

4. Office of the Executive Director of Operations Administrative Quality 

Control Checklist

EVALUATION

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

1. Locate the guidance for preparing NRC inspection reports.

2. Verify an inspection report was written in accordance with the 

applicable NRC guidance.

3. Explain the threshold for documenting licensee and NRC identified 

issues in NRC inspection reports.
Issue Date: 06/27/14 45 1247 Appendix A

TASKS: 1. Locate and read the various guidance for documenting inspection 

findings. The necessary information will be contained in NRC IMCs, 

and regional or office instructions. 

2. Select a recently completed inspection report that was prepared in 

your region or office that contains both NRC and licensee identified 

findings. Compare the inspection report format and content to the 

report preparation guidance contained in IMC 0616, and to any 

applicable regional or office guidance. Through review of the 

guidance, and conversations with the report author, verify the report

was prepared in accordance with the requisite report preparation 

guidance.

3. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-19
Issue Date: 06/27/14 46 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-20) Differing Professional Opinions (DPO)

PURPOSE: The purpose of this activity is to provide guidance on the informal and 

formal processes for pursuing resolution of differing professional opinions. 

It is the policy of the NRC and the responsibility of all NRC supervisory and 

managerial personnel to maintain a working environment that encourages 

each employee to make known his/her best professional judgment even 

though that judgment may differ from the prevailing staff view, disagree 

with a management decision or policy position, or take issue with proposed 

or established agency practices. To further this policy, NRC MD 10.159, 

“The NRC Differing Professional Opinions Program” establishes a formal 

process for the staff to use when expressing differing professional 

opinions. This SG will provide you with an understanding of NRC’s DPO 

process. 

COMPETENCY 

AREAS: INSPECTION 

SELF-MANAGEMENT 

COMMUNICATION

LEVEL 

OF EFFORT: 2 hours

REFERENCES: 1. MD 10.159, “The NRC Differing Professional Opinions Program”

2. Regional Guidance or Office Guidance (if applicable)

EVALUATION

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

understanding of NRC’s DPO process by successfully addressing the 

following:

1. Define what a DPO is and discuss the precondition that should be 

met prior to submittal. 

2. State the expectations of NRC employees regarding making known 

their best professional judgment even though it may differ from the 

judgment of others.

3. Discuss under what circumstances the various methods available 

for expressing your best professional judgment would be used, 

including DPO.

4. State the purpose of the NRC’s DPO process.
Issue Date: 06/27/14 47 1247 Appendix A

5. Describe the Agency’s DPO process and how it is implemented. 

6. Describe where the resolution of the resolution of a DPO is 

published.

TASKS: 1. Meet with the regional counsel, or other individual designated to be 

your resource for this activity, to develop an understanding of the 

NRC policy and guidance for resolution of differing professional 

opinions.

2. Review the Agency’s MD 10.159, “The NRC Differing Professional 

Opinions Program.”

3. Explore all aspects of the Agency’s DPO guidance and 

documentation provided on the NRC’s internal website.

4. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-20
Issue Date: 06/27/14 48 1247 Appendix A

Basic-level Individual Study Guide

TOPIC: (SG-21) Integrated Safety Analysis (ISA) Overview (not for MC&A1

inspectors)

PURPOSE: The NRC, in 10 CFR Part 70, Subpart H, requires licensees to evaluate 

the risks associated with their facilities and to implement measures to 

ensure that the risks are limited. The NRC has defined high and 

intermediate consequence events in 10 CFR Part 70.61, “Performance 

Requirements,” and requires the licensees to implement Items Relied on 

For Safety (IROFS) to ensure the risk of the event is highly unlikely or 

unlikely, respectively. Changes to the facility must be evaluated to ensure 

no additional risks are created. Safety events are required to be reported 

to the NRC.

COMPETENCY 

AREAS: INSPECTION

REGULATORY FRAMEWORK

LEVEL OF

EFFORT: 40 hours

REFERENCES: 1. 10 CFR Part 70, Subpart H, “Additional Requirements for Certain 

Licensees Authorized to Possess a Critical Mass of Special Nuclear 

Material”

2. The License Application and Integrated Safety Analysis (ISA) for the 

facility designated by your supervisor

3. (Optional) Procedures used by the licensee at your designated 

facility to implement the ISA methodology

4. Chapter 3 of NUREG-1520, “Standard Review Plan for the Review 

of a License Application for a Fuel Cycle Facility” (ML020930033)

EVALUATION

CRITERIA: At the completion of the guide, you should be able to do the following:

1. Explain the performance requirements of 10 CFR 70.61.

2. Explain how the IROFS and Management Measures contribute to 

risk reduction and accident mitigation, and how they factor into the 

ISA.

 

1 Material Control and Accounting
Issue Date: 06/27/14 49 1247 Appendix A

3. Explain the process used, in the ISA designated by your supervisor, 

to establish accident scenarios, likelihoods, consequences, and 

determine IROFS.

4. Explain the process for facility changes as described in 10 CFR Part 

70.72.

5. Explain the NRC reporting requirements listed in 10 CFR Part 70, 

Appendix A.

TASKS: 1. Read 10 CFR Part 70, Subpart H, parts 61 through 74.

2. Read the following sections from the License Application for your 

assigned facility:

a. “Integrated Safety Analysis” (typically Section 3) 

b. “Management Measures” (typically Section 11)

3. Read the introductory chapter of the ISA for your assigned facility 

and a chapter on a selected process or area.

4. (Optional) If available, obtain and read the implementing procedure 

used by the licensee at your assigned facility for the ISA 

methodology (evaluating hazards, identifying IROFS, and 

implementing facility changes).

5. Discuss with your supervisor, or a qualified Fuel Facility Operations 

inspector, the ISA Methodology used by your assigned facility 

licensee. Include in the discussion the following topics:

a. Performance Requirements

b. IROFS

c. Management Measures

d. Facility Change Process

e. Reporting Requirements. 

