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ANOT MEASUREMENT

DOE-HDBK-I074-95January 1995

DOE HANDBOOKALTERNATIVE SYSTEMATIC APPROACHEST O TRAINING

U S. Department of EnergyWashington, D.C. 20585

FSC 6910

DISTRIBUTION STATEMENT A. Approved for public release; distribution is unlimited.

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Thisdocument has been reproduceddirectly from thebest available copy.Available toDOE andDOE contractors from the Office of Scientific andTechnical Information, P.O. Box 62, Oak Ridge, TN 7831; (615) 576-8401.AvaiIable to thepublic ftom the U.S. Department ofCommerce,TechnologyAdministration, National Technical Infomation Service, Springfield, VA 22161;(703) 48 74 50 .OrderNo. DE9500685 1

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DISCLAIMERThis report was .prepared as an account of work sponsoredby an agency of the United States Government. Neitherthe United States Government nor any agency thereof, norany of their employees, make any warranty, express orimplied, or assumes any legal liability or responsibility forthe accuracy, completeness, or usefulness of anyinformation, apparatus, product, or process disclosed, orrepresents that its use would not infringe privately ownedrights. Reference. herein to any specific commercialproduct, process, or service by trade name, trademark,manufacturer, or otherwise does no t necessarily constituteor imply its endorsement, recommendation, or favor ing bythe United States Government or any agency thereof. Theviews and opinions of authors expressed herein do notnecessarily state or reflect those of th e United StatesGovernment or any agency thereof.

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DISCLAIMERPortions of this document may be illegiblein electronic image products. Im ages areproduced from th e b est available originaldocument.

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TABLE OF CONTENTSPARAGRAPH PAGE

FOREWORD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iSCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iiiAPPLICABLE DOCUMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vDEFINITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . viiINTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 GENERALGUIDANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

1.1 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31.2 The Need for Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31.3 Effective Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41.4 Alternative Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51.5 Application of the Systematic Approach t o Training . . . . . . . . . . 8

2.ANALYSlS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112.2 Selecting an Analysis Technique . . . . . . . . . . . . . . . . . . . . . . . 112.1 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112.3 Types of Analyses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112.4 Selecting Tasks for Training . . . . . . . . . . . . . . . . . . . . . . . . . . 152.5 Elements of Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162.6 Products of Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 2.7 Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162.8 Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 7

3. TRAINING DESIGN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193.1 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193.2 Techniques of Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193.3 Elements of Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193.4 Products of Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203.5 Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203.6 Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

4 TRAINING DEVELOPMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254.1 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254.2 Techniques for Development . . . . . . . . . . . . . . . . . . . . . . . . . 254.3 Elements of Development . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

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4.4 Products of Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264.5 Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264.6 Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

5.TRAINING IMPLEMENTATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295.1 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295.2 Techniques for Implementation . . . . . . . . . . . . . . . . . . . . . . . . 295.3 Elements of Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . 325.4 Products of Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . 325.5 Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 335.6 Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

6. TRAINING EVALUATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356.1 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356.2 Methods of Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356.3 Elements of Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366.4 Products of Training Evaluation . . . . . . . . . . . . . . . . . . . . . . . . 366.5 Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 376.6 Conducting Training Evaluations . . . . . . . . . . . . . . . . . . . . . . . 376.7 Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

APPENDIX AFACTORS AFFECTING TECHNIQUE SELECTION . . . . . . . . . . . . . . . . A-1

APPENDIX BSAMPLE TEMPLATE FOR DETERMINING SYSTEM KNOWLEDGE AND

SKILLS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B-1APPENDIX C

ON-THE-JOB TRAINING GUIDANCE . . . . . . . . . . . . . . . . . . . . . . . . . C-1APPENDIX D

MINIMUM ELEMENTS FOR A SYSTEMATIC APPROACH TOTRAINING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D-1

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FOREWORD

The Alternative Systematic Approaches to Training handbook is approved for useby all DOE Components and contractors. The handbook was prepared primarily forDOE nuclear facilities, but the information can be effectively used by any othertype of facili ty. DOE nuclear, DOE non-nuclear, commercial nuclear reactor, fuelfabrication, chemical processing, or other types of facilit ies may also apply theprinciples of this approach and find it useful and applicable to local needs.

The handbook provides DOE and contractor operating organizations with conceptsand guidance regarding the use of alternative techniques to implement asystematic approach to training (SA T) . The techniques described in this handbookare endorsed by DOE and use of the guidance in this handbook is appropriate forestablishment of technical training programs at DOE nuclear facilities. The use ofguidance on selection and implementation of appropriate training approaches afterconsideration of job complexity, the consequences of error based on risk/hazardpotential, and available training media should result in effective and efficienttraining programs. The information presented in this handbook can be used tograde the level of ef fort and formality used in developing training programs.The development of training programs by any method is inherently a gradedapproach. Once a method is chosen the level of activi ty required to developtraining is directly related to the complexity of the job. Full application oftraditional techniques without regard for the risk and hazard potential associatedwith performance may result in significant expense and effort that is notnecessary. While selective application of appropriate SAT techniques is important,it should be noted that other factors such as the competency of the instructionaldevelopers, availability and quality of subject matter experts, current status oftraining, availability of operating procedures, and support of l ine management willimpact the success of training programs regardless of the techniques used.

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Beneficial comments (recommendations, additions, deletions, and any pertinentsupporting data) that may be of use in improving this document should beaddressed to

John A. YoderU.S. Department of EnergyWashington, D.C. 20585Phone (301) 903-5650Facsimile (301) 903-6172

EH-3.3/GTN

by using the U.S.Department of Energy Standardization Document ImprovementProposal Form (DOE F 1300.3) appearing a t the end of this document or by letter.

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APPLICABLE DOCUMENTS

DOE/EP-0095, Guidelines for Job.and Task Analysis for DOE NuclearFacilities

DOE-HDBK-1078-94, Training Program Handbook: A Systematic Approachto Training.

DOE-NE-STD-1001-91, Guide to Good Practices for Training andQualification of Instructors.

DOE-STD-1005-92, Guide to Good Practice for Developing LearningObjectives.

DOE-STD-1009-92, Guide to Good Practices for the Development of TestItems.DOE-STD-1011-92, Guide to Good Practices for the Design, Development,and Implementation of Examinations.DOE-STD-1012-92, Guide to Good Practices for On-the-Job Training.

DOE-STD-1070-94, Guidelines for Evaluation of Nuclear Facility TrainingPrograms.DOE-HDBK-1076-94, Guide to Good Practices for Table-Top Job Analysis.

I O . DOE-HDBK-I 086-95, Table-Top Training Program Design.11. DOE Order 5480.23, Nuclear Safety Analysis Reports, of 4-10-92.

12. TG-17, Nuclear Information and Records Management AssociationGuidelines for Managemen of Nuclear Related Training Records.

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DEFlNIT10NS

1 . Competencv. The ability of a person to perform job responsibilities.2. Graded Approach. A process by which the level of analysis, documentation,

and actions necessary to comply with a requirement are commensuratewith: (1 ) the relative importance to safety, safeguards, and security; (2) h emagnitude o f any hazard involved; (3)h e life cycle stage of a facility; (4)the programmatic mission of a facility; ( 5 ) the particular characteristics of afacility; and (6) any other relevant factor.

3. Hazard. A source of danger (i.e., material, energy source, or operation) withthe potential to cause illness, injury, or death to personnel or damage to afacility or to the environment (wi thout regard to the likelihood or credibilityof accident scenarios or consequence mitigation).

4; Hazard Cateaories. The consequences of unmitigated releases of radioactiveand/or hazardous material are evaluated as required by DOE Order 5480.23and classified by the following hazard categories:

(1 The hazard analysis shows the potential for significant offsiteconsequences.

(2) The hazard analysis shows the potential for significant onsiteconsequences.

(3) The hazard analysis shows t h e potential for only significant localizedconsequences.

5 . Job Analvsis. A systematic method used in obtaining a detailed listing ofthe tasks of a specific job.

6. ODeratinq Oraanization. The onsite contractor organization responsible foroperation, maintenance, and technical support services related to operations.This organization may include offsite personnel who provide operationalsupport.

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7. Risk. The quantitative or qualitative expression of possible loss thatconsiders both the probability that a hazard will cause harm and theconsequences of that event.

8. Task. A well-defined unit of work having an identifiable beginning and en dwhich is a measurable component of the duties and responsibilities of aspecific job.

9. Task Analvsis. The systematic process of examining a task to identify skills,knowledge, and/or abilities required for successful task performance.

