ABSTRACT NUREG-1021, Operator Licensing Library/library/NRC/NUREG/1021r8(1).pdf · PDF...

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Transcript of ABSTRACT NUREG-1021, Operator Licensing Library/library/NRC/NUREG/1021r8(1).pdf · PDF...


    NUREG-1021, "Operator Licensing Examination Standards for Power Reactors," establishesthe policies, procedures, and practices for examining licensees and applicants for reactoroperator and senior reactor operator licenses at power reactor facilities pursuant to Title 10,Part 55, of the Code of Federal Regulations (10 CFR Part 55). The related guidance that waspreviously published in the "Examiners' Handbook for Developing Operator Licensing WrittenExaminations" (NUREG/BR-0122, Rev. 5, dated March 1990) has been incorporated herein. NUREG/BR-0122 is no longer in effect.

    These examination standards are intended to assist NRC examiners and facility licensees tobetter understand the processes associated with initial and requalification examinations. Thestandards also ensure the equitable and consistent administration of examinations for allapplicants. These standards are for guidance purposes and are not a substitute for theoperator licensing regulations (i.e., 10 CFR Part 55), and they are subject to revision or otherchanges in internal operator licensing policy.

    This revision implements an amendment to 10 CFR Part 55 that allows facility licensees toprepare the entire operator licensing examination and to proctor and grade the written portion ofthe examination. The NRC will prepare the examinations at least four times per year tomaintain the proficiency of its examiners, as necessary to ensure quality, and upon writtenrequest by facility licensees consistent with NRC staff availability.

    This revision will be used for all examinations administered after the effective date of theassociated amendment to 10 CFR Part 55 or at an earlier date agreed upon by the facilitylicensee and its NRC Regional Office.

    iii NUREG-1021, Revision 8






    ES-101 Purpose and Format of Operator Licensing Examination Standards

    ES-102 Regulations and Publications Applicable to Operator Licensing

    ES-201 Initial Operator Licensing Examination Process

    ES-202 Preparing and Reviewing Operator License Applications

    ES-203 [Deleted]

    ES-204 Processing Waivers Requested by Reactor Operator and Senior ReactorOperator Applicants

    ES-205 Procedure for Administering the Generic Fundamentals ExaminationProgram

    ES-301 Preparing Initial Operating Tests

    ES-302 Administering Operating Tests to Initial License Applicants

    ES-303 Documenting and Grading Initial Operating Tests

    ES-401 Preparing Initial Site-Specific Written Examinations

    ES-402 Administering Initial Written Examinations

    ES-403 Grading Initial Site-Specific Written Examinations

    ES-501 Initial Post-Examination Activities

    ES-502 Processing Requests for Administrative Reviews and Hearings AfterInitial License Denial

    ES-601 Conducting NRC Requalification Examinations

    ES-602 Requalification Written Examinations

    v NUREG-1021, Revision 8


    ES-603 Requalification Walk-Through Examinations

    ES-604 Dynamic Simulator Requalification Examinations

    ES-605 License Maintenance, License Renewal Applications, and Requests forAdministrative Reviews and Hearings

    ES-701 Administration of Initial Examinations for Senior Operators Limited to FuelHandling

    ES-702 Administration of Requalification Examinations for Senior ReactorOperators Limited to Fuel Handling

    APPENDIX A Overview of Generic Examination Concepts

    APPENDIX B Written Examination Guidelines

    APPENDIX C Job Performance Measure Guidelines

    APPENDIX D Simulator Testing Guidelines

    APPENDIX E Policies and Guidelines for Taking NRC Examinations

    APPENDIX F Glossary

    NUREG-1021, Revision 8 vi


    Title 10, Part 55, of the Code of Federal Regulations (10 CFR Part 55) requires applicants forreactor operator (RO) and senior reactor operator (SRO) licenses to pass a written examinationand an operating test that are developed and administered in accordance with 10 CFR 55.41and 55.45 or 55.43 and 55.45, respectively. Although license examiners from the U.S. NuclearRegulatory Commission (NRC) have historically prepared all of the licensing examinationsusing facility-provided reference materials, the NRC has now amended Part 55 by adding a newsection (55.40) that allows facility licensees to develop and submit, upon approval by anauthorized representative of the facility licensee, proposed examinations for NRC review andapproval. The NRC will prepare the examinations if requested in writing by a facility licenseeand may elect to prepare the examinations, in lieu of allowing a specific facility licensee to doso, as necessary to maintain the proficiency of its examiners or the quality of the examinations.