DOCUMENTATION: Basic-Level Qualification Signature Card Item SG-21
Issue Date: 06/27/14 50 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-22) Overview of 10 CFR Part 30

PURPOSE: The purpose of this activity is to acquaint you with the regulations that 

specify the requirements for all aspects of the rules governing domestic 

licensing of byproduct material. This SG will help you to understand the 

content of Part 30 and how to locate the specific requirements for any 

subject. 

COMPETENCY 

AREA: REGULATORY FRAMEWORK

LEVEL 

OF EFFORT: 4 hours

REFERENCES: 1. NRC Internal Website

2. 10 CFR Part 30, latest revision, “Rules of General Applicability to 

Domestic Licensing of Byproduct Material”

EVALUATION

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

demonstrate your understanding of the general content of 10 CFR Part 30 

by successfully discussing the following:

1. State the purpose of Part 30.

2. Given a specific subject, identify which section in Part 30 discusses 

the requirements for that subject by using the search feature on the 

NRC Regulations & Nuclear Regulatory Legislation web pages. 

TASKS: 1. Become familiar with, and be able to use the search feature to 

locate, the information available in NRC Regulations & Nuclear 

Regulatory Legislation web pages presented on the NRC’s Internal 

Website. 

2. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-22
Issue Date: 06/27/14 51 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-23) Overview of 10 CFR Part 40

PURPOSE: The purpose of this activity is to acquaint you with the regulations that 

specify the requirements for all aspects of the Domestic Licensing of 

Source Material. This SG will help you to understand the content of Part

40 and how to locate the specific requirements for any subject. 

COMPETENCY 

AREA: REGULATORY FRAMEWORK

LEVEL 

OF EFFORT: 4 hours

REFERENCES: 1. NRC Internal Website 

2. 10 CFR Part 40, latest revision, “Domestic Licensing of Source 

Material” 

EVALUATION

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

demonstrate your understanding of the general content of 10 CFR Part 40 

by successfully discussing the following:

1. State the purpose of Part 40.

2. Given a specific subject, identify which section in Part 40 discusses 

the requirements for that subject by using the search feature on the 

NRC Regulations & Nuclear Regulatory Legislation web pages. 

TASKS: 1. Become familiar with, and be able to use the search feature to 

locate, the information available in NRC Regulations & Nuclear 

Regulatory Legislation web pages presented on the NRC’s Internal 

Website.

2. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-23
Issue Date: 06/27/14 52 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-24) Overview of 10 CFR Part 70

PURPOSE: The purpose of this activity is to acquaint you with the regulations that 

specify the requirements for all aspects of Domestic Licensing of Special 

Nuclear Material. This SG will help you to understand the content of Part 

70 and how to locate the specific requirements for any subject. 

COMPETENCY 

AREA: REGULATORY FRAMEWORK

LEVEL 

OF EFFORT: 4 hours

REFERENCES: 1. NRC Internal Website

2. 10 CFR Part 70, latest revision, “Domestic Licensing of Special 

Nuclear Material” 

EVALUATION

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

demonstrate your understanding of the general content of 10 CFR Part 70 

by successfully discussing the following:

1. State the purpose of Part 70.

2. Given a specific subject, identify which section in Part 70 discusses 

the requirements for that subject by using the search feature on the 

NRC Regulations & Nuclear Regulatory Legislation web pages. 

TASKS: 1. Become familiar with, and be able to use the search feature to 

locate, the information available in NRC Regulations & Nuclear 

Regulatory Legislation web pages presented on the NRC’s Internal 

Website.

2. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-24
Issue Date: 06/27/14 53 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-25) Overview of 10 CFR Part 71

PURPOSE: The purpose of this activity is to acquaint you with the regulations that 

specify the requirements for all aspects of Packaging and Transportation 

of Radioactive Material. This SG will help you to understand the content of 

Part 71 and how to locate the specific requirements for any subject. 

COMPETENCY 

AREA: REGULATORY FRAMEWORK

LEVEL 

OF EFFORT: 4 hours

REFERENCES: 1. NRC Internal Website 

2. 10 CFR Part 71, latest revision, “Packaging and Transportation of 

Radioactive Material” 

EVALUATION

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

demonstrate your understanding of the general content of 10 CFR Part 71 

by successfully discussing the following:

1. State the purpose of Part 71.

2. Given a specific subject, identify which section in Part 71 discusses 

the requirements for that subject by using the search feature on the 

NRC Regulations & Nuclear Regulatory Legislation web pages. 

TASKS: 1. Become familiar with, and be able to use the search feature to 

locate, the information available in NRC Regulations & Nuclear 

Regulatory Legislation web pages presented on the NRC’s Internal 

Website.

2. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-25
Issue Date: 06/27/14 54 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-26) Overview of 10 CFR Part 73

PURPOSE: The purpose of this activity is to acquaint you with the regulations that 

specify the requirements for all aspects of the Physical Protection of Plants 

and Materials. This SG will help you to understand the content of Part 73 

and how to locate the specific requirements for any subject. 

COMPETENCY 

AREA: REGULATORY FRAMEWORK

LEVEL 

OF EFFORT: 4 hours

REFERENCES: 1. NRC Internal Home Page

2. 10 CFR Part 73, latest revision, “Physical Protection of Plants and 

Materials”

EVALUATION

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

demonstrate your understanding of the general content of 10 CFR Part 73 

by successfully discussing the following:

1. State the purpose of Part 73.

2. Given a specific subject, identify which section in Part 73 discusses 

the requirements for that subject by using the search feature on the 

NRC Regulations & Nuclear Regulatory Legislation web pages. 