10. Trainina. Instruction designed to develop or improve job performance.11. Trainina Proaram. A planned, organized sequence of activities designed to

prepare individuals to perform their jobs, to meet a specific position orclassification need, and to maintain or improve their performance on the job.

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INTRODUCTION

This guidance has been developed to help organizations establish training programsthat are systematic and effective regardless of the size, nuclear hazardclassification level, complexity, or mission of the facility. Using alternatives to themore traditional methods of establishing systematic training programs cansignificantly reduce the time and effort associated with the training process.Alternat ive approaches streamline analysis, design, development, implementation,and evaluation of training materials and programs. Alternative deliverymechanisms such as structured self-study, computer-based training (CBT), orinteractive video/multi-media should also be considered where appropriate.

Techniques range from very simple to elaborate. The least elaborate techniquesare typically used for the training of managers, the technical staff, and oversightpersonnel. For these positions, the training process may only require 1) anevaluation of the job to determine significant job requirements, 2) an evaluation ofthe education, experience, and prior training of job incumbents to identifydeficiencies between job requirements and th e individual's current qualifications,and 3) implementation of a plan for the individual to correct the identifieddeficiencies. The plan may include temporary rotat ional job assignments,mentoring, required reading, attendance at workshops, seminars, professionalsociety meetings, and training on specific areas that are applicable to the jobrequirements.More elaborate techniques, typically necessary for higher risk jobs such as fissilematerial handlers, reactor operators and senior reactor operators, would normallyinvolve some form o f job and task analysis followed by development of detailedlearning objectives, lesson plans, job performance measures (JPMs), etc.

Regardless of the techniques used, a strong evaluation process is necessary toensure effective implementation, timely updates, and periodic improvements.

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1. GENERAL GUIDAN CE1.1 Discussion

The Department of Energy has ultimate responsibility for the safe, efficient,and economical operation of i ts facilities. Therefore, the involvement of allaffected DOE organizations is essential in the selection of effective andeff icient training techniques and approaches. DOES early and frequentinvolvement, particularly at th e local level, is necessary to ensure that thetechniques chosen by the contractor are acceptable and consistent with theDepartments goals, policies, and requirements.

Personnel training is the direct responsibility of line management. Thishandbook discusses alternative techniques that can be incorporated to assistline management in making decisions about resources that are committed totraining. The training organization should provide support to l inemanagement in implementing the most economical and efficient techniquesfeasible. Techniques other than those discussed in this handbook can yieldsatisfactory results and serve the customers (the line organization) needs.Where possible, alternative approaches that save time and/or money shouldbe used. Grading the more traditional training practices described in DOE-HDBK-1078-94, Training Program Handbook: A Systematic Approach toTraining, and DOE/EP-0095, Guidelines for Job and Task Analysis for DOENuclear Facilities, contributes to this economy while maintaining a credibleand effective training program.Where alternative techniques have proven to be successful, t h e Departmentencourages their continued use and refinement. DOE Headquarters, fieldorganizations, and contractors are encouraged to discuss and sharetechniques that have proven effective in reducing resource requirements fortraining program development.

1.2 The Need for TrainingBefore any significant training effor t is expended t o address a performanceproblem, it is important that an assessment be made to determine whetheror not training is the solution to the problem. Key questions that should beconsidered include:

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What is the performance problem?What is the desired performance?Will training help to bring current performance to the desired level?

Management must recognize and consider other factors which impactperformance that may not be corrected wi th training. Factors such asquality o f procedures, human factors, management style, and the workenvironment also affect performance. This assessment is part of th esystematic approach to training and is referred to as a training needsanalysis.

1.3 Effective TrainingThe goal of training is to develop and maintain a competent work force. Asystematically established program which accomplishes this goal meets DOEexpectations. A graded approach that uses alternatives to traditionalsystematic training techniques is acceptable and encouraged.There are several traditional systematic approaches to training includingPerformance-Based Training (PBT), Instructional Systems Design (ISD), andCriterion Referenced Instruction (CRI). These approaches all have commonelements that are:

e

Job Based. Training focuses on the job (i.e., the tasks and thecriteriaktandards necessary for proper performance).Sequential. The program (every lesson and every lesson plan) islogically and sequentially integrated.Tracked. A tracking system (such as the task t o training matrixdescribed in DOE HDBK-1078-94, Training Program Handbook: ASystematic Approach to Training) is established which allows changesand updates to training materials to be accommodated efficient ly.Evaluated. Evaluation and corrective action allows continuousimprovement and maintenance of training information that reflectscurrent status and conditions.

Grading of training efforts and using alternatives to the more traditional SATtechniques should not be misconstrued to mean a reduction in quality.Rather, the level of detail and formality are tempered by factors such ashazard and risk, cost-benefit, and productivi ty. Regardless of the hazard

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associated with a f ac il it y, s o m e j obs a nd ma n y tasks are low risk. T h ed e v e l o p m e n t of training for ANY job/ t ask shou ld be grade d . Wi th in a high-ha z ard f a ci li ty , t h e c on s e q ue n c e s of i n a d e q u a t e p e r fo r m a n c e of s o m e t a s k sm a y p o s e a low risk to the individual, t h e workforce, t h e e n v i r o n m e n t , a n dth e publ ic . Training materials for these t a s k s d o n o t n e ed to b e as detai ledo r as formal ly deve loped an d implemented a s th e t ra ining ma ter ia ls for high-c o n s e q u e n c e t a s k s in t h e s a m e j ob . Line a n d tr ai ni ng m a n a g e m e n t a r ee x p e c t e d to c o n s id e r t h e s e f a c t o r s a n d to m ak e cos t -e ffec t ive t ra in ingd e c is i o ns t h a t m e e t t h e e x p e c t a t io n s a n d t h e r e q u ir e m e n ts of t h e j o b a n d t h ec o g n i z a n t DOE field organization.

1.4 Alte rna t ive TechniquesT h e t e c hn i qu e s des c r ibe d i n t h i s ha ndb ook allow lat i tude in making trainingc o n s i s t e n t w it h t h e jo b r e q ui re m e n ts . T h e f u n d a m e n t a l e l e m e n t s of S A T aret h e k ey a n d a f u n d a m e n t a l S A T a p p r o a c h is r e fl e ct e d t h roug hou t .A l te rna t ive t e c hn i q ue s s t r ea ml i ne t h e p roc e s s e s t h a t ha v e h i st or ic al ly be e ndr iven by formal guidan ce do cu me nts . Th e fo llowing a l t e rna tives tot rad it ional app roa che s , used in conjunc tion wi th t h e informat ion in AppendixA, is p r e s e n t e d to h el p m a n a g e m e n t c o n s i d e r a n d select t h e m o s t r e as o n a b l ean d cos t -e f fec t ive t echnique(s1 for t h e specific t ra ining and faci l i ty needs .1.4.1 Table-Top

T h e t a b le - t op p roc e s s is facil i tated by a p e r so n w h o is familiar wit htab le - top t ech niq ues and appl ica tion of t h e r es u l ts . F or t h e t a b le - t opt e c h n i q u e to b e effective, a minimum of o n e j ob i n c u m b e n t a n d o n es u p e r v i s o r a r e n e e d e d to d i s c u s s t h e task(s) o r topic(s) The facilitatorc o n d u c t s t h e s e ss i on ( s ) a n d d o c u m e n t s t he informat ion.T h e success of t h i s t e c hn i que de p e n ds p r imar ily o n t h e expertise oft h e g r o u p a n d t h e facilitator's ability to extract a n d s u m m a r i z einformation an d l ea rning s t ra teg ie s . This p r o c e s s is m o s t u s e fu l a n def fec t ive in ana lysi s , des ign , and de ve lo pm ent .1.4.1 I Analys is

T h e t a b le - t op m e t hod of job ana lys i s typ ica lly co ns i s t s of:

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Orienting the team.Reviewing the job.Identifying t h e duty areas associated with the job.Identifying the tasks performed in each duty area andwri te task statements.Sequencing the duty areas and task statements.Selecting tasks for training.

The Guide to Good Practices for Table-Top Job Analysis, DOE-HDBK-1076-94 contains detailed guidance on the table-topmethod for conducting job analyses.

1.4.1.2 DesignA table-top approach to design is used to determine and designthe content of a training program. The table-top methodtypically involves the following steps:ee

e

Developing a curriculum outline.Determining the content of each training session andwriting learning objectives, and determining theappropriate learning strategy (instructional method andsetting).Determining testing requirements.

The Table-Top Training Program Design handbook, DOE-HDBK-1086-95, contains detailed guidance on the table-top methodfor designing training materials and programs.

