ML20081D116
| ML20081D116 | |
| Person / Time | |
|---|---|
| Issue date: | 10/31/1983 |
| From: | Office of Nuclear Reactor Regulation |
| To: | |
| References | |
| NUREG-1021, NUDOCS 8310310452 | |
| Download: ML20081D116 (180) | |
Text
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Operator Licensing Examiner Standards O
U.S. Nuclear Regulatory Commission Office of Nuclear Reactor Regulation f * * ' * %,
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1021 R PDR
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NOTICE Availability of Reference Materials Cited in NRC Publications Most documents cited in NRC publications will be available from one of the following sources:
- 1. The NRC Public Document Room,1717 H Street, N.W.
Washington, DC 20555
- 2. The NRC/GPO Sales Program, U.S. Nuclear Regulatory Commission, Washington, DC 20555
- 3. The National Technical information Service, Springfield, VA 22161 Although the listing that follows represents the majority of documents cited ;n NRC publications, it is not intended to e exhaustive.
Referenced documents available for inspection and copying for a fee from the NRC Public Docu-ment Room include NRC correspondence and internal NRC memoranda; NRC Office of Inspection and Enforcement bulletins, circulars, informction notices, inspection and investigation notices; Licensee Event Reports; vendor reports and correspondence; Commission papers; and applicant and licensee documents and correspondence.
The following documents in the NUREG series are available for purchase from the NRC/GPO Sales Program. formal NRC staff and contractor reports, NRC-sponsored conference proceedings, and N RC booklets and brochures. Also available are Regulatory Guides, NRC regulations in the Code of Federal Regulations, and Nuclear Regulatory Commission Issuances.
Document; available from the National Technical Information Service include NUREG series reports and technical reports prepared by other federal agencies and reports prepared by the Atomic Energy Commission, forerunner agency to the Nuclear Regulatory Commission.
Documents available from public and special technical libraries include all open literature items, such as books, journal and periodical articles, and transactions. Federal Register notices, federal and state legislation, and congressional reports can usually be obtained from these libraries.
Documents such as theses, dissertations, foreign reports and translations, and non N RC conference proceedings are available for purchase from the organization sponsoring the publication cited.
Single copies of NRC draft reports are available free upon written request to the Division of Tech-nical information and Document Control, U.S. Nuclear Regulatory Commission, Washington, DC 20555.
Conies of industry codes and standards used in a substantive manner in the NRC regulatory process are maintained at the NRC Library, 7920 Norfolk Avenue, Bethesda, Maryland, and are available there for reference use by the public. Codes and standards are usually copyrighted and may be purchased from the originating organization or, if they are American National Standards, from the A nerican National Standards institute,1430 Brnadway, New York, NY 10018.
O GPO Ponted copy price.
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NUREG-1021 O-Operator Licensing Examiner Standards
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l Manuscript Completed: September 1983 Date Published: October 1983 Division of Human Fec. tors Safety Office of Nuclear Reat, tor Regulation U.S. Nuclear Regulatory Commission O Washington, D.C. 20555 p = "* e <,,,
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d ABSTRACT The Operator Licensing Examiner Standards provide policy and guidance to NRC examiners and establish the procedures and practices for examining and licensing of applicants for NRC operator licenses pursuant to Part 55 of Title 10 of the Code of Federal Regulations (10 CFR 55).
They are intended to assist NRC examiners and facility licensees to understand the examination process better and to provide for equitable and consis-tent administration of examinations to all applicants by NRC examiners.
These standards are not a substitute for the operator licensing regula-tions and are subject to revision or other internal operator examination licensing policy changes.
As appropriate, these standards will be revised periodically to accommo-date comments and reflect new information or experience.
OV O,g Examiner Standards lii l
Contents Rev. 0 9/1/83 CONTENTS l
ES-101 Purpose and Format of Operator Licensing Examiner Standards ES-102 Applicability of Commission Regulations and Guides to Operator Licenses ES-103 Assignment of Examiners To Administer Examinations ES-104 Procedures for Postexamination Activities ES-105 Indoctrination Program for New Examiners ES-106 Administration of Examinations at Multiunit Power Stations ES-107 Quality Assurance Program for Review of Written Examinations ES-108 Quality Assurance Program for Review of Graded Examinations ES-109 Eligibility Requirements for Reactor Operator or Senior Reactor Operator License Candidates ES-201 Administration of Written Examinations to Reactor Operator Candidates - Power Reactors ES-201(a) Internal Office Procedures for Written Examination Appeals ES-202 Scope of Written Examinations Administered to Reactor Operators - Power Reactors ES-203 Structure of Written Examinations Administered to Reactor Operators - Power Reactors ES-301 Administration of Operating and Oral Examinations to Reactor Operators and Senior Reactor Operators - Power Reactors ES-302 Scope of Operating and Oral Examinations Administered to Reactor Operators and Senior Reactor Operators - Power Reactors ES-303 Instructions on use of Forms for Operating and Oral Examinations Administered to Reactor Operators - Power Reactors s
ES-304 Instructions on use of Forms for Operating and Oral Examinations Administered To Upgrade Senior Reactor Operators - Power Reactors G'
4 Examiner Standards v
O CONTENTS (Continued)
ES-305 Instructions on Use of Forms for Operating and Oral Examinations Administered to Instant Senior Reactor Operators - Power Reactors ES-401 Administration of Written Examinations to Senior Reactor Operators - Power Reactors ES-402 Scope of Written Examinations Administered to Senior Reactor Operators - Power Reactors ES-403 Structure of Written Examinations Administered to Senior Reactor Operators - Power Reactors ES-501 Administration of Simulator Examinations to Reactor Operators and Senior Reactor Operators - Power Reactors ES-502 Scope of Simulator Examinations Administered to Reactor Operators and Senior Reactor Operators - Power Reactors ES-601 Administration of NRC Requalification Program Evaluation LIST OF TABLES ES-107-1 Reactor / Senior Reactor Operator License Examination Quality Assurance Checkoff Sheet ES-108-1 Reactor / Senior Reactor Operator License Examination Grading Quality Assurance Checkoff Sheet ES-201-1 Reactor / Senior Reactor Operator License Examination - Detailed Review Guide ES-201-2 Examination Review Guide ES-201-3 Conformance to ES-202 Reactor Operator Examination ES-201-4 Answer Key Review Guide ES-201-5 Reactor / Senior Reactor Operator License Examination Administra-tion and Grading - Detailed Review Guide ES-201-6 Grading Review Guide ES-201-7 Power Plant Examination Results Summary Sheet Examiner Standards vi
~
O LIST OF TABLES (Continued)
ES-203-1 U.S. Nuclear Regulatory Commission Reactor Operator License Examination ES-401-1 Conformance to Standard ES-402 Senior Reactor Operator Examination ES-403-1 U.S. Nuclear Regulatory Commission Senior Reactor Operator License Examination
]
LIST OF ATTACHMENTS i
ES-103, Check Sheet for Completion of Examination Assignment ES-103, Request for Administration of Written and Operating Examination for Operator Licensing ES-105, Observation Training Program ES-105, Oral Exam Audit ES-201, Reference Material Requirements for Reactor / Senior Reactor Operator Licensing Examinations ES-201, Administration of Reactor / Senior Reactor Operator Licensing Written Examinations ES-201, Letter to Facility Formalizing Examination Schedule ES-201, NRC/ Facility Staff Examination Review ES-301, Operator Examination Report ES-301, Senior Operator Upgrade Examination Report ES-301, Senior Operator Examination Report ES-302, List of Topics for Oral Examinations - Boiling-Water Reactors ES-302, List of Topics for Oral Examinations - Pressurized-Water Reactors ES-303, Simulator Exam Report ES-305
,, Sample Reactor Operator Examination Report I
ES-305, Sample Instant Senior Reactor Operator Examination L
Report ES-502, Control Manipulations l
Examiner Standards vii l
1.