TASKS: 1. Become familiar with, and be able to use the search feature to 

locate, the information available in NRC Regulations & Nuclear 

Regulatory Legislation web pages presented on the NRC’s Internal 

Website.

2. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-26
Issue Date: 06/27/14 55 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-27) Overview of 10 CFR Part 74

PURPOSE: The purpose of this activity is to acquaint you with the regulations that 

specify the requirements for all aspects of Material Control and Accounting 

of Special Nuclear Material. This SG will help you to understand the 

content of Part 74 and how to locate the specific requirements for any 

subject. 

COMPETENCY 

AREA: REGULATORY FRAMEWORK

LEVEL 

OF EFFORT: 4 hours

REFERENCES: 1. NRC Internal Website

2. 10 CFR Part 74, latest revision, “Material Control and Accounting of 

Special Nuclear Material”

EVALUATION

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

demonstrate your understanding of the general content of 10 CFR Part 74 

by successfully discussing the following:

1. State the purpose of Part 74.

2. Given a specific subject, identify which section in Part 74 discusses 

the requirements for that subject by using the search feature on the 

NRC Regulations & Nuclear Regulatory Legislation web pages. 

TASKS: 1. Become familiar with, and be able to use the search feature to 

locate, the information available in NRC Regulations & Nuclear 

Regulatory Legislation web pages presented on the NRC’s Internal 

Web Site.

2. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-27
Issue Date: 06/27/14 56 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-28) Overview of 10 CFR Part 76

PURPOSE: The purpose of this activity is to acquaint you with the regulations that 

specify the requirements for all aspects of the Certification of Gaseous 

Diffusion Plants. This SG will help you to understand the content of Part 

76 and how to locate the specific requirements for any subject. 

COMPETENCY 

AREA: REGULATORY FRAMEWORK

LEVEL 

OF EFFORT: 4 hours

REFERENCES: 1. NRC Internal Website

2. 10 CFR Part 76, latest revision, “Certification of Gaseous Diffusion 

Plants”

EVALUATION

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

demonstrate your understanding of the general content of 10 CFR Part 76 

by successfully discussing the following:

1. State the purpose of Part 76.

2. Given a specific subject, identify which section in Part 76 discusses 

the requirements for that subject by using the search feature on the 

NRC Regulations & Nuclear Regulatory Legislation web pages. 

TASKS: 1. Become familiar with, and be able to use the search feature to 

locate, the information available in NRC Regulations & Nuclear 

Regulatory Legislation web pages presented on the NRC’s Internal 

Web Site.

2. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-28
Issue Date: 06/27/14 57 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-29) Overview of 10 CFR Parts 19 and 20 

PURPOSE: The purpose of this activity is to familiarize you with Parts 19 and 20 of the 

NRC regulations. These regulations are generic to any position within the 

Agency and will provide a perspective on conducting inspections in the 

working environment of a fuel facility. This SG will help you understand 

the purpose of Parts 19 and 20 and provide you with some basic 

knowledge that all NRC inspectors will use when conducting inspections in 

radiologically-controlled areas.

COMPETENCY

AREA: REGULATORY FRAMEWORK

LEVEL 

OF EFFORT: 4 hours

REFERENCES: 1. NRC Internal Website

2. 10 CFR Part 19, “Notices, Instructions, and Reports to Workers: 

Inspection and Investigations”

3. 10 CFR Part 20, “Standards for Protection Against Radiation”

EVALUATION 

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

general understanding of Parts 19 and 20 and why these regulations are 

important for all inspectors, by successfully addressing the following: 

1. Describe the general purpose of Part 19.

2. Identify the section of Part 19 that describes the rights of radiation 

workers if they believe a violation of radiological working condition 

requirements has occurred.

3. Identify the section of Part 19 that requires a licensee to report 

doses to workers.

4. Describe the purpose of Part 20.

5. Identify the section and discuss the various radiological 

circumstances that would require a licensee to notify the NRC.

6. Discuss why it is important for every NRC inspector to have a 

general understanding of Part 19 and 20.
Issue Date: 06/27/14 58 1247 Appendix A

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

a. The purpose of Part 19 (19.1)

b. Documents are required to be posted (19.11[d] and [e])

c. Requirements for promptly identifying any condition that may 

cause unnecessary exposure (19.12[a][4])

d. Instructions for individuals in a restricted area that may 

experience unnecessary exposure to radiation and/or 

radioactive materials (19.12[a][5])

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

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

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

a. The purpose of Part 20 (20.1001)

b. Occupational dose limits for adults (20.1201)

c. Occupational dose limits for members of the public (20.1301)

d. Concepts of ALARA (20.1101)

e. Conditions requiring individual monitoring of external and 

internal occupational dose (20.1502)

3. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-29
Issue Date: 06/27/14 59 1247 Appendix A

Basic-level Individual Study Guide

TOPIC: (SG-30) Licensee-Specific Regulatory Documents and Procedures (not for 

MC&A inspectors)

PURPOSE: The purpose of this activity is to acquaint you with licensee-specific 

documents and procedures that you need to be aware of and be able to 

access while onsite during an inspection. These documents and 

procedures describe how a licensee complies with NRC regulations and 

requirements. As a fully qualified inspector, you will need to identify 

circumstances where the licensee is in non-compliance. Also, inspectors 

must adhere to applicable licensee procedures at all times while onsite. 

This SG will acquaint you with the most common types of licensee-specific 

regulatory documents and procedures and will help you learn how 

individual facilities may implement NRC regulations and requirements 

differently. 