1.4.1.3 Development

The table-top method can also be used to review and modifyexisting facility training materials or materials from similarfacilities to minimize development efforts. This method iseffective in identifying equivalent material and verifying theapplicability of the content. Table-top development may also beused to develop OJT materials such as J P M s (or theirequivalent) and OJT guides by analyzing various tasks as agroup and writing training materials.

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1.4.2 VerificationThis technique allows training program products to be determinedbased on work at other facilities on the same or similar tasks ortopics. This process can save significant effort and cost.Communication with, or benchmarking visits to, both government andprivate facilities will enable facilities to take advantage of existingexperience and materials. Industry analyses that can be adapted toDOE nuclear facility positions are available for many of the reactoroperator, reactor supervisor, maintenance, and technician positions.Use of these lists require the help of SMEs and a trained facilitator.These experts use the lists to decide which tasks apply and to identifythe tasks that require modification to reflect job requirements. Othersources of information and industry guidelines that may identify job-related training requirements include guides to good practices, DOEtechnical standards, other DOE facilities, commercial nuclear utilities,and vocational programs.The verification technique consists of the following steps:0 Gathering relevant existing training materials and task

information from local and external sources.Comparing this information to the facility-specific needs.Modifying the information as needed.Verifying th e accuracy of the information by SMEs.

0

0

0

1.4.3 Document AnalysisThis technique is especially valuable when accurate procedures andother job-related documents are available. Document analysis is asimplified technique for determining required knowledge and skillsdirectly from operating procedures, administrative procedures, andother job-related documents. An SME and a trainer review eachsection and step of the procedure or document to determine trainingprogram content.

Document analysis consists of the following steps:0 Review the procedure or document and list the knowledge and

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skills required by a worker.Verify the accuracy of the results.

1.4.4 TemplatingTraining content can be determined by the careful review/analysis of atemplate (a list of facility systems, theory topics, or a list of genericlearning objectives). The template technique uses a simplified processfor determining content or developing learning objectives associatedwith the operation or maintenance of a specific facility system. Thistechnique produces generic and system-specific learning objectives forthe training and evaluation of facility personnel.Some facilities have approached the design of training based on thesystems an individual operates or maintains. A template containinggeneric learning objectives is reviewed by subject matter experts forapplicability. This approach directly generates system-specificterminal and enabling learning objectives. It is important that thetemplate be carefully reviewed to determine the applicability of eachitem to the system. If this review is not accomplished, the result canreadily become "know everything about everything." Appendix Bcontains an example template for system knowledge and skills.

The template technique includes the following steps:0

0

Develop or modify an existing template to meet facility needs.Use of a trainer and a subject matter expert(s) to selectapplicable objectives and/or complete portions of the templatefor a given system, component, or process.

1.5 Application of the Systematic Approach to TrainingTraditional applications of SAT encourage application of the process indistinct steps. Analysis, design, development, and implementation areaccomplished in sequence and one phase is completed before the next isstarted. Evaluation is conducted during and after each phase. Alternativesencourage integration of these steps whenever possible. This simply meansthat there will likely be some analysis that occurs in the design anddevelopment phases and some design work can be accomplished in the

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analysis phase. For example, in many cases it is possible and reasonable toprogress directly from a task sta tem ent to a learning objective. Experiencewith field application of an integrated approach has identified opportunitiesfor streamlining of the process and has resulted in significant time andresource savings.

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2.ANALYSIS2.1

2.2

2.3

Purpose

Analysis provides the core information that is essential in establishingprograms that are job related. There are several different types of analysesthat each have value when applied appropriately to reflect the complexityand r isk associated with job performance. Analysis is used in programdevelopment, program revision, and program improvement. Analysis is cost-effective in the long term because it ensures that training resources are usedef fecively (only job-related tasks are identified and included in the trainingprogram).

Selecting an Analysis Technique

Factors specific to analysis to consider when selecting an analysis techniqueinclude:aeeee

Availability of similar task lists.Availability and accuracy of job-related procedures.Availability of Safety Analysis Reports (SARI.Quality of existing training materials.Availability and quality of input from SMEs.

These factors supplement the considerations in Appendix A. If theavailability of SMEs is limited, a verification analysis (if a task list isavailable) or an analysis of procedures and other job related documentsshould be conducted. Lacking the aforementioned resources, job analysisshould be conducted using either table-top or traditional techniques. Inpractice, a combination of table-top, verification, and document analysistechniques has generally proven to be most efficient.

Types o f Analyses2.3.1 Needs Analysis

When a performance deficiency is being addressed, a needs analysisdefines deficiencies or problems and identifies causes and solutions.Needs analysis is a systematic search for the deficiencies between

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actual and desired job performance and the factors that preventdesired job performance.

A needs analysis should be performed whenever new requirements areissued, when job performance is below standards, and when requestsfor changes to current training or for new training are received. Aneeds analysis helps assure training is the appropriate solution,identifies the training issue(s), and ensures that instruction on thetopic is not already included in an existing training program.

Determination of the cause of performance deficiencies and potentialsolutions is th e primary purpose of needs analysis. A needs analysiswhich addresses a specific performance problem helps managementdetermine whether or not the problem can be resolved by training or i fnon-training issues must be addressed. Job aids, revised procedures,increased management attention, etc., may be solutions that do notrequire training. Depending on the application, needs analysis shouldinclude:

A review of regulations (RCRA, OSHA, DOE orders, standards,etc.) to determine training requirements.A review of occurrence reports, performance indicators, andother performance feedback to identify trends and weaknesses.Interviews/interactions with job incumbents, supervisors, andfacility management to identify needs.S M E table-top discussions to identify and define performanceproblems associated with the job.

Needs analysis provides documentation of the determination of needsand recommended solutions. If training is needed, th e needs analysisshould provide the following information:

Performance deficiencies.Barriers to desired job performance.Recommended training solutions.

2.3.2 Functional AnalysisWhen a position that performs a large number of tasks (e.g.,

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management or engineering) is being analyzed, a technique calledfunctional analysis can be used. Rather than conduct ing a jobanalysis to identify specific tasks, major functions within the positionare identified. After the competencies necessary to perform the majorfunctions are identified, those competencies can be analyzed todetermine objectives for training. Functional analysis can beconducted using the techniques described in this handbook.

2.3.3 Job AnalysisJob analysis is a process which develops a list of tasks for a specificjob or position. Job analysis provides reasonable assurance that tasksessential to safe operation are identified for training. It also identifiestasks that are vital to facility operation and tasks tha t are of lesserconsequence. This information helps management assign resourceswhere they are most needed.

Job analysis involves developing a task list, selecting tasks for trainingand determining the appropriate level (train and/or overtrain), andvalidating the results. There are many approaches to accomplishingthese three steps. Some techniques (such as those described inDOE/EP-0095, Guidelines for Job and Task Analysis for DOE NuclearFacilities) can be relatively elaborate, and while they may provide asomewhat higher level of confidence in the validity of their results,these techniques are both time consuming and expensive. Highlyformal techniques should only be used for jobs that are exceptionallyhazardous and when other less expensive approaches will not workbecause of complexity o f t h e task or absence of reference sources(e.g., SMEs, procedures, and other technical documentation). Moreefficient and less complex techniques (e.g. table-top job analysis)should be used whenever possible. Use of the table-top job analysistechnique will generate acceptable results in a short period of time.As a general rule, the lower the impact improper performance of a jobhas on environmental, safety, and economic factors, the lesselaborate the analysis technique should be.

The fol lowing are examples of documents that should be reviewed todetermine job scope and/or performance requirements whenconducting job analysis.

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J o b or ta sk a na l yse s da ta of s imi la r jobs (e .g. , DOE nuc learfacilities or commerc ia l nuclea r po we r facilities).Sta nda rd opera t ing procedures .Emergency /Abnormal opera t ing proce dure s .Exist ing qualif icat ion d oc um en ts .Sa fe t y Analys is Repor ts (SARs) .J o b d e sc r ip t io n s.Group, depar tmen t , and/or d iv ision pro cedu res .Alarm res pon se procedures .C on se nsu s - ba s e d c on te n t gu ide lines .Work Authorization Directives (WADS).Technica l Safe ty Requirements (TSRs).S y s t e m d e s ign de scr ip tions .Equip me n Sys em o pe atin g /v e n do m a n ua s.Occ ur ren ce Repor ts (ORs) .Invest igative Reports .