O LIST OF ATTACHMENTS (Continued)
ES-601, Assignment To Evaluate Licensed Operator Requali-fication Program ES-601, Form Letter to Facility Vice President - Reference Material Required ES-601, Requalificatien Oral Examination Audit ES-601, Requalification Simulator Examination Audit ES-601, NRC-Administered Requalification Examination Results Summary Sheet ES-601, Requalification Program Evaluation Report i
O l
O Examiner Standards viii
)
Rev. 0 9/1/83 PURPtSE AND FORMAT OF OPERATOR LICENSING EXAMINER STANDARDS A.
Purpose The Operator Licensing Examiner Standards establish the procedures and practices for examining and licensing candidates for NRC licenses pursu-ant to Part 55 of Title 10 of the Code of Federal Regulations (10 CFR 55).
These standards will 1.
describe the provisions of the act and regulations on which the program is based 2..
provide for equitable and consistent administration of examinations to all candidates at all facilities subject to the regulations 3.
provide guidance for training of new examiners or other interested parties with respect to the details of the examining program B.
Format Each standard will explain rules, procedures, and practices for a partic-p ular aspect of the program.
The designation of each standard will be in the form ES-xyy, where the xyy refers to a three-digit number designed to place the standards in logical groupings for ready reference. -The digit symbolized by x ranges from 1 to 9.
All standards beginning with each digit refer to aspects of the program in a given grouping, as follows:
1.
general administrative standards 2.
written examination, reactor operator 3.
operating and oral facility examination, senior reactor operator or reactor operator 4.
written examination, senior reactor operator 5.
simulator examination, senior reactor operator or reactor operator 6.
requalifications examination 7.
instructor certification examination 8.
fuel handler foreman examination 9.
unassigned The two-digit number "yy" is a sequential number (01, 02, etc.) to differ-
)
\\m/
entiate standards within a particular group.
Examiner Standards 1 of 2 l
ES '101 C.
Reference Code of Federal Regulations, Title 10, " Energy," U.S. Government Printing Office, Washington, D.C.
4 1
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O Examiner Standards 2 of 2
p ES-102 id' Rev. 0 9/1/83 APPLICABILITY OF COMMISSION REGULATIONS AND GUIDES TO OPERATOR LICENSES A.
Purpose This standard lists the regulations of the U.S. Nuclear Regulatory Commission (NRC) that establish the requirements, for content, or pro-cedures for operator licenses.
It also includes regulatory guides, NUREG reports, and other published guidance intended to implement the regulations.
Also included are American Nuclear Society (ANS) standards which are used for guidance in implementing the regulations.
Interim standards may be used for guidance unitl revised versions are approved.
B.
Regulations 1.
10 CFR 55 - Operator Licenses 10 CFR 55 is the basic implementing regulation for licensing reactor operators and senior reactor operators.
With Appendix A to 10 CFR 55, "Requalification Programs for Licensed Operators of Production and Utilization Facilities," this regulation establishes the basic require-ments and the regulatory basis for licensing operators.
O
)
2.
10 CFR 50 - Licensing of Production and Utilization Facilities The regulations in 10 CFR 50 provide for the licensing of production and utilization facilities.
10 CFR 50.34 requires that a descrip-tion of the requalification program be included in the Final Safety Analysis Report (FSAR).
This description forms the basis for the acceptability, inspection, and audit of requalification programs.
10 CFR 50.54 (k)-(m) contains the regulations restricting control manipulations to licensed operators and stands as a condition of all licenses for facilities licensed under 10 CFR 50.
Licensing of reactor operators and senior reactor operators pursuant to 10 CFR 55 is required at these facilities.
3.
10 CFR 2 - Rules of Practice The regulations in 10 CFR 2 govern the conduct of all proceedings before the NRC involving licensing and licenses.
10 CFR 2.103(b)(2) contains the rule applicable to a candidate's rights to review of a licensing decision, including appeal and hearing rights.
4.
10 CFR 9 - Public Records The regulations in 10 CFR 9 prescribe the rules governing the NRC's public records that relate to any proceeding subject to 10 CFR 2.
10 CFR 9 describes and implements the requirements for balancing
[_h the public's rights to information u'nder the Freedom of Information
(,/
Act and NRC's responsibility to protect personal information under the Privacy Act.
Examiner Standards 1 of 3
f ES-102 5.
10 CFR 20 - Standards for Protection Against Radiation The regulations in 10 CFR 20 establish standards for protection against radiation hazards arising from licensed activities.
