Draft Regulatory Guide (DG)-5043, Training and Qualification Of

U.S. NUCLEAR REGULATORY COMMISSION December 2015 OFFICE OF NUCLEAR REGULATORY RESEARCH Division 5 DRAFT REGULATORY GUIDE Technical Lead James Vaught DRAFT REGULATORY GUIDE DG-5043 (Proposed Revision 1 of Regulatory Guide 5.75, dated July 2009) TRAINING AND QUALIFICATION OF SECURITY PERSONNEL AT NUCLEAR POWER REACTOR FACILITIES A. INTRODUCTION Purpose This regulatory guide (RG) describes approaches and methodologies that the U.S. Nuclear Regulatory Commission (NRC) considers acceptable for the training and qualification of personnel who are assigned duties and responsibilities required for the implementation of Commission-approved security plans, licensee response strategies, and implementing procedures at nuclear power reactor facilities. Additionally, this RG describes methods the NRC staff considers acceptable for designing and implementing the performance evaluation program described in Section VI of Appendix B to Title 10 of the Code of Federal Regulations (10 CFR) Part 73, “Physical Protection of Plants and Materials” (Ref. 1). Applicability This RG provides guidance for power reactor applicants and licensees under 10 CFR Part 50, “Domestic Licensing of Production and Utilization Facilities” (Ref. 2), and under 10 CFR Part 52, “Licenses, Certifications, and Approvals for Nuclear Power Plants” (Ref. 3). Applicable Regulations • 10 CFR Part 73, “Physical Protection of Plants and Materials,” provides requirements for the establishment and maintenance of a physical protection system which will have the capability for protection of special nuclear material. o 10 CFR 73.55(c)(4) requires that licensees shall establish, maintain, implement, and follow a Training and Qualification Plan that describes how the criteria set forth in Section VI of Appendix B to 10 CFR Part 73 will be implemented. This regulatory guide is being issued in draft form to involve the public in the development of regulatory guidance in this area. It has not received final staff review or approval and does not represent an NRC final staff position. Public comments are being solicited on this draft guide and its associated regulatory analysis. Comments should be accompanied by appropriate supporting data. Comments may be submitted through the Federal rulemaking Web site, http://www.regulations.gov, by searching for Docket ID: NRC-2015-0287. Alternatively, comments may be submitted to the Rules, Announcements, and Directives Branch, Office of Administration, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. Comments must be submitted by the date indicated in the Federal Register notice. Electronic copies of this draft regulatory guide, previous versions of this guide, and other recently issued guides are available through the NRC’s public Web site under the Regulatory Guides document collection of the NRC Library at http://www.nrc.gov/reading-rm/doc-collections/reg- guides/. The draft regulatory guide is also available through the NRC’s Agencywide Documents Access and Management System (ADAMS) at http://www.nrc.gov/reading-rm/adams.html, under Accession No. ML14297A272. The regulatory analysis may be found in ADAMS under Accession No. ML142972A274. o 10 CFR 73.55(d)(3) requires that licensees must ensure that security personnel are trained, equipped, and qualified to perform their assigned duties and responsibilities in accordance with Section VI of Appendix B to 10 CFR Part 73 and the Training and Qualification plan. o 10 CFR Part 73.55(d)(3) provides requirements for non-security personnel who are assigned duties and responsibilities required to implement the physical protection plan. • 10 CFR Part 73, Appendix B, Section VI, Nuclear Power Reactor Training and Qualification Plan for Personnel Performing Security Program Duties,” provides performance-based requirements that describe the minimum training and qualifications for individuals assigned to implement the physical protection program at NRC-licensed nuclear power reactor facilities. o 10 CFR Part 73 Appendix B, Section VI, paragraph C.3.(a), requires that licensees shall develop, implement and maintain a Performance Evaluation Program that is documented in procedures which describe how the licensee will demonstrate and assess the effectiveness of their onsite physical protection program and protective strategy. The strategy includes the capability of the armed response team to carry out their assigned duties and responsibilities during safeguards contingency events. Related Guidance • RG 5.76, “Physical Protection Programs at Nuclear Power Reactors,” (Ref. 4) provides approaches the NRC staff has found acceptable for meeting the requirements of 10 CFR Part 73. • RG 5.81, “Target Set Identification and Development for Nuclear Power Reactors,” (Ref. 5) provides guidance on implementation of requirements for physical protection of licensed activities in nuclear power reactors against radiological sabotage. Purpose of Regulatory Guides The NRC issues RGs to describe to the public methods that the staff considers acceptable for use in implementing specific parts of the agency’s regulations, to explain techniques that the staff uses in evaluating specific issues or postulated events, and to provide guidance to applicants. RG are not substitutes for regulations and compliance with them is not required. Methods and solutions that differ from those set forth in RG will be deemed acceptable if they provide a basis for the findings required for the issuance or continuance of a permit or license by the Commission. Paperwork Reduction Act This regulatory guide contains and references information covered by 10 CFR Part 73 that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) These information collections were approved by the Office of Management and Budget (OMB), control number 3150-0002. Public Protection Notification The NRC may not conduct nor sponsor, and a person is not required to respond to, a request for information or an information collection requirement unless the requesting document displays a currently valid OMB control number. DG-5043, Page 2 Table of Contents A. INTRODUCTION ......................................................................................................................... 1 B. DISCUSSION ................................................................................................................................. 6 C. STAFF REGULATORY GUIDANCE ...................................................................................... 10 1. General Requirements and Introduction .................................................................................... 10 2. Employment Suitability and Qualification ................................................................................. 12 2.1 Suitability ............................................................................................................................... 13 2.2 Physical Qualifications ......................................................................................................... 13 2.3 General Physical Qualification ............................................................................................ 14 2.4 Vision and Hearing ............................................................................................................... 14 2.5 Existing Medical Conditions ................................................................................................ 15 2.6 Addiction ................................................................................................................................ 15 2.7 Other Physical Requirements .............................................................................................. 15 2.8 Psychological Qualifications ................................................................................................. 15 2.9 Medical Examinations and Physical Fitness Qualifications ................................................... 15 2.10 Physical Requalification ....................................................................................................... 16 2.11 Documentation ...................................................................................................................... 16 3. Duty Training ................................................................................................................................ 17 3.1 Critical Knowledge, Skills and Abilities (KSAs) ................................................................... 17 3.2 Security Personnel Training ................................................................................................ 18 3.3 Training of Personnel ........................................................................................................... 19 4. On-the-Job Training ..................................................................................................................... 20 5. Performance Evaluation Program .............................................................................................. 22 5.1 Tactical Response Drills and Force-on-Force Exercises ......................................................... 22 5.2 Types of Tactical Response Drills and Force-on-Force Exercises ......................................... 22 5.3 Defining Participation........................................................................................................... 24 5.4 Key Program Elements ........................................................................................................

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