2.3.4Task AnalysisTask analysis is a p r o c e s s of examining e a c h task, o n e a t a t ime, toidentify t h e task e le me n t s or ac t ion steps, knowle dge , a n d skil ls .Ta sk a na ly s is is c o n d u c t e d after t h e task list is c o m p l e t e d an d t a s k sh a v e b e e n s e l e c te d for training. It is n o t n e c e s s a r y to ident ify ta ske l e m e n t s or action s teps , knowledge , and ski l l s for t h o s e t a s k s t h a t d ono t require tra ining. Task a n al ys i s c a n b e c o n d u c t e d u s i n g a table- topa ppr oa c h , ver if ic at ion t e c hn iq ue s , su r ve y s , or in te rv iews. Theset e c hn ique s de te r mine:0 Knowledge and skill requi rements .0 Task tes t in g l imita tions.0 Elements of t h e task to be t e s t e d .e Entry-level requirements.a Ampli fy ing condi t ions and s t and ard s .0 Evaluation requirements.F orma l, de t a il e d t a sk a na ly s is c a n b e t ime c onsum ing a n d e xpe ns ivet o c o n d u c t a n d s h ou l d b e u s e d o n ly w h e n o t h e r less detai ledt e c h n i q u e s d o n o t p r o d u c e sa t i s f ac t o r y results. Information oncon duc t ing de ta i led ta sk ana lys is is found in DOE/EP-0095, Guidelines

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fo r Job and Task Analysis for DOE Nuclear Facilities.2.4 Selecting Tasks for Training

After the task list is developed, it is necessary to determine which tasks areimportant t o the facility mission and which are not as important and,therefore, do not warrant formal training. This decision has a significantimpact on training resources. If the criteria for determining which tasks areimportant to the facil ity mission are too broad, a great deal of resources maybe needed to design, develop, implement, and maintain training.Conversely, if the selection.criteria are too restrictive, training deficienciesmay exist and result in costly personnel errors. The key to an effectivebalance is to ensure that the correct people are involved in the decisions,and that criteria appropriate to the facility's mission are used. The correctpeople are the people who know the job, the task, and the associatedhazards and complexity of performance.

There are several techniques for selecting tasks for training. The traditionaltechnique involves determining the difficulty, importance, and frequency ofeach task and applying the results to a decision tree that contains numericalvalues for each trait. Other techniques, such as SME discussion andconsensus, can produce acceptable results. However, it must beunderstood that the results of any technique used are not absolute andshould be challenged, evaluated, and refined as necessary. In all cases, theresults should accurately reflect job requirements and should have theconcurrence of job incumbents and management.

Regardless of the selection technique used, tasks are identif ied and groupedas "train," "no-train," and "overtrain/retrain." Train is defined as requiringinitial training, no-train is defined as requiring no formal training, andovertrainhetrain is defined as requiring both initial and continuing training.Even though "no-train" tasks do not require formal training, possession ofthe knowledge and skills associated with the task is sti ll necessary. Theseknowledge and skills are normally addressed with entry-level requirements orare readily learned as part of working in the position to which they areassociated. Some facilities include no-train tasks in their qualificationcard/c hec klist.

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t ime " t ra ining. Th e s e a r e t a s k s th a t require t rain ing , bu t will n o t b e t a u g h tunt il th a t spec i f ic kno wled ge and skill is ne e de d . F or e xa mp le , t a sksspec i fica lly ass oc i a te d with m a i n t e n a n c e of a c o m p l e x p u m p c ou ld b e s t b et a u g h t j u s t p ri or to s c h e d u l e d m a i n t e n a n c e .

2.5 Elements of AnalysisT h e f u n d a m e n t a l e l e m e n t s of t h e a n al y si s p h a s e are:

Key f ac il it y pe r sonnel ( li ne ma n a ge m e n t a n d s ub je c t ma t t e r e xp e r t s )are involved in t h e a n al y si s p r o c e s s a n d c o n c u r with t h e results .Ne e ds a na ly s is is u s e d to a dd r e s s pe r f o r ma nc e de f ic i e ncie s a ndide n ti fy a c t io ns ne c e ssa r y to correct t h e m .Jo b a na ly s i s is c o n d u c t e d to d e t e r m i n e t h e t a sks required fo r jobper formance . Tasks are identif ied, d oc um en te d, an d pr iori tizeda c c o r d i n g to organizational goals.Task s t a t e m e n t s are writ ten.Tasks a re selected fo r training.Task ana lys is is c o n d u c t e d ( i f n e c e s s a r y ) to d e t e r m i n e t h e k n o w l e d g ea n d skills t h a t are n e c e s s a r y for t h e job.Th e a na ly si s p r o c e ss a nd r e su l t s are doc ume nte d a nd ma inta ine dc u r r e n t.

2.6 P r o d u c t s of AnalysisP r o d u c t s that typical ly result f rom anal ysis include t h e following:

Ne ed s ana lys is da t a (e .g . , desc r ip t ions of exist ing tra iningdef icienc ies , t r a inee / lea rner need s , an d regulatory requi rements) .T a s k s list(s).T a s k s t a t e m e n t s .

2.7 Application2.7.1 Facility Involvement

If t h e correct people are n o t u s e d , t h e r es ul ts o f e v e n t h e m o s tde ta i led ana lys is can be less t ha n sa t is f a cto r y. P a r ti c ipan t s mu s t bewell a c qua in te d wi th t h e j o b a n d - m u s t u n d e rs t an d t h e c o n s e q u e n c e s

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of poor or improper performance of tasks. Facility personnel whoshould be involved in analysis include experienced SMEs, supervisors,management, qualified training staff, and as necessary, faci lityengineering, safety, and other technical support staff. The technicalsupport s taff can be especially helpful when new systems orprocedures are involved. Facility personnel involvement in analysishelps ensure training decisions belong to facil ity personnel since theresults of analysis are used to design training that meets the needs ofthe job incumbents and line management. The job incumbent shouldbe viewed as the customer and the analysis process as a method formeeting customer requirements.

2.7.2 Periodic Needs and Job Analysis UpdatingTask lists serve as the foundation for initial and continuing trainingprograms and must be kept up to date. The frequency o f the updatecan vary from as-needed to every tw o years, depending on thenumber of changes that impact training (expected or actual) andtra ining organization procedures. Program-level needs analyses canalso be conducted on a periodic basis as part of program evaluation todetect performance deficiencies before they lead t o personnel errors.

2.7.3 Transition to Design ActivitiesThe practices described in DOE/EP-0095, Guidelines fu r Job and TaskAnalysis for DO N uclear Facilities, encourage the completion of taskanalysis prior to starting the design phase. An alternative approachthat combines task analysis with the design and development oftraining materials has also been found t o be successful and efficient.The time and expense of completing the task analysis before designand development is avoided and training material can be developedand ready for use sooner (and therefore more economically).Accordingly, combining task analysis activities with design anddevelopment activities is strongly encouraged whenever feasible.

2.8 DocumentationDocumentation should be maintained tha t describes the activities o f theanalysis phase. Written procedures and forms that support this

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documentation are readily available within t h e DOE complex. Task lists anda record of the participants provide adequate documentation in most cases.Reference to existing task lists, guides to good practices, and similar sourcesof information should be made when such sources form the basis of tasksselected for training.

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3. RAINING DESIGN

3.1

3.2

3.3

P u r p o s eT ra in in g d e s ig n p r o d u ce s a t ra in in g d ev e lo p men t p lan t h a t g u id es t h ecrea t ion o f all t raining mater ials and strategies. It is impor tan t to d e s i g n a neff icient , ef fe ct i ve t raining program that is based o n an a ly si s data a n dreflects job per formance r equ i rements .T e c h n i q u e s of DesignT h e t e c h n i q u e s fo r d e te rm i ni ng t r ai ni ng c o n t e n t , s e q u e n c e , a n d s t r a t e g i e sm ay va ry f ro m highly-formal to l ess - fo rmal an d s t r eaml ined . Use of ac o m b i n a t i o n of traditional, table-top, v eri fi ca ti on , an d d o c u me n t / t e mp l a t et e c h n i q u e s will usual ly be mo st ef ficient. For addi t ional informationregarding tech n iq ue se lec t ion , see Appendix A.Regard less of t h e t e c h n i q u e selected, t h e fol lowing act ivi t ies general ly occurdur ing t raining de sign:0 Terminal learning object ives are wri t ten .0 Enabling learning object ives a re wr i t ten.