Some of the material is appropriate for inclusion in the examinations administered to candidates for operator or senior operator licenses.
A candidate should have a knowledge of the implementing procedures, and an examiner should have a basic understanding of these regulations.
C.
Regulatory Guides, NUREG Reports, and American National Standards Institute /American Nuclear Society (ANSI /ANS) Standards Regulatory guides, NUREG reports, and industry standards are not require-ments except as required by Commission orders or as committed to by the licensee.
The appropriate revisions should be consulted as referenced in the facility FSAR or approved training program.
1.
Regulatory Guide 1.8, " Personnel Selection and Training." This is the basic regulatory guide inclementing the regulations concerning eligibility for licensing and wnat positions require licensing.
It endorses American Nuclear Society Standard ANS 3.1 (ANSI N18.1).
2.
Regulatory Guide 1.33, "Q/A Program Requirements - Operations."
Appendix A to this guide contains a list of typical procedures for pressurized-water reactors and boiling-water reactors.
3.
Regulatory Guide 1.114, " Guidance on Being an Operator at the Controls of a Nuclear Power Plant." This guide defines the extent of the control room and the appropriate duties of the operators.
It also restricts the operators from performing certain duties.
4.
Regulatory Guide 1.134, " Medical Evaluation of Nuclear Power Plant Personnel Requiring Operator Licensing." This guide endorses I
ANS-3.4/ ANSI N-546, " Medical Certification and Monitoring of Per-sonnel Requiring Operator Licenses for Nuclear Power Plants," with some exceptions, clarification, and regulatory positions.
The guide repeats part of 10 CFR 55 to explain what information should be provided to the NRC regarding the medical condition of each candidate for an operator license.
5.
Regulatory Guide 1.149, " Nuclear Power Plant Simulators for Use in Operator Training." This guide endorses ANSI /ANS 3.5-1981 subject to the provisions shown in Section C of the guide.
6.
NUREG-0094, "A Guide for the Licensing of Facility Operators, Including Senior Operators," July 1976.
This document includes information on content, scope of examinations, applications, and eligibility requirements including sample questions.
O Examiner Standards 2 of 3
l ES-102 7.
NUREG-0737, " Clarification of TMI Action Plan Requirements," Nov.
1980.
This document clarifies the following items:
Item I.A.2.1, "Immediate Upgrading of R0 and SR0 Training and Qualifications";
Item I.A.2.3, " Administration of Training Programs"; Item I.A.3.1,
" Revised Scope and Criteria for Licensing Exams", and Item II.B.4,
" Training for Mitigating Core Damage." The purpose of these action plan items is to upgrade the training, licensing, education, and experience of operators on the basis of experience gained from the accident at Three Mile Island, Unit 2.
8.
NUREG-0800, " Standard Review Plan for the Review of Safety Analysis Reports for Nuclear Power Plants.
LWR Edition," July 1981.
Sec-tion 13.2, " Reactor Operator Training," of this document describes the training and licensing of operators and includes the informa-tion which is to be submitted by applicants for construction per-mits and operating licenses.
9.
ANSI /ANS 3.1-1978 and 1981 (ANSI /ANS N18.1-1971), "ANS Standard for Selection and Training of Nuclear Power Plant Personnel." This standard provides criteria for the selection and training of indi-viduals at each functional level of assigned responsibility (e.g.,
managers, supervisors, operators, and technicians).
See Regulatory Guide 1.8.
10.
ANS 3.2 (ANSI N18.7-1976), " Administrative Controls and Q/A for the Operational Phase of Nuclear Power Plants." This standard provides guidance and recommendations for administrative rules of prac-tice and preparation of procedures, audit programs, and related subjects.
11.
ANS 3.4, " Medical Certification and Monitoring of Personnel Requiring Operator Licenses for Nuclear Power Plants." This standard is the basic document covering the requirements applicable to the health of licensed personnel.
12.
ANS 3.5, " Nuclear Power Plant Simulators for Use in Operator Train-ing," Jan. 1981.
This standard establishes the minimum functional requirements and capabilities for nuclear power plant simulators for use in operator training.
N Examiner Standards 3 of 3
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r ES-103
(
Rev. 0 9/1/83 w
ASSIGNMENT OF EXAMINERS TO ADMINISTER EXAMINATIONS A.
Purpose This standard establishes the policy for the assignment of examiners for examination administration.
Included in this standard are descriptions and use of examiner assignment sheets, assignments and duties of the chief examiner, and the number of examiners required to administer examinations to a group of applicants.
B.
Initiation of Requirement for an Examination In the past, receipt of applications for operator licenses at headquar-ters was the first indication of the requirement for examinations.
However, it has become a common occurrence for facilities to initiate contact well before applications are sent so that tentative examination dates can be established.
Since resources have become more restricted, section chiefs should request an annual training and examination schedule l
from each plant for planning purposes.
Section chiefs are responsible for ensuring that examination assignments are completed.
A " Check Sheet for Completion of Examination Assignment,"
O to this standard, may be used to track examination progress.
V Section chiefs shall assign available examiners te administer the exami-nations on the dates arranged with the facility.
Section chiefs should ensure that Examination Assignment Sheets are prepared as far in advance as possible, but at least 2 weeks before the examinations.
Examination Assignment Sheet distribution shall include all examiners assigned, the facility resident inspector, appropriate regional distribution as estab-lished by the regional administrator, and the operator reactor project manager or licensing project manager.
If laboratory examiners are assigned, the assignment sheet shall be signed by the Chief, OLB, or the designated contract project manager, shall include the control FIN number, and shall include the laboratory group leader and the official contract file or distribution.
Under provisions of the laboratory con-tracts, this shall be the only official form for assigning examinations' to the laboratories.
Conflicts in scheduling shall be resolved by the headquarters and regional section leaders.
If they cannot agree, the Branch Chief, OLB, and regional branch chiefs shall resolve any conflicts.
The chief examiner shall have the authority to resolve scheduling prob-lems, and scheduling and rescheduling will be done directly by the facility contact and the chief examiner, who should be kept advised of significant changes.
Travel authorizations shall be issued by headquar-ters or the regional office (depending on which office makes the assign-ment). A letter confirming the examination dates and requesting submis-sion of required information should be prepared by the section chief or p
chief examiner for signature by the Branch Chief, OLB, or appropriate Examiner Standards 1 of 5
ES-103 regional authority.