COMPETENCY 

AREA: REGULATORY FRAMEWORK

LEVEL OF 

EFFORT: 16 hours

REFERENCES: 1. Technical Specifications for a gaseous diffusion plant and a license 

application for one fuel facility

2. NUREG-1520. “Standard Review Plan for Review of a License 

Application for a License Application of a Fuel Cycle Facility” 

(ML020930033)

3. Facility-specific license

4. Facility-specific Safety Evaluation Report

EVALUATION

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

familiarity with the role of licensee-specific regulatory documents and 

procedures within the regulatory framework by successfully addressing the 

following:

1. Identify the regulatory enforcement hierarchy that exists between 

CFR requirements, a facility-specific license, facility-specific license 

application, and Safety Evaluation Report (SER), and facilityspecific procedures.

2. Recognize how the NRC Standard Review Plan is related to the 

documents identified in item 1.
Issue Date: 06/27/14 60 1247 Appendix A

3. Identify which NRC organization writes safety analyses, which 

organization approves them, and which organization is required to 

maintain current copies.

4. Identify the NRC organization responsible for writing Regulatory 

Guides and Safety Evaluation Reports, and the organization 

responsible for approving them. Describe the requirements for 

maintaining copies current.

5. Discuss how enforcement actions relate to safety analysis reports or 

an SER. 

6. Locate where the following can generally be found:

a. Safety Limits (facility-specific)

b. Design Basis Accident Analysis

c. Licensee commitments to various standards

d. Specific, but not necessarily all, approved methods for 

complying with NRC requirements

e. Licensee Security Plan

TASKS: 1. Locate all applicable reference documents. 

2. Meet with an appropriately qualified inspector and discuss the 

general objectives of a licensee security plan and the restrictions on 

its public availability. Also, determine the specific security 

requirements to which an NRC inspector must personally adhere.

3. Discuss with your Office Enforcement Specialist your answers to the 

above questions related to enforcement policy.

4. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-30
Issue Date: 06/27/14 61 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-31) Planning Fuel Facility Inspections 

PURPOSE: This guide will familiarize you with a working knowledge of how to plan for 

fuel facility inspections and assist in identifying guidance documents for 

review (for fuel facility inspectors conducting routine inspections of fuel 

fabrication facilities, gaseous diffusion facilities, and uranium conversion 

and enrichment facilities). 

COMPETENCY 

AREAS: INSPECTION

INSPECTION PLANNING 

LEVEL OF

EFFORT: 40 hours

REFERENCES: 1. 10 CFR Part 40, “Domestic Licensing of Source Material” 

(particularly Part 40.64)

2. 10 CFR Part 70, “Domestic Licensing of Special Nuclear Material” 

(particularly Part 70.66)

3. 10 CFR Part 76, “Certification of Gaseous Diffusion Plants” 

(particularly Part 76.121) 

4. 10 CFR Part 19, “Notices, Instructions, and Reports to Workers: 

Inspection and Investigations”

5. 10 CFR Part 20, “Standards for Protection against Radiation”

6. 10 CFR Part 71, “Packaging and Transportation of Radioactive 

Material” 

7. 10 CFR Part 73, “Physical Protection of Plants and Materials”

8. 10 CFR Part 74, “Material Control and Accounting of Special 

Nuclear Material”

9. 29 CFR Part 1910, “Occupational Safety and Health Standards”

10. 49 CFR Parts 170-189, “Transportation”

11. The License Application, Plant Technical Specification (PST) or ISA 

for the facility designated by your supervisor.

12. Applicable IPs
Issue Date: 06/27/14 62 1247 Appendix A

13. Applicable classified and sensitive unclassified non-safeguards 

information (SUNSI) information 

14. Procedures used by the licensee at your designated facility to 

implement the ISA methodology.

15. NUREG-1513, “Integrated Safety Analysis Guidance Document.” 

(ML011440260)

16. NUREG-1520, “Standard Review Plan for the Review of a License 

Application for a Fuel Cycle Facility.” (ML020930033)

17. Previous Licensee Performance Review

18. Previous applicable inspection reports from areas lasted inspected

19. Materials Operational Experience Gateway 

(www.internal.nrc.gov/FSME/OpE/index..html)

20. Regional Office Instruction 2211, “Inspection Planning for Reactors 

and Fuel Facilities.” (ML051440266)

EVALUATION

CRITERIA: At the completion of the study guide, you should be able to do the 

following:

1. Identify the appropriate inspection procedures needed for the 

inspection. 

2. Identify the applicable regulations and guidance documents for 

inspection.

3. Determine the focus of the inspection based on risk, regulations, 

and license requirements.

4. Determine the relationship between the purpose and objectives in 

the inspection procedures to the licensing basis documents.

TASKS: 1. Review the applicable regulations for the facility.

2. Review the license application, PST, ISA and/or FNMCP for your 

assigned facility. 

3. Review the introductory chapter of the ISA for your assigned facility 

and a chapter on a selected process or area that will be inspected. 

(i.e. evaluating hazards, identifying IROFS, and implementing facility 

changes).
Issue Date: 06/27/14 63 1247 Appendix A

4. Review the applicable last two inspection reports.

5. Review the previous Licensee Performance Review of the facility.

6. (Optional) If available, obtain and read the implementing procedure 

for the area of inspection used by the licensee at your assigned 

facility. 

7. Discuss with your supervisor, or a qualified Fuel Facility inspector, 

any questions concerning the license application, previous 

inspections, events, Information Notices, and ISA methodology. 

8. Familiarize yourself with the Master Inspection Plan (MIP) and 

schedule.

9. Familiarize yourself with the Inspection Plan form

10. Learn how to use Reactor Program System or other in-house 

custom software. 

11. Create a Plant Issues Matrix (PIMS), Open items List, and NMED 

report. 

12. Develop a mock inspection plan and review with your supervisor or 

a qualified Fuel Facility Operations inspector.

13. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Qualification Signature Card Item SG-31
Issue Date: 06/27/14 64 1247 Appendix A

Basic-Level Individual Study Guide

TOPIC: (SG-32) Information Security

PURPOSE: The purpose of this activity is to familiarize you with the different types and 

levels of classified information. This SG will help you to understand the 

fundamental rules and responsibilities to properly identify, mark, handle, 

store, transmit, reproduce, and destroy classified and Safeguards 

Information. This activity will also provide the inspector with knowledge of 

the NRC policy for handling, marking, and protecting SUNSI.

COMPETENCY 

AREA: REGULATORY FRAMEWORK

LEVEL OF 

EFFORT: 16 hours

REFERENCES: 1. NRC Internal Web Page

2. MD 12.2, “NRC Classified Information Security Program”

3. MD 12.6, “NRC Sensitive Unclassified Information Security 

Program”

4. 10 CFR Part 73, “Physical Protection of Plants and Materials”

5. NRC Sensitive Unclassified Non-Safeguards Information (SUNSI) 

policy 

http://www.internal.nrc.gov/OIS/divisions/irsd/SUNSI/index.html

EVALUATION 

CRITERIA: Upon completion of this activity, and as determined by the supervisor the 

inspector should be able to:

1. Describe the different types and levels of classified information.

2. Explain the need for maintaining classification of certain material 

safeguards and the proper handling of the material.

3. Describe the NRC policy for handling, marking, and protecting 

SUNSI.

4. Describe handling of classified and sensitive unclassified 

information originating outside of NRC. 

TASKS: 1. Complete the Information Security (INFOSEC) Awareness Training. 

To access the training: (1) select Training on the NRC’s internal 
Issue Date: 06/27/14 65 1247 Appendix A

Web site, (2) Select “what’s new” under “Training Basics”, (3) select 

“all online courses”, (4) then select “online” under “information 

Security” and “INFOSEC Awareness.” URL: 

http://grape.nrc.gov/Training/NewSite/courselogin.cfm?page=infose

c . Be sure to print the completion record at the end of the online 

course. You must present this to your supervisor as evidence that 

you have completed the course.

2. Review the SUNSI policy on the NRC internal web page.

3. Review the reference material to gain an understanding of the 

principles discussed in the evaluation criteria.

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

fully qualified inspector. 

DOCUMENTATION: Basic-Level Certification Signature Card Item SG-32
Issue Date: 06/27/14 66 1247 Appendix A

Basic-Level

On-the-Job Training Activities
Issue Date: 06/27/14 67 1247 Appendix A

Basic-Level On-the-Job Training Activities

The on-the-job (OJT) activities require you to conduct inspection-related work, under 

supervision, at a fuel facility. They are designed to allow you to observe and perform key 

inspection tasks under controlled circumstances. Like the individual study guides, each of the 

on-the-job activities informs you why the activity is important, how much time you might need to 

complete the assignment, and what you are expected to complete successfully during the 

activity.

Prior to beginning the activities in this section, you must successfully complete the course work 

for site access. There are two ways this can be done. You can complete the NRC’s Site 

Access Course and the site specific requirements for access. Or, you may complete the site 

access requirements at a site. Your supervisor will discuss with you the best way for you to 

meet the site access requirements.

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

1. The activities in this section should be completed in the order in which they are 

presented.

2. Complete all parts of each activity. 

3. Your supervisor will act as a resource as you complete each activity. Discuss 

any questions you may have about how a task must be done or how the 

guidance is applied. Your supervisor may also designate other fully qualified 

inspectors to work with you as you complete the various activities.

4. You are responsible for keeping track of what tasks you have completed. Be 

sure that you have completed all aspects of an OJT activity before you meet with 

your supervisor for evaluation.
Issue Date: 06/27/14 68 1247 Appendix A

Basic-Level On-the-Job Training Activity

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

PURPOSE: The purpose of this activity is to: (1) acquaint you with the general layout of 

a facility and identify various major pieces of equipment; (2) instruct you in 

the types of industrial and radiological personal protection requirements 

and the proper method of complying with these requirements; (3) instruct 

you in the use of security procedures; and (4) instruct you in the proper 

response to an emergency if the emergency is declared while in the 

facility.

In addition, this activity will familiarize you with the appropriate protocol for 

the conduct of an inspector in the plant and the inspector’s role in 

gathering facility status information. If there is a control room, this activity 

will also help you to become familiar with general control room layout, 

required control room staffing, and the inspector’s role in gathering facility 

status information.

COMPETENCY 

AREAS: INSPECTION 

COMMUNICATION

SELF-MANAGEMENT

FUNDAMENTAL PLANT DESIGN AND OPERATION

EMERGENCY RESPONSE

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

LEVEL 

OF EFFORT: 40 hours

REFERENCES: 1. Licensee’s drawing(s) of the site building layouts.

2. Licensee-specific procedure for the conduct of operations in the 

control room.

EVALUATION

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

understanding of the general plant layout and inspector behavior in the 

plant by successfully addressing the following:

1. Given a drawing of the site building layout, be able to identify where 

the major facility areas are located.

2. Identify the types of industrial personnel safety equipment that are 

available and the circumstances under which each piece of 

equipment should be used. 
Issue Date: 06/27/14 69 1247 Appendix A

3. Explain how you would know what type(s) of radiological protection 

equipment are required before entering a radiologically controlled 

area (RCA). 

4. Given specific scenarios related to security situations, describe what 

actions you would take.

5. Given specific scenarios related to emergency response situations, 

describe what actions you would take.

6. Given specific scenarios related to health physics situations, 

describe what actions you would take.

7. Explain the appropriate protocol for an inspector’s conduct in the 

plant and control room (if applicable).

8. Explain how you would respond if you were present in the plant or 

control room during an emergency situation. Specifically, you 

should explain why it is never appropriate for an inspector to 

operate any controls, or to interfere in licensee operations, during 

routine or emergency situations.