T es t i n g r eq u ir emen t s are determined .0 Train ing con ten t for each unit of instruct ion is d e t e r m i n e d .0 A t raining program plan is developed .0 The d e s i g n process is d o c u m e n t e d .E lements of Design3.3.1 Fu n d a men ta l E l emen t s of Training Design

0 Analysis resul ts are u s e d to d e t e r m i n e t h e c o n t e n t o f t h etraining program . Terminal learning objectives that a r eo b s e r v a b l e a n d m e a s u r a b l e are wri t ten f rom task s t a t e m e n t s .Job incumbents , the i r superv isor s , and l ine management areinvolved in establishin g initial an d con tinu ing training prog ramc o n t e n t r e qu i re m e n ts a n d c o n c u r with t h e r esu lt ing des ign .Tra in ing p rog ram s are des igned to en su re ini tial t raining

0

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e

p r ov i de s r e a s o n a b l e a s s u r a n c e t h a t t h e k n o w l e d g e a n d ' ski l lse sse n t i a l to j ob pe rf o r ma nc e a r e ma s te r e d by t h e t r a i n e e s aftert ra ining. Continuing tra ining is d e s i g n e d to mainta in ande n h a n c e j o b p e rf o rm a n ce . Elements of continuing tra iningshou ld include f ac il it y c ha n ge s , c ha ng e s to t h e scope of tasks,proc edur e ch an ge s , fac il ity and industry opera t ing exper i ence ,tra ining to c or r e c t obse r ve d pe r f o r ma nc e de f ic i enc ie s , c ha ng ingregulations, over-train tasks f r om t h e j ob a na ly s i s, a n d o th e rinformation that requires per iodic refresher tra ining (e .g. ,s e l e c t ed f u n d a m e n t a l t o p i cs ) .The d e s i g n of t h e c o u r s e s a n d l e s s o n s in t h e curr iculump r o m o t e s t h e application of know le dge a n d ski ll s to t h eapplicable job perform ance level.Obs ervab le and mea surab le enabling learn ing objec t ives wh ichs u p p o r t t h e terminal learning objectives are wri t ten based o njob pe r f o r ma nc e r e qu ir e me n ts .Training is de s igne d suc h that actual job p e r f o r m a n c er e qu ir e me n ts , c ondi tions, a nd s t a n da r ds are replicated to theex te nt prac t ica l.Te s t ing a n d pe r fo r ma nce e valuat ion r e qu i r e me n t s a ndlimitations are de te rmined.

3.4 P r o d u c t s of DesignT h e p r o d u c ts that typical ly result f rom tra ining d esi gn include t h e following:

e

A t r ain ing p r ogra m de sc rip tion tha t e xp la ins a n d d oc u me n t s t h ee l e m e n t s of t h e t ra ining and qualif icat ion progra m. A curriculumout l ine ( s t r uc tu r e ) for t h e s e q u e n c i n g of initial and continuing trainingis used in developing the t ra ining program descr ipt ion.Requirements ( spec i f ica tions) for each unit of training, includings e q u e n c i n g of learning objectives, designation of t r ain ing s e t t i ng s andte c h n iqu e s , a nd a s soc ia t e d t e s t ing r e qu i r e men t s .A t ra in ing dev e lop men t plan.

3.5 ApplicationTra in ing de s ign p r oduc t s gu ide th e de ve lopm e n t of all program-specif ictra ining mater ials and stra teg ies . A curr iculum outl ine is d e v e l o p e d to

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establish the basis for the development of a training plan or summary.This is a very important series of activities that provides management withthe information necessary to ensure the program will meet the needs of theorganization.

3.5.1 Establishing a Curriculum OutlineA curriculum outline documents the general structure of a trainingprogram. The outline is developed by using information from analysisto design initial and continuing training programs. The curriculumoutline helps prioritize training and identifies training materials thatmust be developed. Requisite knowledge and skills, systems, topics,tasks, and testing requirements are grouped within the trainingprogram curriculum. Designers determine t h e most effective strategyfor presenting information by determining the sequencing of contentpresentation, selecting th e most appropriate training setting for th eobjectives, determining testing methods, and identifying the mostappropriate approaches to instruction. Instructional approachesshould be based on objectives and the setting selected for conduct ofthe training.Instructional approaches may include lecture, demonstration and/orpractice, discussion/facilitation, oral questioning, role playing, use ofcase studies, simulation, exercises and walk-throughs, andindividualized instruction (structured self-study). The approachesselected will also be influenced by the hazard and/or complexity of thetask or job. For example, more structured, formal instructionalapproaches are appropriate when the hazard or risk consequences ofimproper performance are greater. Conversely, less formalapproaches are sufficient when t h e consequences are lower. Thesame holds true with the curriculum outline.Curriculum outlines may vary from a simple one page outline when thehazard or risk consequence is low to a complex multi-page outlinewhen the hazard or risk consequence is high. After the curriculumoutline is developed it should be verified by SMEs. The followingtechniques may be used individually or combined to establish acurriculum outline.

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Ta ble-to p.Verification.Industry guidelines.Task analysis.

3.5.2 Writing Learning Objectives

It is essential that learning objectives accurately describe the requiredperformance for a task. Effective learning objectives clearly statemeasurable performance the trainee must be able to demonstrate andinclude conditions and standards of task performance. In most cases,a training designer develops learning objectives and obtains SME andmanagement concurrence. Objectives provide the framework fordevelopment of training materials and determination of testingrequirements. For detailed information relative to developing learningobjectives, refer to DOE-STD-1005-92, Guide to Good Practice forDeveloping Learning Objectives.

3.5.3 Establishing Testing RequirementsWhen designing testing specifications for individual units of instructionor for overall qualification, t h e designer determines performancetesting limitations and scoring methods for performance tests.Writ ten and oral test specifications and job performance measures(JPMs), or their equivalent, are then developed. For additionalinformation about testing requirements refer to DOE-STD-1009-92,Guide to Good Practices for the Development of Test Items, and DOE-STD-1011-92, Guide to Good Practices for the Design, Development,and Implementation of Examinations.

3.5.4 Training Program Description

A training program description uses the curriculum outline todocument training program elements for each position. Theinformation describes training program content (including initial andcontinuing training) and training program administration requirements.

Details in a training program description may include:

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e

. eee

ee

A p la n a n d s c h e d u l e fo r t ra in ing p r ogr a m de ve lo pm e n t a n dimplementat ion.Identification of r e sour c e r e qu ir e me n t s.Entry-level requirements.A t r ain ing sch ed ule ( inc luding topics s u c h as Genera l EmployeeTraining (GET), Gen eral Em ploye e Radiation Training (GERT),Radiation Worker Training, etc).Te s t ing r e qu i re me n t s .Cr iter ia for exc ep t io ns (waivers) f r om por tions of t h e trainingprogram thro ugh pr ior edu ca t i on , exper ience , t r a in ing , and /ort e s t i n g .

T h e t ra in ing program descr ip tion m ay be in tegra ted in to a d o c u m e n ts u c h a s t h e Training Im plementat ion Matrix/Plan or a n e x is t inga dmin i st r a tive ma nua l su c h as a Tra in ing Users M anua l or a TrainingM a na ge me n t M a nua l .

3.5.5 Facility InvolvementJob i n c u m b e n t s ( S M E s ) a n d facility m a n a g e m e n t s h o u ld be activelyinvolved in the des ign process. Line personne l m us t accept o w n e r s h i pin t h e p r o c e s s a n d c o n c u r with the resul ting p lans an d produ c ts . Linem a n a g e m e n t is the c u s t o m e r a n d lin e m a n a g e m e n t c o n c u r r e n c e witht h e r e s u l ts of t h e d e s i gn p h a s e is essent ia l .

3.6 D o c u m e n t a t i o nPr oc es se s us ed a nd par t ic ipants involved in de te rmining cur riculum andt r ain ing c o n te n t shou ld be d o c u m e n t e d . D o c u m e n t a t i o n is n e c e s s a r y totrack d e c i s i o n s a n d to p ro v id e a s s u r a n c e to t h e c u s t o m e r ( li ne m a n a g e m e n t )and DOE that the t ra ining program design is based on r e a sona b le de c i s ionsb y a p p r o p r i a t e p e rs o n s .Several d o c u m e n t a t i o n f o r m a t s c a n b e u s e d , i nc lu di ng data bases a n dc o m p u t e r p r o gr a m s, to provide t h e l i nka ges ne e de d . A t m o s t facilities, t h et r a ining program descr ip t ion should provide su f f ic i e n t doc um e n ta t ion .

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intentionally Blank

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4. TRAINING DEVELOPMENT

4.1 Purpose

During development, all training, documentation, and evaluation materialsare revised, written, or otherwise produced. As training materials aredeveloped, an evaluation to determine effectiveness, cost efficiency, andapplicabil ity to the training needs should be made. Training materials shouldbe piloted (tried on a group of trainees or SMEs) and modified to correct anydeficiencies. Final materials used in training should be reviewed andapproved by line management.