The letter normally should request information at least 60 days before the scheduled examination dates and, therefore, should be signed out at least 90 days before the examinations to allow the facility time to respond.
C.
Assignment of Examiners The examiner's primary section assignment, other examination commitments, geographical location, and availability at the projected time should be considered in assignments.
An examiner who administered the operator oral examination normally should not be assigned to administer the senior operator oral examination to the same candidate.
An examiner who has failed a candidate normally should not be assigned to give the same candidate another oral examination.
Examiners who have been previous employees of a facility shall not conduct or perform a_n,.y portion of the examination process at that facility for a minimum period of 6 months.
The extent and nature of the potential conflict of interest shall be made known to the section chief by the examiner.
The level and amount of participation in the facility examination shall be at the discretion of the branch chief.
An examiner who was previously employed by a facility is responsible for informing his immediate supervisor of any relevant
. facts or special circumstances pertaining to his examination assignment or other factors that might appear as being a conflict of interest.
Other factors that should be disclosed by the examiner and considered by the supervisor are:
1.
the length of time the examiner worked at the facility 2.
the time that has elapsed since the examiner left the facility 3.
the nature and extent of previous relationships with former asso-ciates being examined 4.
reasons why the examiner terminated his employment 5.
how the examiner regards the candidate (s) or his former associates at the facility 6.
other factors that could impact upon the administration, performance, evaluation, or results of the examination.
Criteria that will identify every conflict of interest issue cannot be prescribed.
The application of sound supervisory judgment on the facts of each case is necessary.
In doubtful cases, advice from General Counsel should be obtained.
D.
Number of Examiners The target average replacement examination shall be eight candidates and I
will require two examiners to prepare and administer the written and I
oral examinations.
However, for larger' workloads, such as cold initial l
examinations, the oral and operating examinations usually will be l
Examiner Standards 2 of 5 l
O ES-103 V
assigned to more examiners.
Normally, a sufficient number of examiners should be assigned so that each examiner will complete no more than four power plant oral examinations per visit regardless of whether the assign-ment is for cold or replacement examinations.
In exceptional cases five complete oral examinations per visit may be required.
Request by util-ties for examinations for less than eight candidates should be discour-aged in the advanced planning stage.
If less than eight candidates are to be examined, the section chief shall ensure that the most efficient use of examiners is made and shall request that proctors be assigned as necessary.
E.
Chief Examiner I
Whenever a group of examiners is assigned to administer the examinations, one member of this group will be designated as chief examiner on the assignment sheet.
This assignment is an administrative tool to specify the responsibility for coordinating the details of the examination sched-ule with the facility contact and the other examiners, and for keeping the assigning section chief informed.
Even when firm examination dates f
have been scheduled by the assigning section chief before the assignment of examiners, it is possible that equipment malfunctions, illnesses, or other circumstances will necessitate rescheduling the examination.
Because the need for rescheduling can occur on short notice, the resched-
,Q uling can be most expeditiously accomplished directly between the facility
(*j contact and examining team through the chief examiner.
If rescheduling of examinations involving contract examiners is required, the project manager for the contract shall be notified as soon as possible.
It is NRC policy that one member of the examining team shall be either a head-quarters or a regional examiner who will be assigned as chief examiner to perform coordination activities.
If no headquarters or regional examiner is on the team, a contract examiner will be designated chief examiner.
F.
Returning Facility-Provided Material The chief examiner is responsible for ensuring that facility literature required by examiners to study the facility design and characteristics is returned to the facility as soon as possible.
All literature should be returned to the facility soon after expiration of the 20-day period allowed for requesting a hearing in the case of denials.
If any denials have bee.' appealed, the chief examiner shall determine if all or part of the infornation must be retained for longer periods and shall be responsible for ensuring that it is returned.
If the examination resulted in no failures, then the material should be returned as soon as the licenses are issued.
The chief examiner shall inform the other examiners when the literature should be returned.
V Examiner Standards 3 of 5
ES-103 ATTACHMENT 1 CHECK SHEET FOR COMPLETION OF EXAMINATION ASSIGNMENT Facility ITEM DESCRIPTION INITIALS DATE 1
Examination schedule agreement with facility 2
Assignment of examiners 3
Letter to vice president sent 4
Applications received 5
Literature received 6
Assignment sheet completed 7
Examinations administered 8
Grading completed 9
Graded examinations received by NRC 10 Review completed 11 Licenses / denials typed 12 Licenses / denials mailed 13 Summary sheet sent to plant training 14 Literature returned I
15 Examiners notified to l
dispose of records l
9 Examiner Standards 4 of 5
ES-103 ATTACHMENT 2 REQUEST FOR ADMINISTRATION OF WRITTEN AND OPERATING EXAMINATION FOR OPERATOR LICENSING NRC EXAMINER (S):
REQUEST FOR ADMINISTRATION OF WRITTEN AND OPERATING EXAMINATION FOR OPERATOR LICENSING Please make arrangements to administer written and operating examinations to the following applicants:
APPLICANT DOCKET NO.
EXAMINATION TYPE Facility and Location:
Facility
Contact:
Chief Examiner:
Written Examination To Be Prepared by R0:
SRO:
Dates of Examinatinns:
Branch Chief cc:
Examiner Standards 5 of 5
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ES-104 i
Rev. 0 9/1/83 PROCEDURES FOR POSTEXAMINATION ACTIVITIES A.
Purpose This standard describes the procedures and policy for postexamination debriefing with facility management and the submission of reports and recommendations concerning the examination.
B.
Debriefing Sessions At the conclusion of an examination, the facility licensee is frequently interested in holding discussions with the examiner (s) regarding the per-formance of the group of candidates.
Although this is not a part of the examination procedure and will not affect the results regarding licensing of any current candidate, it is appropriate for NRC to assist the licensee in his efforts in training and providing qualified operators, and the examincr(s) should hold a debriefing session of this nature.
The debriefing session is held with the staff members designated by the licensee, usually the plant or onerations supervisor and/or training director.
Tha current candidates shall not be present.