9. Describe the general layout of a control room (if applicable). 

Explain where operator(s) must be stationed in the control room 

during operations. Describe examples of site specific restrictions for 

limits on where an inspector can go in the plant or a control room, 

with or without permission.

10. Describe the basic staffing in the plant and control room (if 

applicable) and where you would expect to find various operators.

11. Describe the types of information an inspector gathers in the plant 

and control room and how that information is obtained.

TASKS: 1. Review a drawing(s) of the building layout for the site and plan a 

route for a tour that will include the major areas on the site, such as: 

a. main production area

b. central alarm systems and secondary alarm systems (CAS & 

SAS) if applicable

c. RCA

d. emergency response facility 

e. control room(s)

f. liquid waste treatment facilities

g. airborne effluent treatment facilities 

h. criticality warning system 

i. other areas deemed appropriate by a qualified inspector or 

resident inspector, if applicable
Issue Date: 06/27/14 70 1247 Appendix A

2. Prior to the tour, discuss the requirements for personal industrial 

safety equipment with a qualified inspector or resident inspector, if 

applicable.

3. Tour the facility with a qualified inspector or resident inspector, if 

applicable, and locate the major pieces of equipment and facility 

areas, including but not limited to those items described above.

4. Enter the RCA with a qualified inspector or resident inspector, if 

applicable, and tour the area to observe and/or discuss items such 

as: different radiological control postings, methods of designating 

areas that have additional radiological control requirements for 

entry, different radiological control clothing requirements for different 

areas, use of portal monitors and personal friskers, and personal 

monitoring dosimetry.

5. During the plant tour, discuss the proper security procedures for 

entering the areas discussed above, including the actions to take in 

the event a procedure error or violation of security rules is 

committed or observed.

6. During the plant tour, discuss the proper response in the event an 

emergency is declared while in the facility.

7. During the plant tour, discuss the proper response in the event of a 

radiological control event or anomaly.

DOCUMENTATION: Basic-level Certification Signature Card – OJT-1
Issue Date: 06/27/14 71 1247 Appendix A

Basic-Level On-the-Job Training Activity

TOPIC: (OJT-2) Licensee Performance Reviews (LPRs)

PURPOSE: The purpose of this activity is to: (1) acquaint you with the various types of 

information discussed in the meetings that develop LPRs; (2) instruct you 

in the types of information provided in the LPR that are important to an 

inspector; and (3) inform you of the appropriate inspector protocols so that 

you will know when NRC participation is and is not appropriate.

COMPETENCY

AREAS: INSPECTION

COMMUNICATION

SELF-MANAGEMENT

LEVEL 

OF EFFORT: 2 hours

REFERENCES: None

EVALUATION

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

understanding of the NRC inspector’s role in the LPR development 

meeting, by successfully discussing the following:

1. Identify the types of information discussed in the LPR development 

meeting that are important to an inspector and discuss why the 

information is important.

2. Given specific examples, be able to discuss if it is appropriate for an 

inspector to participate in the discussion at or about the LPR 

development meeting.

TASKS: 1. Discuss with a qualified inspector the types of information provided 

at the meeting or in a LPR meeting document that would be 

important to you and why that information is important.

2. Discuss with a qualified inspector the protocols of when an NRC 

inspector should and should not participate in the LPR development 

meeting.

3. Review the licensee’s overview organization chart and then either 

observe a LPR meeting with a licensee with a qualified inspector, or 

review an LPR meeting document with a qualified inspector.

4. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.
Issue Date: 06/27/14 72 1247 Appendix A

DOCUMENTATION: Basic-Level Certification Signature Card Item OJT-2
Issue Date: 06/27/14 73 1247 Appendix A

Basic-Level On-the-Job Training Activity

TOPIC: (OJT-3) Inspection Activities

PURPOSE: The purpose of this activity is to familiarize you with inspection tasks 

commonly performed by an inspector. This OJT will prepare you to 

independently plan and conduct the baseline inspection program as 

defined in the applicable IMC.

COMPETENCY 

AREAS: INSPECTION

COMMUNICATION

TEAMWORK

SELF-MANAGEMENT

LEVEL 

OF EFFORT:

REFERENCES: 1. IMC 0330, “Guidance for NRC Review of Licensee Draft 

Documents”

2. IMC 2600, “Fuel Cycle Facility Operational Safety and Safeguards 

Inspection Program,” or equivalent, for planned inspection

3. Inspection procedure(s) for planned inspection(s)

4. License application or safety analysis report for activity to be 

inspected

5. Regional Guidance or Office Guidance (if applicable)

EVALUATION

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

understanding of the baseline inspection process by:

1. Describing the contents and purpose of the site-specific inspection 

plan.

2. Describing the purpose of the inspection planning call.

Note: The objective of this activity is to make sure that you have 

experienced the full range of inspection activities. The time needed to 

complete the tasks will depend on your individual proficiency. There is 

no set number of inspections you must complete. You must participate 

in inspections until such time as you can address the evaluation criteria 

to the satisfaction of your supervisor.
Issue Date: 06/27/14 74 1247 Appendix A

3. Providing your supervisor or the person designated as a resource 

with a specific inspection plan that you have prepared. Describe the 

purpose and contents of a specific inspection plan.

4. Discussing the documents to be reviewed including their content 

and purpose prior to an inspection.

5. Describing the contents and purpose of the part of the entrance 

meeting you conducted. 

6. Describing the activities you accomplished during the inspection(s) 

and their purpose.

7. Describing the purpose of the management brief and the exit prebrief of licensee management in which you participated.

8. Describing the contents and purpose of the part of the exit meeting 

you conducted. 

TASKS: 1. Review the annual or applicable site specific inspection plan to 

understand where your inspection effort fits into the overall plan.