4.2 Techniques for Development

Development of training materials represents a considerable investment andit is important to review and use existing material to minimize developmentefforts whenever possible. Development may include adopting othermaterials, revising other materials, or creating new materials. Materials fromsimilar facilities or from facilities that have positions performing similar jobscan often be made facility-specific relatively easily, and can result inconsiderable savings in time and effort. The table-top and verificationtechniques are effective in identifying equivalent material and in verifying th eapplicability of content.

The degree of formality and complexity of training materials should betempered or influenced by the complexity and hazard of the tasks. Forlower-hazard tasks, the training material used need not be as formal orcomplex as those for higher-hazard tasks. Rather, these materials may onlyneed to include the key points that support the learning objectives. Forhigher-hazard tasks, more formal training materials may be necessary.Regardless of the complexity or hazard, training materials should containsufficient detail to ensure consistency.

4.3 Elements of DevelopmentThe fundamental elements of training development are:0 Training materials are developed or modified using learning objectives

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4.4

4.5

der ived f r om ana lys is informat ion th a t reflects j o b p e r f o r m a n c erequirements .Review and approva l requi rements are e s t ab l i shed a n d imple me n te dfor all t ra ining mater ia ls prior to t he i r u s e .Training mater ia ls are deve loped with g u i d a n c e a n d s t r u c t u r e thate n su r e s c ons i s t e n t pr e se nta t ion a nd e valuat ion .

P r o d u c t s of DevelopmentP r o d u c t s of t r a in ing deve lopm ent may inc lude:

C la ss r oo m le s son p lans .Laboratory and /or s imula tor guides an d eva lua t ion mate r ia ls .S t ud en t mate r ia ls an d t ra ining a ids .Self study mater ia ls , including workbooks, software, h a n d o u t s ,reading gu ides , an d eva luat ion ins t ruments .O J T m a te ri al s s u c h a s s t ud en t guides , checkl is t s , qua l i ficat ions t a n d a r d s , a n d J P M s , or their equivalent .Ini tial an d continuing tra ining sche du les .Test i t e m s a nd e xa mina t ions.Program evaluation mater ia ls s u c h a s course, ins t ruc tor , le sson,post- tra ining, etc., evaluation forms.Tr aining do c ume n ta t ion sy s t e m, includ ing r ec o rd s y s t e ms , a t t e n da n c ef o r m s , a n d c o u r s e d o c u m e n t a t i o n r e q u ir e me n ts .

ApplicationThe cur r iculum out l ine c re a te d in the d e s ig n p h a s e (which s u p p o r t s thetraining plan) identifies materials that need to b e d e v e l o p e d . The t ra iningse t t ing and lea rning objec t ives tha t are identified in t h e d e s i g n p h a s ed e t e r m i n e what t ra in ing s t r a teg ies are u s e d .

If a l te r na t iv e a p p r o a c h e s s u g g e s t e d t h u s far h a v e b e e n u s e d , t h e v o l u m e a n dcomplexi ty of t ra ining mater ia ls that requi re deve lopment fo r lower-hazardtasks sho uld b e s igni ficant ly less t h a n those required fo r higher-hazard tasks.

4.6 D o c u m e n t a t i o nThe t ra ining organization should descr ibe t h e process(es)u s e d for contro l

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and d e v e l o p m e n t of materials in a p r o ced u r e or s imilar docu me nt . Thisd o c u m e n t should also describe h o w c h a n g e s to t raining mater ials ared o c u m e n t e d , a p p r o v e d , a n d tracked.Pr o g r am records should be main ta ined tha t include (as n eces sa r y ) :0

e Student mater ials , checklists, etc.0 Examination banks .

M a s t e r files of lesson p l a n d g u i d e s , etc.

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5. TRAINING IMPLEMENTATION

5.1

5.2

Purpose

During implementation, training is delivered and trainee mastery of thelearning objectives is assessed.

Techniques for Im p emen a onTraining should be implemented using written guidance documents(classroom lesson plans, OJT guides, JPMs, writ ten examinations, etc.).Techniques that are used to implement training include:

On-the-job training.Classroom training.Laboratory training.Individualized instruction (self-study, CBT, interactive video, etc.).Simulator training.

Training is conducted by instructors who are trained and qualified for thesetting in which they perform. DOE-NE-STD-1001-91, Guide to GoodPractices for Training and Qualification of Instructors, and DOE-STD-1012-92, Guide to Good Practices for On-the-Job Training, contain guidancerelative to instructor training and qualification.

5.2.1 On-the-Job TrainingOn-the-job training (OJT) requires instructors who are qualified toperform the task or assignment. The use of formal guidance inconducting O J T and evaluations is necessary to ensure consistentimplementation. It may be possible to train 2-4 personssimultaneously without sacrificing safety or training quality, however,trainee evaluations must be conducted one-on-one. OJT can beimplemented at three levels.

For high-hazard potential tasks, OJT should be conducted asdescribed in DOE-STD-1012-92, Guide to Good Practices for On-the-Job Training.

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For tasks that pose a lower-hazard potential, OJT may be conductedusing general instructions and task-specific evaluation materials.General instructions guide the process and a brief JPM (or equivalent)is used. These materials are sufficient to consistently conduct andevaluate OJT. Use of general instructions can significantly reducetraining development time and lower costs.

OJT for technical staff, oversight personnel, and low-hazard tasksmay be conducted and evaluated simultaneously. OJT used for thetraining of tasks at this level is conducted and evaluated as a one stepprocess (this process is sometimes referred to as structuredmentoring). Using general instructions and a JPM (or equivalent), theinstructor conducts a qualitative evaluation of the trainee's progress.The instruct ion and evaluation are repeated until the competency ortask is mastered.

5.2.2 Classroom TrainingDuring implementation, qualified instructors deliver classroominstruct ion using lesson plans. Lesson plans should encourage directtrainee participation in the learning process and employ instructionaltechniques (e.g., briefings, lecture, discussion, case studies, seminars,etc.) that are appropriate to t h e lesson content and learningobjectives. Regular evaluation of the trainee's mastery of the learningobjectives is expected during classroom training. Lesson plan detailand format should vary as a function o f the complexity and hazard ofthe task. Lesson plans may consist of less formal guides for low-hazard tasks. These guides should include the key points that supportthe learning objective(s) and any supporting information determined t obe necessary. Lesson plans for high-hazard tasks should containadditional detail and should be consistent in format. The added detailis necessary to address the increased complexity and hazardassociated with the task. Regardless of the complexity or'hazard,lesson plans should contain sufficient detail to ensure consistentdelivery.

5.2.3 Individualized InstructionAlthough discussed separately, industry standards consider

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individualized instruction as a form of classroom training.Individualized instruction is a common technique for trainingoperations, maintenance, and technical staff personnel. For thepurposes of this handbook, individualized instruction consists ofstructured self-study, computer-based training, and interactive video.

Structured self-study can be used to supplement or replace traditionallecture-based classroom training. It is effective in improvingknowledge of fundamentals, facility systems, components, andprocedures. Instructors and supporting training materials should bereadily available during self-study. Following self-study, a writtenexamination or an oral checkout/quiz, based on learning objectives, isusually administered.

Computer-based training (CBT) and/or interactive video can also beused to supplement or replace classroom training to teachfundamentals, facility systems, components, and procedures.Development of high quality CBT is expensive, bu t can be cost-effective if large numbers of people are trained on standard topics. Tomake CBT more effective, assistance (i.e., instructors, proctors,program administrators, etc.) should be available to answer questions.

5.2.4 Laboratory TrainingLaboratory training can supplement and provide a cost-effectivealternative to portions of the classroom and OJT program. Traininglaboratories often use surplus equipment and repair parts that can, inmany cases, be used repeatedly. The laboratory allows one instructorto provide training to a greater number of trainees than is possiblewith OJT. Laboratory training requires approved training materialssuch as laboratory guides and JPMs.Laboratory training can be used to provide practice with equipmentthat is similar or the same as in-plant equipment. It can also be usedto provide training in a "job-like" setting without hazards that exist atthe job site (e.g., high noise levels, radiation areas, hazardous/toxicenvironmental conditions, etc.). When laboratory training replicatesfacility equipment closely enough to provide assurance of taskperformance, it can serve as a substitute for actual performance on

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installed equipment for qualification purposes.

5.2.5 Simulator Training

A simulator is an apparatus that generates conditions approximatingactual or operational conditions. The most widely recognizedsimulators are those used in the aircraft and the commercial nuclearpower industries. Simulators can be either full-scope or part-task.Full-scope simulators are usually large-scale replications, which createa training environment with a high degree of physical and functionalfidelity relative t o the actual or "referenced" job. A part-tasksimulator incorporates detailed modeling of a limited number ofcomponents or subsystems and demonstrate expected response.Part-task simulators also add realism to training. Simulator trainingcan be highly effective for normal facility operation, anticipatedtransients, and accident conditions. Because the simulator reflectsactual job conditions, OJT may be completed on the simulator inmany cases. In addition, this setting lends itself t o effective teamtraining.