The NRC resident inspector shall ca informed of the meeting so he can attend if ne so desires.
The chief examiner shall advise the resident inspector of plant deficiencies before
)
the meeting and incorporate the resident inspector's comments as appropriate.
J' In the discussion, the examiner should try to detail the areas of knowl-edge that have been identified as strong and weak points of the group of candidates overall.
The chief examiner should provide a list of names of candidates who clearly passed the operating examinations.
It should be pointed out that those not listed may pass but are considered marginal at that time.
In addition, discussions concerning recent licensing activities may be of interest to the facility personnel, and the chief examiner should make every effort to answer questions to the fullest extent possible.
Questions that are policy matters, or for which there are no clear answers, shall be referred to the appropriate regional section chief or branch chief for response, and the licensee shall be informed that the matter is being referred for reply.
The question will be referred to the Branch Chief, OLB, if it is a generic or major policy issue.
C.
Submission of Reports and Recommendations Any licensee comments that cannot be resolved bu the chief examiner shall be referred in writing to the appropriate section leader within 1 week of the examination.
Questions in dispute shall not be graded until conflicts are resolved.
As rapidly as possible, but not later than 2 weeks after completion of the examinations, the examiner should send his reports and re'ommendations to headquarters or to the chief c
3 (G
Examiner Standards 1 of 2
-- l
examiner.
A report by the chief examiner should contain a list of important deficiencies discussed with the licensee.
Results of each phase of the examinations should be submitted when evaluations are completed if the examination is administered at separate times.
For example, written and oral results should not be held up until simulator examinations are completed.
The chief examiner shall submit the necessary reports to headquarters or the regional section chief.
The chief examiner is also responsible for submitting a completed summary sheet with all required information if examination results are not submitted together.
He also shall ensure that a single examination report, with all results indicated, is com-pleted for each candidate.
In general, it is the policy of NRC to have completed results of examina-tions submitted to the facility w) thin 30 days of conduct of the examina-tions.
Examiners and section chiefs should establish priorities so that this schedule can be adhered to.
D.
Notifications of Results All notifications regarding final examination results shall be made only e
after review and approval by the Branch Chief, OLB, or the regional administrator or his delegate.
A copy of the examination and each candidate's answer sheet shall be forwarded to the candidate with either his license or a denial letter.
An oral examination report (Form 1570, B, or C) shall be included with the denial letter if a candidate has failed the operating examination.
A copy of each completed summary sheet (Table ES-201-7) shall be sent to the station management after the examination results are final.
O Examiner Standards 2 of 2
1 ES-105 Rev. 0 9/1/83 INDOCTRINATION PROGRAM FOR NEW EXAMINERS A.
Purpose This standard describes the indoctrination program for all persons selected as NRC examiners for operator licenses.
It is intended to ensure that persons initially participating in the examining program are given sufficient orientation to enable them to administer examinations in a manner consistent with current practices and :;tandards.
Although these standards apply directly to NRC examiners, similar procedures shall be applied for consultant and contractor examiners.
It is essential that all areas within the scope of 10 CFR 55 are equi-tably and completely covered in the examinations given to candidates and that examinations are administered with a high degree of consistency and uniformity in both level of knowledge required and content of the exami-nation.
This ensures that the basic requirement of equal treatment of all candidates is accomplished.
B.
Indoctrination Program The following program is recommended as a minimum indoctrination program for new examiners:
1.
Headquarters / Region Indoctrination Each new examiner should begin his indoctrination in the headquar-ters office of the Operator Licensing Branch (0LB) or in the regional offices.
During a minimum period of 2 days, the branch chief or appropriate section leader or section chief should discuss the program, as outlined in Items 2 and 3 below, and acquaint the new examiner with branch administrative procedures that apply directly to operator licensing.
The section leader or section chief will develop and provide the new examiner with a training program, discuss the program with the new examiner, and determine a schedule for completion of the program.
Special attention should be given to ensuring that the new examiner has firsthand knowledge of plant operations.
Depending on education, training, and experi-ence of a new examiner, the section leader or regional section chief may require that the examiner participate in one or more of the following training programs:
a.
nuclear power plant fundamentals b.
plant systems c.
plant operations 1
(1) simulator
(
Examiner Standards 1 of 14
ES-105 (2) onsite training and observation (guidelines are included as Attachment 1 to this standard.
The sccpe and length of observation training should be tailored to the new examiner's previous experience. )
d.
examination methods 2.
Provision of Briefing Materials Each new examiner shall be supplied by headquarters or the regional office with the following:
a.
copies of 10 CFR 2, 9, 20, 50, and 55 b.
copies of each Operator Licensing Standard c.
copies of instruction manuals for accessing the examination questions bank d.
other general information that may be considered pertinent to the program 3.
Discussion of Briefing Materials A certified examiner will discuss the program with the new examiner, using the briefing materials as a basis.
This discussion will permit clarification of objectives and content which are often, by necessity, couched in statutory language.
Use of computer, aids will be demonstrated to ensure that the new examiner candidate has access to basic information.
4.
Observation of Actual Examinations Before administering an examination, each new examiner will observe an actual reactor operator and senior reactor operator examination by one or more certified examiners to become familiar with the methods, techniques, and time elements involved.
No written discus-sion can adequately describe items such as level of knowledge or oral examination procedure; therefore, observation of at least one actual examination, preferably on a fairly complex facility, is necessary.
The examiner shall debrief the examiner candidate at the completion of the examination, shall, as a minimer., heve the examiner candidate complete an Oral Report Form, and make a final recommendation.
Differences in observations should be discussed with the examiner candidates during the debriefing session.
5.
Discussion of Initial Examination During the first examination administered at a power plant by the new examiner, a certified examiner shall be present to observe and subsequently discuss the examination with the new examiner.
The Examiner Standards 2 of 14
ES-105 certified examiner shall be an NRC examiner.
This observation and discussion are necessary so NRC can ensure and document that con-sistent techniques and requirements are being used.
They will further serve to identify improved ideas and methods that may be used and to incorporate them into the program.
The examiner shall prepare a written evaluation of the examiner candidate including as a minimum the " Oral Exam Audit," NRC Form 308, included as Attach-ment 2 to this standard, and forward it to the appropriate section leader.