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

3. Participate in developing the inspection specific plan.

4. Review the following documents to understand how they provide 

background information, current issues, areas for emphasis, and 

support for the inspection effort you plan to accomplish:

a. Previous inspection reports.

b. PIM

c. Appropriate licensee documents

d. Applicable IPs

e. Other applicable documents, i.e., Performance Indicators, 

Licensee Event Reports, Information Notices, Bulletins, etc.

5. Observe an entrance meeting.

6. Observe the activities performed by a qualified inspector during the 

completion of the planned inspection by:

a. Observing implementation of inspection procedures

b. Observing interviews / discussion with facility personnel

c. Observing facility work activities

d. Reviewing documentation and records

e. Discussing inspection results with the lead inspector

7. Observe briefing of NRC management.
Issue Date: 06/27/14 75 1247 Appendix A

8. Observe an exit pre-brief of licensee management.

9. Observe an exit meeting.

10. Participate as an active member in an inspection by: 

a. Drafting a portion of the inspection specific plan.

b. Conducting activities described in item 6 above, as 

appropriate.

c. As deemed appropriate by your supervisor, conducting a 

portion of:

(1) the entrance meeting

(2) the briefing of NRC management

(3) the pre-brief of licensee management

(4) the exit meeting

11. Meet with your supervisor or the person designated to be your 

resource for this activity and discuss the items listed in the 

Evaluation Criteria section.

DOCUMENTATION: Basic-Level Qualification Signature Card Item OJT-3
Issue Date: 06/27/14 76 1247 Appendix A

Basic-Level On-the-Job Training Activity

TOPIC: (OJT-4) Documenting Inspection Findings

PURPOSE: The purpose of this activity is to give guidance on content, format, and 

style for inspection reports. The objectives of this activity are to ensure 

that inspection reports: 1) clearly communicate significant inspection 

results to licensees, NRC staff, and the public; 2) provide a basis for 

significance determination and enforcement action; and 3) present 

information associated with significant inspection findings in a manner that 

will be useful to NRC management in developing longer-term, broad 

assessments of licensee performance.

COMPETENCY 

AREAS: FUNDAMENTAL PLANT DESIGN AND OPERATION

INSPECTION

COMMUNICATION

TEAMWORK

ASSESSMENT AND ENFORCEMENT

LEVEL 

OF EFFORT: 40 hours

REFERENCES: 1. IMC 0330, “Guidance for NRC Review of Licensee Draft 

Documents”

2. IMC 0616, “Fuel Cycle Safety and Safeguards Inspection Reports”

3. IMC 0620, “Inspection Documents and Records”

4. Regional Guidance or Office Guidance (if applicable)

5. Enforcement Policy (Refer to the NRC internal website)

EVALUATION

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

understanding of documenting inspection findings by successfully 

addressing the following:

1. Discuss the thresholds for determining what findings should be 

documented in an inspection report.

2. Describe how to process a finding using the NRC Enforcement 

Policy.

3. Discuss how to write an inspection report input.
Issue Date: 06/27/14 77 1247 Appendix A

4. Discuss how to write a violation.

5. Contrast the differences in documenting Inspector-Identified 

Findings and Licensee-Identified Violations.

TASKS: 1. Using IMC 0616, determine if an identified issue is above the 

threshold for documentation.

2. Using IMC 0616 and other available guidance, draft an inspection 

report input.

3. Given a violation of regulatory requirements and the Enforcement 

Policy and guidance, draft a violation.

4. Using IMC 0330, IMC 0616 and IMC 0620, describe how to 

determine the documents that must be included as attachments to 

an inspection report as an agency record.

DOCUMENTATION: Basic-Level Certification Signature Card Item OJT-4
Issue Date: 06/27/14 78 1247 Appendix A

Basic-Level Signature Cards and Certification

Inspector Name: 

___________________________________

Employee 

Initials/ Date

Supervisor’s 

Signature/Date

A. Training Courses

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

F-201 or F-201S, Fuel Cycle Processes

G-104, Expectations for Inspectors

Ethics

Allegations

MCA-101DC, Intro to Nuclear Materials Control an 

Accountability1

MCA-104DB, Introduction to Measurement Programs1

MCA-110, Basics of Nuclear Materials Accountability1

MCA- 120, Basics of Nuclear Materials Control1

F-101S, Nuclear Criticality Safety3

OSHA HAZWOPER or iLearn Health & Safety Training 

Suite2

B. Individual Study Activities

SG-1 History and Organization of the Nuclear Regulatory 

Commission

SG-2 Inspector Objectivity, Protocol, and Professional 

Conduct2

SG-3 Fitness for Duty (FFD) Rule 

SG-4 Allegations2

SG-5 NRC’s Response to an Emergency at a Nuclear 

Facility

SG-6 The Enforcement Process and the Backfit Process

SG-7 The Office of Investigations

SG-8 Exploring the Fuel Facility Inspection Program

SG-9 Exploring the Nuclear Materials Events Database 

(NMED)
Issue Date: 06/27/14 79 1247 Appendix A

SG-10 Incident Inspection Team (IIT) Activities, 

Augmented Inspection Team (AIT), and Special 

Inspection Team (SIT)

SG-11 Understanding How the Commission Operates

SG-12 Organization and Content of the NRC Inspection 

Manual

SG-13 NRC Interagency Agreements

SG-14 Interaction with the Public 

SG-15 Contacts with the Media

SG-16 Institute of Nuclear Power Operations (INPO) and 

Nuclear Energy Institute (NEI)

SG-17 Freedom of Information Act and the Privacy Act

SG-18 Entrance and Exit Meetings

SG-19 Documenting Inspection Findings

SG-20 Differing Professional Opinions (DPO)

SG-21 Integrated Safety Analysis Overview (not MC&A)