5.3 Elements of Implementation

Elements of implementation include:0 Training is implemented in accordance with current, approved training

materials and procedures.Training activities encourage direct trainee participation in the learningprocess.Instructors use instructional techniques that are appropriate to trainingcontent and objectives.Trainee mastery of learning objectives is evaluated using performanceexaminations (OJT, performance demonstrations, and operationalevaluations), writ ten or oral examinations, quizzes, role-play, casestudies, and/or group exercises.

0

0

0

5.4 Products of Implementation

Products of implementation may include:

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5.5

5.6

Training schedules.Trainee records.Program in-training evaluation records.Trained employees.

ApplicationThe successful implementation of a training program requires linemanagement involvement. By periodically monitoring on-going trainingsessions and providing feedback, line management helps ensure trainingquality. Line management's continued support of training ensures theavailability of technically qualified personnel from the operating organizations(e.g., operations, maintenance, technical staff) to the training organization.In addition, th e line organization provides in-plant time for qualifiedinstructors to maintain technical qualification. Active involvement isparticularly necessary in providing training program funding, facilityavailability, and support resources for the program.

Documentation

Process(es) and administrative requirements used for training implementationshould be described in a procedure or similar document. The guidance in theNuclear Information and Records Management Association Guideline forManagement o f Nuclear Related Training Records, TG-17, should be used tohelp standardize identification, handling, and storage of training records.

-

5.6.1 The following documentation is associated wi th for trainingimplementation:

0

Schedules for initial and continuing training sessions.Records of training courses or session attendance/ completion.Individual training records which contain information tha treflects mandated requirements (i.e., DOE Order 5480.20A).Instructor critiques of training.Trainee critiques of training sessions.Results of employee performance evaluations (written and oralexaminations, performance demonstrations, and operationalevaluations).Line management evaluations of on-going training sessions

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(content a n d instructor).Copies of examinations and answer keys.Lis t of personnel qualified to conduct and/or evaluate on-the-jobtraining.List of required revisions to the training program and itsmaterials.

e

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6. TRAINING EVALUATION

6.1 PurposeThe goal o f all training programs is to prepare personnel to safely andefficiently operate in accordance with established requirements.A training evaluation program should be implemented at every nuclearfacility to determine the programs effectiveness o f meeting trainee andmanagement needs. Training activities, employee performance, andsubcontractor training should be evaluated on a regular basis to determinethe effectiveness of training. Changes to th e training program that resultfrom the evaluation process should be approved and documented.

Detail in documentation of evaluation can reasonably vary from facility tofacility. Post-training evaluation at a low-hazard faci lity may only requirebrief interviews with recently qualified job incumbents and their supervisors.Documentation by memorandum to the respective l ine manager thatdescribes evaluation results and any necessary corrective actions issufficient. A t a high-hazard facility, evaluation may require survey forms orquestionnaires from newly-qualified job incumbents and their supervisors.Documentation in this case may include entry of corrective actions into atracking system, plans and status o f training improvements, and approval ofall revised training materials. Evaluation activities should be commensuratewith the hazard potential, risk, and complexity of job performance.

6.2 Methods of EvaluationThere are a number of evaluation activities that provide information aboutthe effectiveness of a training program. Common techniques include:

e In-training evaluations (examinations).e Training delivery evaluations.e Post-training evaluations.e Change actions (e.g., job-scope changes, procedure changes,

equipment changes, facility modifications, etc.).Facility and industry operating experience evaluations.

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6.3

6.4

Elements of Evaluation

There are several activities associated with evaluation. Preparation forconducting evaluations may include development work, planning,scheduling, and identification of evaluators. The actual implementation ofthe evaluation process includes preparation, field observation, reportpreparation, and documentation, including resultant corrective action plans.

Implementation of specific techniques is discussed in section 6.6. A briefexplanation of the elements involved in preparation follows.

Development. Some development effort will normally be required toimplement a formal and consistent evaluation program. Proceduralguidance, standard forms to address specific techniques, andstandardized reporting mechanisms should be developed prior toactual implementation of evaluation activities.Planning. It is important to plan the frequency, scope, and conditionsof evaluation. This planning should consider such variables aspersonnel availability, plant or system conditions, benchmarks intraining program implementation, and evaluator qualifications..Scheduling. A schedule that provides advance notification allows fortimely gathering of documentation and personnel to conduct anefficient evaluation activity. There may be circumstances that favoran unannounced evaluation, but advance scheduling is generally morevaluable for overall program effectiveness.Identification of evaluators. Some evaluations will require specificcompetencies and experience for evaluators. There is little use inconducting evaluations using personnel who are not qualified to makeadequate judgements about the quality of activities being reviewed.Highly formal evaluation programs may require special qualificationsfor evaluators, while less formal programs may only requiredesignation by management, based on an assessment o f theevaluators qualification.

Products of Training Evaluation

Products that typically result from training evaluation include:e Records of evaluation results.

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0 Records of corrective actions.0 Updated analysis data.

. Current and accurate training materials.6.5 Application

The frequency and level of detail of training evaluations should reflect therisk, hazard potential, and complexity of the performance that is beingaddressed by the training program. In any case, it is essential that a formalprocess be in place to ensure that feedback is provided tha t allowsmaintaining training materials which reflect current conditions, equipment,and procedures.

The evaluation (feedback) process also serves to improve the trainingprogram and respond to line management needs. Generally, as the jobcomplexity and hazards increase, th e need for training evaluations alsoincreases. Added frequency and detail of evaluation activit ies increases datacollection and analysis/review efforts. Development of forms (and perhapsdata management systems) to simplify this documentation and tracking ofeach element in the evaluation program may be necessary.

6.6 Conducting Training Evaluations

6.6.1 In-Training EvaluationsEmployee performance on written, oral, and performanceexaminations is monitored and evaluated to provide information aboutthe need for refining t h e training program and test ing process. Forexample, if the trainee failure rate on an examination, JPM, or testitem(s) is high, there may be a problem with the training program orthe test question. If failure rates are acceptable and other indicators(on-the-job performance, th e rate o f personnel-caused OccurrenceReports, etc.) are satisfactory, the training program may beconsidered effective.

6.6.2 Training Delivery EvaluationsTraining delivery is monitored in all instructional settings to evaluatecontent accuracy, adequacy of support materials, and instructor

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per formance . Tra in ing de livery eva lua t ions include th e u se of t r a ine eeva lu a t ion heac t ion forms, ins t ruc tor c r i tiques, a nd periodica s s e s s m e n t of instructo r pe rfo rm anc e by qualif ied individuals. Ifne c e ssa r y , i n s tr uc to r s are upgr ade d a n d c o r r e c t ions are m a d e tot r ain ing mate ria ls. Wh en ch an ge s are m a d e to training materials, t h ec h a n g e s s h o u l d b e ap p ro v ed a n d d o c u m e n t e d .

6.6.3 Post-Training EvaluationsF e e d ba c k f r om f o r me r t r a ine e s a nd the i r s u p e r v i s o rs d e s c r i b e s howwell t h e t r a in ing program prepared employees fo r a ta sk/ job . Thisf e e d ba c k shou ld be ob ta ined long e nough after training to e n s u r efamiliarity with th e job requi rements an d should ident ify t h e a d e q u a c yof t ra ining in prepar ing them to perform job-related tasks. F e e dba c kf rom super viso rs should foc us on t ra inee performance . Informat ionga the r ing shou ld also include data on t ra in ing- rela ted per fo rman ceproblems, modif icat ions to s y s t e m s a nd c o m p o n e n t s , o r c h a n g e s top r o c e d u r e s that m a y have e f f e c te d th e r e l e vanc y of th e t ra ining .

6.6.4C h a n g e A c t i o nsJ o b scope c h a n g e s , p r o ce d ur e c h a n g e s , e q u i p m e n t c h a n g e s , a n dfacility modifications are monitored to ident ify i mpa c ts o n th e t rain ingprogram. The t ra ining organizatio n(s) should b e notif ied w h enmodif icat ions are m a d e to assess t h e need for ma king c ha nge s tot ra ining mater ia ls . Revisions to t r ain ing mate r ia ls should b e ma de andt ra in ing con du c te d pr ior to t h e c ha ng e being e f f e c t e d . A fo r mals y s t e m for maintaining training mater ia ls cur ren t is e sse n t i a l to e n s u r ethat t ra ining is re levant to exist ing facil i ty condit io ns.

