SEQ CHAPTER \h \r 1**NRC INSPECTION MANUAL**COLP

INSPECTION PROCEDURE 42401

PART 52, PLANT PROCEDURES

42401-01OBJECTIVES

01.01To confirm that the scope of the plant procedures are adequate to control safety related operations within applicable regulatory requirements.

01.02To determine the adequacy of management controls in implementing and maintaining a viable procedure control process.

01.03To verify that the technical adequacy of procedures is consistent with desired actions and modes of operation.

01.04To verify the usability of procedure content and format by determining the degree to which accepted human factors principles have been incorporated.

42401-02INSPECTION REQUIREMENTS AND GUIDANCE

Licensee plans and procedures guiding the operation and maintenance of reactor facilities are required by 10 CFR 50.34(b) and (f), as referenced in 10 CFR 52.79.  This inspection should be scheduled after enough procedures are issued and in place that randomness in the selection is maintained, but early enough that lessons learned can be utilized in development of the program.  It should be completed with satisfactory results prior to the Commission making a finding per 10 CFR 52.103(g).

02.01Sample Selection.  Select a sample of at least 15 procedures from at least three of the following categories of written and approved guides, steps, or instructions used by a licensee to prescribe or guide the conduct of an operation or of equipment test, calibration, or repair for review.  The procedures selected in this section will be evaluated in accordance with Section 02.04.  Appendix A, “Procedure Content,” provides a description of typical procedure content.

a. Abnormal Operating, Offnormal Operating, or Alarm Response Procedures.

b. Conduct of Operations.

c. Control of Radioactivity per 10 CFR Part 20 and 10 CFR Part 50, Appendix I.

d. Control of Measuring and Test Equipment.

e. Maintenance.

f. Chemical and Radiochemical Activities.

g. Security.

h. Refueling.

i. Emergency Plan.

j. Technical Support.

Note: Procedures for combating emergencies, as used in this instruction, include those procedures that implement the Emergency Plan, such as the assembly or evacuation procedures.

02.02Procedure Administration.  Verify that administrative controls and responsibilities have been established for the review, approval, and periodic updating of plant procedures that conform to license requirements as spelled out in the license, FSAR, and other facility licensing documents.

02.03Procedure Controls.  Verify that controls, found in a procedure writer’s guide, have been established in writing for the following:

a. Procedure preparation in the desired format and content.

b. Issuing new and revised procedures. 

c. Control and disposition of outdated procedures. 

d. Control of temporary changes to procedures. 

e. Ensuring changes to procedures will be approved by the same organization that approved the original unless another qualified organization has been designated.

f. Ensuring that the training organization is informed of procedure changes.

02.04Procedure Usability.  Review the procedures to:

a. Determine whether the procedures will accomplish the intended purpose within the design characteristics and the safety review considerations.

b. Verify that appropriate technical specification, vendor, or design operating limitations, such as heatup/cooldown rates, pressure/temperature limits, reactivity limits, safety limits, LCOs, and limiting safety system settings, have been incorporated into the procedures.

c. Determine the degree to which accepted human factors principles have been incorporated into each type of procedure to verify that the procedures are usable.

1. Determine usability by evaluating the procedures against the writing style and format standards established in the licensee's Writer's Guide.

2. Walk thru the procedure steps directly or as a tabletop evaluation considering the affected components, review of referenced materials, clarity of procedural steps with input on the training / experience level of the expected procedure user.

3. If a Writer’s Guide is not available or is determined to be inadequate, evaluate the procedures against the characteristics listed in Appendix B.

d. Using the guidance in Appendix B, "Procedure Usability," determine the quality of the Writer's Guide.

1.If a Writer's Guide is not available, evaluate the procedures directly against the characteristics listed in Appendix B to determine the degree to which accepted human factors principles have been incorporated to make the information in the procedure clear and understandable to users.

2.If the procedures were not prepared according to the guidance in the Writer's Guide, or if several characteristics from Appendix B are not evident in the initial sample, select 5 - 10 additional procedures for further review to determine the degree to which usability may be an issue.

02.05Conduct of Operations.  Select 10% of the current Conduct of Operations instructions, Standing Orders, Night Orders, and/or Special Orders and verify that such orders are not being used in place of procedures.  Verify administrative controls have been established that:

a. Provide a mechanism for the issuance and distribution of Orders.

b. Require that the Orders be periodically reviewed and updated.

c. Assign responsibilities for issuance, distribution, review, and update.

d. Establish limitations on what type of instructions may be issued as Standing Orders or Special Orders.

02.06Shift Logs.  Verify that administrative controls provide for the preparation and correction of operating logs, shift turnover activities and log reviews.

02.07Interviews.  Interview facility staff to determine awareness and understanding of the system established for controlling temporary changes to procedures.