The evaluation shall include an evaluation of the candi-date's knowledge, an evaluation of the candidate's program prepara-tion and effectiveness, and an evaluation of the candidate's demon-strated ability to examine.
A recommendation for certification shall be included.
6.
Other Indoctrination If considered desirable or necessary, additional indoctrination may be provided. It is the responsibility of headquarters and/or regional offices to provide all examiners with sufficient information and guidance to participate effectively in the program.
No examiner should be requested to administer an examination unless both he and headquarters and/or the regional office believe that he has received sufficient orientation and training.
All deficiencies and weak-('N nesses identified in the written examination and the observed oral
('d examination shall be discussed with the candidate.
All deficien-1 cies shall be corrected before certification.
7.
Certification of Examiners At the completion of the indoctrination period, each new examiner shall be certified by the regional branch chief to the Branch Chief, OLB, as being qualified to conduct licensing examinations of reactor operators and senior reactor operators in accordance with 10 CFR 55.
If the examiner is transferred to a section that con-ducts examinations for reactors significantly different from those for which he was previously certified, he should receive appropriate indoctrination and training.
As a mimumum an additional observed oral examination should be conducted and certification on the new reactor type prcvided to the Branch Chief, OLB.
Certification shall be vendor specific, and additional certification shall be made for each vendor type.
Entries should be made in the exam-iner's personnel record as well.
Examiners who are not certified shall not be chosen to administer examinations.
8.
Annual Review i
At intervals of approximately 1 year, each examiner shall be accom-panied by the appropriate section leader or regional section chief, or his designated alternate, during the administration of a written
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If a contractor-
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or consultant examiner accepts assignments from two section leaders i
Examiner Standards 3 of 14 i
t ES-105 or regional section chiefs each year, he may be audited by each supervisor on an approximately annuc3 basis.
During this annual review the examiner and the reviewing examiner will discuss at length current examining policies and practices and other appropriate examining activities, and openly exchange views on the general subject of operator training and licensing.
At the completion of the annual review, the reviewing examiner shall complete a review form, NRC Form 308, whictrshould be filed with the appropriate office with a copy sent to the person reviewed.
The reviewer shall discuss with the examiner the evaluation of his techniques and make any suggestions for improvement.
9.
Examiner's Training Meeting OLB headquarters will schedule a meeting of all examiners) usually annually, during which new examining methods and procedures and relevant operating experience wil),be discussed and all examin'ers will be able to exchange informati n and experience that will 3
assist other examiners.
All examiners will be expected to attend.
Schedules for examinations and training should be adjusted as, necessary to minimize conflictc with the dxaminer's conference.
When sufficient examiner training and retraining prograus are in place at the Technical Training Center or other facilities and effective procedures for exchange of operating experience and other information have been developed, the need for an annual training meeting will be reevaluated.
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Examiner Standards
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ES-105 O
v ATTACHMENT 1 OBSERVATION TRAINING PROGRAM TRAINING OBJECTIVES 1.
To familiarize the potential operator license examiner with an operating power plant of the same nuclear steam supply system (NSSS) type as that for which he will.be conducting examinations 2.
To acquaint the potential examiner with the day-to-day nuclear station routine g.
3.
To acquaint the potential examiner,with a typical station's records and procedures 4.
To expose the potential examiner to nuclear plant maintenance conducted under radiological control regulations
GENERAL COMMENT
S n%"f 1.
The plant to be used may be any operating power plant - the objec-tive will be to select a plant that is most typical of the majority of plants of the specific type the potential examiner will be examining.
2.
The schedule for the plant also will consider that plant with the
- s most significant upcoming events, i.e., fuel loading, turbine <aain-tenance, load changes, surveillance testing, and plant startup/
shutdown.
3.
.The coursh will be c'onducted after the potential examiner has com-pleted the required academic courses - when the training will be most
'1 meaningful to him.
3 4.
The observation guide is just that - a guide.
If an event of interest occurs (such as a major surveillance or plant recovery from a scrag), thelpotential examiner should adjust his schedule.so
-that he will'be able to observe'the event.
St The potential ex'aminer shall observe all rules and regulations in effect at the facility.
6.
The potential examiner shall only observe operation of~ equipment; i
he shall not actually operate equipment (with the' exception of portable radio equipment, as authorized by.the~ facility).
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Examiner Standards
' 5 of 14 A,,N i
ES-105 7.
The potential examiner shall not request any equipment to be operated, nor any tests or surveiltances to be conducted.
8.
The ootential examiner shall arrive at the site sufficiently early to observe the shift turnover.
9.
After observirg an event (e.g, surveillance, equipment test, main-tenance, startup, and shutdown) or tracing a system, the poten-tial examiner shall record it in the space provided on the daily training schedule.
Once the observation training has been completed, the training schedule will be filed in the examiner's training folder.
10.
The section leader or regional section chief or a certified examiner designated by him to be in charge of the potential candidates obser-vation training will provide a list of systems to be traced out.
11.
During this training period, the potential examiner should observe the use of procedures by the operators and follow the event with a spare copy of the procedures, if possible.
12.
The potential examiner should pay attention to administrative procedures (e.g., tag outs, jumper log, and key log) used by the operator and shift supervisor.
TYPICAL DAY 1.
Review previous day's control roem log.
2.
Review previous day's control room operation and discuss unusual events with instructor.
3.
Review day's control room schedule and observe any periodic sur-veillance tests to be run, any load changes or equipment changes to be made, and startups or shutdowns.
4.
Review previous day's chemistry and radiological logs.
5.
Review day's radiological control schedule and observe any special sampling or radiological procedures to be performed.
6.
Review previous day's maintenance log.
7.
Review day's maintenance schedule and observe any special main-tenance to be performed, e.g., control rod drives.
c 8.
Proceed to scheduled plant area and begin day's tasks.
O Examiner Standards 6 of 14
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ES-105 OBSERVATION TRAINING SCHEDULE Events Observed / Systems Traced Day 1 Administrative Requirements (RADCON Training, Security Briefing)
Day 2 Adm.tnistrative Requirements Day 3 Plant Drientation - Control Room
- Shops
- - ~ ^
- General Plant Layout Day 4 Review Logs - Control Room
- Maintenance
- Rad Control Tour - Control Room Review - Plant Evacuation Procedure Daily Recapitulation Day 5 Review Logs - Control Room
- Maintenance
- Rad Control Tour - Control Room Daily Recapitulatior.