6.6.5Evaluating Facili ty an d Industry Operating Ex perience

Training on faci l i ty and industry operat ing exper ience allows learningf r om the e xpe r i e nc e of others a n d he lps prev ent s imi la r s i tua t ion sfro m occurr ing . This information should b e regular ly reviewed toallow inclusion of l e s so ns l e ar ned f r om th e s e e v e n t s in tr aining .Informat ion of th is ty pe c an be ob ta ined f rom fac il ity Occur renceR e por t s a nd f r om th e Oc c u r r e nc e R e port ing a nd P r oc ess ing S y s t e m(ORPS).

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6.6.6 Comprehensive Training Program EvaluationA comprehensive training program evaluation should be conductedperiodically to identify significant program strengths and weaknesses.This evaluation should cover all aspects of the training program,including subcontracted training, and should be used to identifydeficiencies and/or strengths in specific training programs and theoverall training program infrastructure. DOE-STD-1070-94, Guidelinesfor Evaluation of Nuclear Facility Training Programs, providesobjectives and criteria for conducting comprehensive training programevaluations.

6.7 DocumentationThe facility should describe the process(es) used for evaluation and initiationof corrective actions in a procedure or similar document. This documentshould identify areas of evaluation, the frequency of evaluations, and theprocess by which required changes are determined, approved, tracked, andimplemented. The results of training evaluations should be documented.This documentation may range from a letter to line management at a low-hazard faci lity t o detailed survey forms and analyses of evaluation results athigher-hazard facilities.

6.7.1 Approval and Tracking of Changes/lmprovementsChanges which result from evaluations should be reviewed, approved,and documented. This process adds assurance that only requiredchanges are made to t h e program and that the changes are approvedby training and line management.

6.7.2 Updating Analysis Data

To maintain the effectiveness of training programs, job analysis datamust be kept current. During evaluations, training deficiencies,additional learner needs, or additional tasks required for jobperformance may be identified. Analysis data should be revised toreflect new information that is gained from evaluation activities.

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APPENDIX AFACTORS AFFECTING TECHNIQUE SELECTION

Technique selection should be made after considering a number of variables.These variables should be addressed specifically for facility situations that exist orwill exist. This appendix provides general information that will assist linemanagement in making this decision. Key factors to consider include the facility'shazard classification and other general considerations which address local andinternal issues that impact the level of formality and effort necessary for trainingprograms. The most appropriate technique may be simple or highly formal,depending on the hazard potential, risk, or complexity of post-training performance.Technique selection also depends on factors such as the quantity and quality ofexisting materials (procedures, system description manuals, training media, etc.).Determination of the appropriate technique must be made after conservativeapplication of expert judgement. A graded approach to training encouragesapplication of techniques that allow the most efficient use of personnel andresources in training activities. Under no circumstances should health or safetyconcerns be compromised in the name of cost savings or expediency. The gradedapproach should be implemented with th e concurrence of line management, thetraining organization, and the DOE field organization.

Hazards associated with a facility are significant factors in the selection o fappropriate techniques for analysis, design, and development. This handbookencourages and endorses th e grading of training efforts after considering thenuclear hazard classif ication of a DOE nuclear facili ty. DOE Order 5480.23,"Nuclear Safety Analysis Reports" contains additional information relative tonuclear hazard classifications.

This Appendix provides additional considerations that the facility should address inchoosing the appropriate techniques for systematically establishing trainingprograms.

General Guidance - Grading Based On HazardNuclear Hazard Category 1 (High-Hazard) and 2 (Moderate-Hazard) Facilities

Elaborate, paper-intensive training programs are not necessarily required because aA- 1

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nuclear facility is designated as nuclear hazard category 1 or 2. Furthermore,facilities with programs that are subject to accreditation need not applyaccreditation standards to training programs for job positions that are not identifiedas accreditable. Alternative techniques can and should be used when designingtraining programs. A s t u d y by Honeywell in 1978 revealed that at least 29techniques are available and used for analyzing job requirements. This s t u d yconcluded that (1)no one technique was any better than any other, and (2)regardless of the technique used, analysis results m u s t be used for systematicapproaches to training to succeed.Normally, the level of formality and effort required to develop training is directlyrelated to task complexity and hazards associated with the consequences ofinadequate task performance. In addition, competency of the instructionaldevelopers, availability and quality of subject matter experts, availability of facilityprocedures, support of line management, and other factors are important inselection of t h e appropriate technique(s). When the complexity of t h e job andconsequences of errors are considered with the factors mentioned above, trainingprograms can be developed effectively and efficiently by grading t h e effort to f i tthe circumstances.

Nuclear Hazard Category 3 Low-Hazard) Facilities

From a practical perspective, training programs at low-hazard nuclear facilities mayconsist primarily of regulatory-driven training (e.g., OSHA training, industrial safetyand hygiene training, radiation worker training, etc.). The formality and detailassociated with t h e training that supports the facility-specific mission may beminimal. The resource expenditure on training at a category 3 acility should becommensurate with the low level of risk. A t nuclear hazard category 3 acilities,analysis may be simplified, learning objectives may be written at a level of detailnot necessarily related to rigid standards or quantitative testing, and instructionalmaterial may consist of less-formal guides.Guides should include key points that support learning objective(s)and supportinginformation should be included as necessary. This approach differs from nuclearhazard category 1 and category 2 facilities, at which additional detail andconsistency in format is more appropriate and necessary to address the increasedcomplexity and hazard associated with many tasks that are performed.Evaluation of trainee competency is expected at low-hazard facilities. Qualitative

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evaluations may be conducted to check mastery of learning objectives. Mastery oflearning objectives may be assessed from response during discussions, actionsduring exercises, or behavior during role-play.

General Guidance - Technique Selection ConsiderationsKey Factors

The key factors and considerations for determining techniques presented below areconsistent with other graded applications in DOE. Example questions are providedunder each key factor. These questions should be considered to relate the trainingneed to an appropriate level of formality and detail in training developmentactivities. If the answers to these questions indicates a low level of concern, theappropriate techniques will likely be those that require minimum formality andeffort. If the answers to these questions identify a strong potential forconsequences of post-training performance, the appropriate techniques should bemore formal and detailed. If there is an obvious concern for safety of the public,site, and environment, the most formal technique may be the appropriate choice.The questions are only examples and are not intended to be all-inclusive. ThisAppendix must be used cautiously. Competent, safe workers is the goal in alltraining efforts.

Relative Importance to Safety

This factor considers the potential impact of post-training performance onsafety as it pertains to the public, environment, facility, equipment, andpersonnel. Some questions to consider are:

1 . Is safety analysis information available that addresses the requiredperformance of employees related to this training need?

2. What is the safety-related risk of improper post-training performanceby employees?

Life Cycle Stage of the FacilityThe life cycle stage of the facility considers the impact that age, missiontransition, and operational status of the facility may have on the employee's

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post-training performance. Questions to consider include:

1. Will aging equipment or systems contribute to the impact on thefacility if an employee performs improperly?

2. Will operational transition impact the ability of the employee toperform properly after training?

3. Does an operational, shutdown, or standby condition of th e facilityimpact the ability of the employee to perform properly after training?

Programmatic Mission

This factor addresses the concerns related to the impact training has onaccomplishing the primary mission of the facility. Potential considerationsinclude:

1. Does post-training performance impact the facility mission?2. Could improper post-training performance cause t h e facility to lose its

ability to fulfill its mission?

3. If the facility is scheduled to undergo a "mission transition," whatimpacts will the transition have on the post-training performance ofthe employee?

Characteristics of the Facility (Complexity)The term "complexity" refers to the integral operational, maintenance, andtechnical support aspects of the facility considered from an engineering,human factors, and safety perspective. The inter-relationship of theseelements with employee performance is of significant consequence totechnique selection. Considerations include:1. After training, will the employee need to apply only basic skills, or will

synthesis and reasoning be required for proper performance?

2. Are there backup safety systems, system duplicity, or human factorsthat impact operator performance or th e level of formality and effort

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3.that should be applied to the training programs?

Do procedures, automated operations, personnel oversight, andoperator backup impact the level of formality and. effort that must beapplied in developing and implementing the training program?

Magnitude of the Hazards InvolvedThis factor considers the hazardk) and the magnitude of the risk tha t thehazard poses. Normally, hazard potential is related to a source, bu t site-,activity-, or source-specific determinations of the hazard potential should beexamined. Considerations include:

1.

2.

3.

Has t h e facility or operation been formally classified by DOE asnuclear hazard category 1, 2,