42401-03RESOURCE ESTIMATE 

For planning purposes, the direct inspection effort to complete this inspection procedure is estimated to be 256 hours of on-site inspection ( four inspectors for eight days of inspection), consistent with the scope of the planned regional initiative(s) to be performed. 

42401-04REFERENCES

10 CFR Part 50, “Domestic Licensing of Production and Utilization Facilities.”

Regulatory Guide 1.33, “Quality Assurance Program Requirements (Operation)”

ANSI 3.2, “Administrative Controls and Quality Assurance for the Operational Phase of Nuclear Power Plants."

ANSI N45.2, "Quality Assurance Program Requirements for Nuclear Power Plants."

Regulatory Guide 1.114, “Guidance to Operators at the Controls and to Senior Operators in the Control Room of a Nuclear Power Unit.”

NUREG-0711, “Human Factors Engineering Program Review Model.”

NUREG-0737, "Clarification of TMI Action Plan Requirements.”

NUREG/CR-1368, "Development of a Checklist for Evaluating Maintenance, Test and Calibration Procedures Used in Nuclear Power Plants." 

NUREG/CR-1369, "Procedures Evaluation Checklist for Maintenance, Test, and Calibration Procedures."

10 CFR Part 52, “Early Site Permits; Standard Design Certifications; and Combined Licenses for Nuclear Power Plants.”

Nuclear Regulatory Commission, Technical Writing for Supervisors and Their Staff (ADAMS Accession No. ML071500275)

42401-05PROCEDURE COMPLETION

Inspection of the minimum sample size that yield satisfactory results will constitute completion of this procedure.  Unsatisfactory results may demand additional inspections, in accordance with the Assessment & Enforcement program under IMC2505. 

END

Appendix A: Procedure Content

Appendix B: Procedure Usability

Attachment 1: Revision History for IP 42401

APPENDIX A

PROCEDURE CONTENT

Administrative Procedures:  Procedures that provide a clear understanding of operating philosophy and management policies to ensure safe operation of the plant within the limits set by the operating license and Technical Specifications.  They ensure that plant activities are conducted in a manner that will protect the general public, plant personnel, and equipment.

Administrative procedures should also include, as a minimum, a definition of proper shift turnover and a description of what is required for the proper transfer of responsibilities when a reactor or a senior reactor operator on duty is relieved of control room responsibilities during a shift or during shift change.

General Plant Operating Procedures:  Procedures used to guide operations after reactor startup.  General operating procedures include reactivity control procedures.

Startup Procedures:  Procedures that direct reactor operation from shutdown conditions, through startup, and up to power with the generator synchronized.  Startup procedures may also have special provisions for scram recoveries.

Shutdown Procedures:  Procedures that guide system operations during and following a controlled shutdown.  They prescribe the subsequent actions of operators after a scram has occurred, if the reactor is not to be returned to power immediately.  Conditions for these operations may be controlled by a mode switch.

**NOTE**:  Shutdown operations, as well as startup operations, may be guided by a controlling procedure which refers to other procedures for equipment operation or these operations may be an integral part of the procedures.

System Operating Procedures:  Procedures that provide detailed steps to ensure safe operation of the systems which support and control reactor operation.

Surveillance Test Procedures:  Procedures written for each surveillance test listed in the licensee’s technical specifications.  The procedures are provided to ensure that tools, gauges, instruments, controls, and other measuring and testing devices are properly controlled, calibrated, and adjusted at specified periods to maintain accuracy in performing surveillance for safety related equipment.

Abnormal Operating Procedures, Offnormal Operating, Alarm Response Procedures:  Procedures that specify actions to restore an operating variable to its normal controlled value when it goes out of normal bounds, or to restore normal operating conditions following a perturbation.  If the condition is not corrected, it could degenerate into a condition requiring action under an emergency procedure.

Emergency Operating Procedures:  Procedures which specify operator actions to reduce the consequences of an accident or a hazardous condition which has already occurred or developed.  If the condition is not corrected, or prepared for, a threat to the public health and safety may occur, and portions or all of the emergency plan may have to be invoked.

Standing orders:  Orders used to disseminate to the plant staff instructions of a general and continuing nature.  They may deal with items such as job turnover and relief, definition of the duties of operators, transmittal of operating data to management, filing of charts, etc.

Special orders or night orders:  Orders used to disseminate management instructions that have short-term applicability.  They deal with items such as special operations, housekeeping, data taking, plotting process parameters, personnel actions, etc.

Conduct of Operations instructions:  Instructions used to disseminate to the plant staff instructions of a general and continuing nature.  They may deal with items such as job turnover and relief, definition of the duties of operators, transmittal of operating data to management, filing of charts, etc.  Conduct of operations instructions may also be used to disseminate management instructions that have short-term applicability.  They can deal with items such as special operations, housekeeping, data taking, plotting process parameters, personnel actions, etc.