    Facility licensees that elect to prepare their own examinations shall develop and submit theirproposed examinations based on the guidelines and instructions contained herein. Section 107of the Atomic Energy Act of 1954, as amended, requires the Commission to prescribe uniformlicensing conditions for operators. Therefore, the NRC discourages facility licensees from usingtesting methodologies that do not conform to the policies, procedures, and practices defined inthis NUREG. Nevertheless, facility licensees may propose alternatives to specific guidance inNUREG-1021, and the NRC will review and rule on the acceptability of the alternatives.

    The NRC will make a reasonable attempt to administer all license examinations on the datesrequested by the facility licensees. At times, however, resource limitations may compel thestaff to prioritize its examination review and development activities based on need and safetyconsiderations. Facility licensees are strongly encouraged to schedule their initial licenseexaminations and to resolve any applicant eligibility questions with their NRC regional officebefore commencing a license training class.

    For Revision 8, NUREG-1021 was reorganized to more clearly identify the variousorganizational responsibilities. It incorporates the methodology and lessons learned from thepilot examination program described in GL 95-06 and changes made in response to the publiccomments on interim Revision 8 solicited in connection with the regulatory amendment notedabove. This revision also formally implements Revision 2 of NUREGs-1122 and 1123, the"Knowledge and Abilities Catalogs" for pressurized and boiling water reactors, respectively.

    In addition, Revision 8 of NUREG-1021 supersedes Revision 5 of NUREG/BR-0122,"Examiners' Handbook for Developing Operator Licensing Written Examinations," dated March1990.

    The following list summarizes the significant changes from Revision 7.

    vii NUREG-1021, Revision 8


    Abbreviations This list has been added to provide a central location for defining theacronyms and abbreviations used throughout this NUREG.

    ES-101 No significant changes.

    ES-102 NUREG-1560, "Individual Plant Examination Program: Perspectives on ReactorSafety and Plant Performance, and NUREG-1600, General Statement of Policyand Procedure for NRC Enforcement Actions, have been added to the list ofdocuments applicable to the operator licensing program.

    ES-201 Each NRC regional office will prepare at least one examination per year. Facilitylicensees that elect to have the NRC prepare their examinations shall submit awritten request per 10 CFR 55.40(c), and the NRC will schedule the examinationconsistent with staff availability.

    Facility licensees that write their own examinations will conduct the followingactivities based on the guidance in NUREG-1021:

    ] Observe various examination security and integrity criteria, includinglimits on the activities of personnel having knowledge of the examinationcontents, physical security expectations and considerations, and limits onthe use of examination banks.

    ] Approximately 75 days before the scheduled examination date, prepareand submit for NRC review and comment an integrated examinationoutline, in accordance with ES-301, ES-401, and the associated qualitychecklist.

    ] Approximately 45 days before the scheduled examination date, prepareand submit for NRC review and comment the complete examination, inaccordance with ES-301 and ES-401, along with a statement indicatingthe source of each test item proposed for use on the examination.

    ] Make examination changes as agreed upon with the NRC.

    Facility licensees shall designate a point of contact to work with the NRC chiefexaminer. Pursuant to 10 CFR 55.40(b)(3), an authorized representative of thefacility licensee shall approve the submittals before sending them to the NRC forreview and comment.

    The amount of reference material requested from the facility licensee will beadjusted based on the NRC's level of involvement in the examination developmentprocess.

    The NRC regional offices may separate the written examinations and operatingtests by up to 30 days without NRR program office approval.

    ES-202 The eligibility criteria for senior reactor operators limited to fuel handling (LSROs)have been moved from ES-701 to ES-202.

    NUREG-1021, Revision 8 viii


    ES-202 To make the standard conform with 10 CFR 55 and current practice, ES-202 nowincludes a provision requiring that facility licensees submit a written request to havea license examination administered to an applicant.

    If more than six months pass since an applicants medical examination, the facilityshall certify that the applicant has not developed any condition reportable under 10 CFR 55.25.

    The regions will verify that an applicant's name does not appear on the "RestrictedIndividuals List" before accepting the applicati