SG-22 Overview of 10 CFR Part 30

SG-23 Overview of 10 CFR Part 40

SG-24 Overview of 10 CFR Part 70

SG-25 Overview of 10 CFR Part 71

SG-26 Overview of 10 CFR Part 73

SG-27 Overview of 10 CFR Part 74

SG-28 Overview of 10 CFR Part 76

SG-29 Overview of 10 CFR Parts 19 and 20

SG-30 Licensee-Specific Regulatory Documents and 

Procedures (not MC&A)

SG-31 Planning Fuel Facility Inspections

SG-32 Information Security
Issue Date: 06/27/14 80 1247 Appendix A

C. On-the-Job Training Activities

OJT-1 Facility Familiarization Tour with a Qualified 

Inspector or Resident Inspector

OJT-2 Licensee Performance Reviews (LPRs)

OJT-3 Inspection Activities

OJT-4 Documenting Inspection Findings

1 Required for MC&A inspectors only

2 Required prior to a site visit or inspection accompaniment.

3 Required for NCS inspectors only
Issue Date: 06/27/14 81 1247 Appendix A

This signature card and certification must be accompanied by the appropriate Form 1, Basic 

Level Equivalency Justification, if applicable.

Basic Inspector Certification

______________________________________

(Name)

Has successfully completed all of the requirements

to be certified as a 

BASIC INSPECTOR

Supervisor Signature________________________ Date:____________ 
Issue Date: 06/27/14 82 1247 Appendix A

Form 1: Basic-Level Equivalency Justification

Inspector Name: 

________________________________

Identify equivalent training and 

experience for which the 

inspector is to be given credit 

A. Training Courses

F-201 or F-201S Fuel Cycle Processes

MCA-101DC, Intro to Nuclear Materials Control an 

Accountability1

MCA-104DB, Introduction to Measurement Programs1

MCA-110, Basics of Nuclear Materials Accountability1

MCA- 120, Basics of Nuclear Materials Control1

Nuclear Criticality Safety Self-Study Course 2

OSHA HAZWOPER or iLearn Health & Safety Training 

Suite3

B. Individual Study Activities

SG-1 History and Organization of the Nuclear

Regulatory Commission

SG-2 Inspector Objectivity, Protocol, and Professional 

Conduct

SG-3 Fitness for Duty (FFD) Rule

SG-4 Allegations

SG-5 NRC’s Response to an Emergency at a Nuclear 

Facility

SG-6 The Enforcement Process and the Backfit 

Process

SG-7 The Office of Investigations

SG-8 Exploring the Fuel Facility Inspection Program

SG-9 Exploring the Nuclear Materials Events 

Database (NMED)

SG-10 Incident Inspection Team (IIT) Activities, 

Augmented Inspection Team (AIT), and Special 

Inspection Team (SIT)

SG-11 Understanding How the Commission Operates

SG-12 Organization and Content of the NRC 

Inspection Manual

SG-13 NRC Interagency Agreements

SG-14 Interaction with the Public
Issue Date: 06/27/14 83 1247 Appendix A

Form 1: Basic-Level Equivalency Justification

Inspector Name: 

________________________________

Identify equivalent training and 

experience for which the 

inspector is to be given credit 

SG-15 Contacts with the Media

SG-16 Institute of Nuclear Power Operations (INPO) 

and Nuclear Energy Institute (NEI)

SG-17 Freedom of Information Act and the Privacy Act

SG-18 Entrance and Exit Meetings

SG-19 Documenting Inspection Findings

SG-20 Differing Professional Opinions (DPO)

SG-21 Integrated Safety Analysis Overview 

SG-22 Overview of 10 CFR Part 30

SG-23 Overview of 10 CFR Part 40

SG-24 Overview of 10 CFR Part 70

SG-25 Overview of 10 CFR Part 71

SG-26 Overview of 10 CFR Part 73

SG-27 Overview of 10 CFR Part 74

SG-28 Overview of 10 CFR Part 76

SG-29 Overview of 10 CFR Parts 19 and 20

SG-30 Licensee-specific regulatory documents and 

procedures

SG-31 Planning Fuel Facility Inspections

SG-32 Information Security

C. On-the-Job Training Activities

OJT-1 Facility Familiarization Tour with a Qualified 

Inspector or Resident Inspector

OJT-2 Licensee Performance Reviews (LPRs)

OJT-3 Inspection Activities

OJT-4 Documenting Inspection Findings

1 Required for MC&A inspectors only

2 Required for NCS inspectors only

3 The 24hr OSHA HAZWOPER training requirement is intended for qualifying individuals who 

do not have adequate prior experience or training. Qualifying individuals with adequate 

experience must use the equivalency examination or equivalent experience justification 

process to alternatively opt for the iLearn Health & Safety training suite.
Issue Date: 06/27/14 84 1247 Appendix A

Supervisor’s Recommendation Signature / Date____________________________

Division Director’s Approval Signature / Date____________________________

Copies to: 

Inspector 

HR Office
Issue Date: 06/27/14 Att1-1 1247 Appendix A

Attachment 1

Revision History for IMC 1247 Appendix A

Commitment 

Tracking 

Number

Accession 

Number 

Issue Date 

Change Notice 

Description of Change Description of 

Training 

Required and 

Completion Date 

Comment and 

Feedback Resolution 

Accession Number 

N/A 02/18/09

CN 09-006

Researched commitments for 4 

years and found none.

New inspection manual chapter to 

specify qualification requirements 

for NRC fuel facility operations, 

health physics, emergency 

preparedness, security, material 

control and accounting, and 

construction inspectors.

N/A ML090400374

ML12257A122

06/27/14

CN 14-014

This Appendix has been revised to 

reflect the Nuclear Criticality 

trainings requirements, to update 

study guides and On the Job 

training activities, and to 

incorporate OSHA HAZWOPER or 

iLearn Health & Safety Training 

Suite for required training.

N/A ML14084A477