Emergency Plan:  Procedures used to implement the site emergency plan.  Emergency Plan implementing procedures ensure timely and accurate emergency classification, onsite and offsite notification and reporting of emergency events, and identification and recommendation of onsite and offsite protective actions.

Refueling Procedures:  Procedures used during refueling operations. Refueling procedures include fuel receipt and inspection; preparations for refueling including vessel head stud detensioning, vessel head removal, removal of steam dryers and moisture separators, reactor vessel cavity seal installation, and flooding of reactor cavity; refueling bridge operation to include LPRM removal and replacement; fuel movement from a flooded reactor cavity to a spent fuel storage pool; control rod unlatching, removal, and installation; and reactor vessel reassembly, including replacement of reactor vessel O-Rings.

Technical support procedures:  Procedures that relate to activities such as the conduct of preventive and corrective maintenance, measuring and test equipment, radiation protection, and chemistry control.

APPENDIX B

PROCEDURE USABILITY

Incorporating human factors principles into procedures increases the likelihood that the procedures will be easier to use and follow.  Standards for format and writing style will usually be found in the licensee's writer's guide.  Usability should be determined by using the procedure in the plant or in a tabletop exercise or by observing use of the procedure and evaluating the degree to which procedures follow the guidance outlined in the writer's guide.

When a writer's guide is not available or if the writer's guide is in question, procedure usability can be determined by evaluating the elements of writing style and format and organization.  The list that follows each element below describes characteristics that increase the likelihood that a procedure will be performed successfully.

**WRITING STYLE**The information in a procedure is presented in a manner that increases the likelihood that the task will be performed successfully. 

Procedures are more likely to be performed successfully if:

a.The writing style is consistent among procedures within a department and within the same procedure type.

b.The level of detail is appropriate for the complexity of the task and the expected ability of the users.

c. Descriptions of actions to be taken are easy to understand and unambiguous.

1. Action instructions are written as separate and positive commands.

2. Short, simple sentences are used.

3. Multiple actions are written in order of sequence and clearly identify when actions must be completed in order of occurrence.

4. Acronyms and other abbreviations are used consistently and are defined explicitly.

d. Quantitative words are used in instructions.

e. References to equipment or documents contain complete identification information, including plant unit applicability, and exactly match equipment labels.

f. Numerical units used in procedures correspond to the units on the related instrumentation.

g. Conditional statements are presented using the appropriate format.

1. IF and WHEN are used to present a condition.

2. THEN is used to present an action.

3. IF NOT is used in combination with THEN to present an alternative.

4. NOT is used to emphasize an opposite condition (NOT running).

5. AND is used to present all conditions that must be met before taking action.

6. OR is used to present one or more conditions that must be met before taking action.

**FORMAT AND ORGANIZATION**An uncluttered appearance and clear structure of the information in a procedure increases the likelihood that the task will be performed successfully.  Procedures are more likely to be performed successfully if:

a. Organization is hierarchical, logical, consistent, and reveals the organization to users through the use of headings. 

b. Step numbering and structure is not overly complex.

c. Appendices and attachments provide explicit guidance for their allowed use and present relevant information that would be difficult to integrate into the procedure.

d. Figures and charts are explicitly and uniquely identified so they are easy to find within the procedure.

e. The procedure identification information is adequate to ensure the procedure is complete and current.

f. The procedure is legible in the worst expected conditions for use. Type is readable (1) at an expected distance within which the procedure is used, (2) after copying and (3) under degraded lighting.

g. Job aids are used to help users to track their progress through a procedure where applicable.

h. Warnings, cautions and notes (WCNs) are consistent within a department and within a procedure type.

1. WCNs are obvious and address a single topic.

2. WCNs are linked to the related procedure step.

3. WCNs contain no actions.

4. Warnings and cautions identify the consequence of wrong action.

5. Notes supply only supplemental information.

i. The final step is clearly indicated.

j. Checklist information reflects the sequence of information in the steps of the procedure.

PROCEDURE EVALUATION CHECKLIST

Procedure Title/No. 

Revision   Reviewed by   Date 

Review the procedure for each of the following items.  If the procedure possesses the attribute described in the item, check Yes; if the procedure lacks the attribute, check No.  Check N/A (Not Applicable) if the attribute does not apply to the procedure.

An example given in a checklist item is only one way of meeting the evaluation criterion and should not be interpreted as the only way of meeting the criterion.

ATTACHMENT 1

Revision History for IP 42401

Issue Date:  10/27/10 242401

Issue Date: 10/27/10542401