Day 6 Off Day 7 Off Day 8 Review Logs - Control Room
- Maintenance
- Rad Control Tour - Electrical Distribution
- Breaker Operation
- Electrical Maintenance Daily Recapitulation Day 9 Review Logs - Control Room
- Maintenance
- Rad Centrol l
Tour - Control Room Daily Recapitulation Examiner Standards 8 of 14
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ES-105 Events Observed / Systems Traced Day 10 Review logs - Control Rnom
- Maintenance
- Rad Control Tour - Control Room
- Turbine Auxiliary Systems Daily Recapitulation Day 11 Review Logs - Control Room
- Maintenance
- Rad Control Tour - Rad Waste
- Health Physics Daily Recapitulation Day 12 Review Logs - Control Room
- Maintenance
- Rad Control Tour - Refueling Floor
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Daily Recapitulation Day 13 Off Day 14 Off Day 15 Review Logs - Control Room
- Maintenance
- Rad Control Tour - Control Room Daily Recapitulation Day 16 Review Logs - Control Room
- Maintenance
- Rad Control Tour - Equipment Operator Daily Recapitulatior, Day 17 Review Logs - Control Room
- Maintenance
- Rad Control Tour - Instrumentation and CT Control Tech I
V Daily Recapitulation Examiner Standards 9 of 14
ES-105 Events Observed / Systems Traced Day 18 Review Logs - Control Roo.v.
- Maintenance
- Rad Control Tour - Reactor Building Daily Recapitulation Day 19 Review logs - Control Room
- Maintenance
- Rad Control Tour - Reactor Building (a) Emergency Core Cooling Systems (b) Process Instrumentation Daily Rec 3pitulation Day 20 Off Day 21 Off Day 22 Review logs - Control Room
- Maintenance
- Rad Control Tour - Turbine Building Daily Recapitulation Day 2_3 Review Logs - Control Room
- Maintenance
- Rad Control Tour - Area Radiation Monitors (Observe Levels and Locations
- Turbine Building i
Day 24 Review Logs - Control Room
- Maintenance
- Rad Control Tour - Results Shop / Rad Control Lab (Observe Rad Control Procedures and Analysis)
- Reactor Protection System and Reactor Process Instrumentation Daily Recapitulation O
Examiner Standards 10 of 14
ES-105 Events Observed / Systems Traced Day 25 Review Logs - Control Room
- Maintenance
- Rad Control Tour - Control Room Daily Recapitulation Day 26 Review Logs - Control Room
- Maintenance
- Rad Control Tour - Control Room Daily Recapitulation Day 27 Off Day 28 Off O
Examiner Standards 11 of 14
ES-105 HOMEWORK 1.
Read station Technical Specifications.
2.
Review system description before inplant tour.
3.
Review system operating procedures.
4.
Review station emergency procedures.
5.
Review radiological control fundamentals.
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Examiner Standards 12 of 14
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Examiner Standards 13 of 14
ES-105 f 5'06
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O Examiner Standards 14 of 14
ES-106 Rev. 0 9/1/83 ADMINISTRATION OF EXAMINATIONS AT MULTIUNIT POWER STATIONS A.
Purpose This standard specifies the policy and evaluation methods for examination of reactor operators and senior reactor operators who apply for licenses at multiunit power stations.
This standard also may be used for guidance on examination requirements for identical or similar units not located at the same site.
B.
Background
In the construction of a dual or multiunit power station, the units are normally brought on line with approximately 1 to 2 years between the fuel load dates of each unit.
When the second (or subsequent) unit is brought on line most, if not all, of the candidates will hold current l
licenses on the first unit.
If the units are nearly identical, there l
are provisions for waiver of examination requirements providing certain conditions are met.
The three conditions specified in 10 CFR 55.24 are:
1.
The candidate has had extensive actual operating experience at a comparable facility within 2 years before the date of application.
2.
The candidate has discharged his responsibilities competently and safely.
3.
The candidate has learned the operating procedures for, and is quali-I fied to operate competently and safely, the facility designated in his application.
Before 1979, it was the practice of the Operator Licensing Branch (0LB) to require each utility that wanted its operators and senior operators to be dual licensed to administer the appropriate training to fulfill the requirements of 10 CFR 55.24(a),(b), and (c).
The utility would be responsible for the evaluation of this training by administering an examination that was reviewed by the NRC.
As a result of the accident at Three Mile Island, Unit 2, the NRC required a higher level of training of the operators and greater confidence in the testing requirements.
OLB, therefore, required a complete NRC-administered examination in view of the 10 CFR 55.24 waiver policy.
The training pro-grams have been significantly upgraded in the last few years, and the NRC has further increased confidence in the examination requirements through NRC-administered requalification examinations.
Requests for waivers will be favorably considered providing the facility has. sufficient justifica-O of the training and certification program.
tion concerning the degree of similarity between the units and the details Examiner Standards 1 of 4
(3-106 For replacement examinations at a dual or multiunit station, the candi-date must have completed the training program for all units with emphasis on the differences.
The NRC examination will then test the candidate on all features of the station.
C.
Criteria for Dual Licensability For a reactor operator or senior reactor operator to be eligible to hold simultaneous valid licenses on more than one nuclear facility, the utility must justify to the Commission that the differences between the units are not so significant that they impact the ability of the licensed personnel to operate safely and competently both or all facilities.
Further, the utility must submit for NRC review the details of the training and certi-fication program.
The analyses and summary of the differences that must be performed will include 1.
facility design and systems relevant to control room personnel 2.
Technical Specifications 3.
procedures, primarily abnormal and emergency operating procedures 4.
control room design and instrument location 5.
operational characteristics The utility also should describe the expected method of rotating person-nel between units and the refamiliarization to be conducted before respon-sibility on a new unit is assumed.
Generally, only those facilities de-signed by the same nuclear steam supply system vendor and operated at approximately the same power level will be considered for dual licens-ability.
Examples of facilities (and vendors) where dual (or multi-licenses) have been issued are:
Facility Vendor Oconee 1, 2, and 3 Babcock & Wilcox Calvert Cliffs 1 and 2 Combustion Engineering Browns Ferry 1, 2, and 3 General Electric Brunswick 1 and 2 General Electric Dresden 2 and 3 General Electric Peach Bottom 2 and 3 General Electric Farley 1 and 2 Westinghouse Point Beach 1 and 2 Westinghouse Salem 1 and 2 Westinghouse Surry 1 and 2 Westinghouse Dual licensability will not be automatically denied 'for those facilities failing to meet the criteria of same vendor and similar power level.
However, special justification must be submitted for review and approval by the NRC.
Exceptions are rare and are usually limited to selected j
operations management personnel.
1 O
Examiner Standards 2 of 4
l ES-106 D.
Waiver of Examination In addition to the three criteria specified in 10 CFR 55.24, the NRC may require additional justification before granting waivers of examination requirements for second or subsequent units.
The two criteria are 1.
a formal training and evaluation program in the five categories of plant differences specified in Paragraph C of this standard 2.
satisfactory performance on the most recent NRC-administered requalification examination Instead of Criterion 2 above (or additionally if the situation warrants) other examination requirements may be imposed such as NRC-administered examinations (oral and/or written) on the plant differences.
Submittals should be requested and evaluated by the regional office.
Results of the evaluations should be submitted to the Director, Division of Human Factors Safety, NRC for concurrence.
E.
Hot or Replacement Examinations at Multiunit Stations This section describes the examination requirements at those stations where both (or all) units are in an operational status (have received p]
operating licenses and/or are commercial).
Candidates may apply for
\\
dual licenses, assuming the criteria are met, and be examined simulta-neously on all applicable units.
The oral and written examinations shall be developed in accordance with the appropriate standards but must include questions that investigate the candidate's knowledge of the different design, procedural, and operational characteristics.
It is recommended that approximately 10% of the written examination include questions of this nature.
These questions should not be confined to a specific category.
For example, plant differences are most evident in system design, but design differences usually require different oper-ating procedures.
Identical plants may have different fuel designs, and pressurized-water reactors (PWRs) will have different boron concentra-tions.
Questions on nuclear theory can be developed from these considarations.
During the course of the oral examinations, the examiners should diver-sify their coverage of the units and not become predictable in conducting examinations only on one unit.
Different candidates may be examined on different units, or a specific candidate may be asked to explain how control board layout or system / instrumentation differences may require different procedural actions between one unit and another.
Many dual or multiunit stations will have a simulator that is modeled after only one unit.
During the course of the oral examination, the examiner should ensure that the candidate is properly tested on the q
different systems, control board layout, and other aspects of the other
[V j
unit (s).
Following a simulator examination on Brown's Ferry Unit 1, for example, the control room portion of the plant walkthrough should be conducted primarily on Unit 2 and/or Unit 3.
Examiner Standards 3 of 4
F.
Examination Requirements on Different Units Different units owned or managed by a single utility are defined for purposes of this standard as:
1.
same ver. dor manufacturer but significantly different age and/or power level (e.g., St. Lucie Units 1 and 2, Dresden Units 1 and 2).
2.
same vendor manufacturer and similar units but different location (e.g., Sequoyah and Watts Bar, Byron and Braidwood).
3.
different vendor manufacturer (PWR only) but located at the same site (e.g., Arkansas Units 1 and 2, Millstone Units 2 and 3).
Generally, personnel will not be examined on or allowed to hold licenses on different units simultaneously.
Although some allowances have been made for this in the past, future exceptions will be rare.
G.
Waivers of Pcrtions of the Examinations for Previously Licensed Operators Vaivers of portions of the examinations will be considered depending on the justification submitted by the utility as provided for in 10 CFR 55.24.
For personnel licensed on one facility and transferring to another, written examination categories such as theory (Categories 1 and 5) may be waived and abbreviated oral examinations concentrating on plant differences may be administered.
Requests for waivers in these instances should be evaluated by the regional office.
Headquarters should concur with the results of the evaluations.
Examiners will be notified of such waivers through the appropriate section leader or regional section chief and on the Examination Assignment Form.
1 i
O Examiner Standards 4 of 4
(o)
ES-107 Rev. 0 9/1/83 V
QUALITY ASSURANCE PROGRAM FOR REVIEW 0F WRITTEN EXAMINATIONS A.
Purpose This standard defines the procedure to be followed for quality assurance (QA) review of written examinations before their administration.
B.
Responsibility Examiners should review their own examination in detail, as discussed in Standard ES-201.
The appropriate section leader or regional section chief is res'ponsible for ensuring that an independent review is conducted of written examinations prepared by examiners in his section.
The review should be performed either by the section chief, another section chief, or another examiner.
Section chiefs shall not review examina-tions that they prepared.
The QA review required by this standard is only a spot check, or sampling test, after the detailed review by the preparing examiner.
C.
Review Procedure
(]'
The reviewer should use the " Reactor / Senior Reactor Operator License Examination Quality Assurance Checkoff Sheet," Table ES-107-1, to docu-ment his review.
As a minimum, the following items should be checked:
1.
Review all questions for clarity of intent.
2.
Review all questions for applicability of terminology and systems to facility.
Ensure all questions are in proper category.
3.
Review all categories for weights assigned, in accordance with Standards ES-203 and ES-403.
4.
Verify that the totals of points for questions in each category are correct and that these totals correspond to weights given on the cover sheet.
5.
Verify that no single question and/or topic is worth more than 20%
of that category.
6.
Verify that subjects required by 10 CFR 55.21 for reactor operators (R0s) and 55.22 for senior reactor operators (SR0s) are covered in the examination.
This can be done by checking the " Examination Review Guide," Table ES-201-2.
7.
Verify that at least two-thirds of the subjects required by Stan-dards ES-202 and ES-402 are covered, and that one subject is not
[3) overemphasized to the detriment of the others.
This can be done by
(,/
checking Tables ES-201-4 and ES-401-4.
Examiner Standards 1 of 3 i
i
- 8.
Review all questions and answer keys to ensure there is no double jeopardy.
9.
Review the answer key to ensure all questions are answered concisely and clearly.
Each question should hase numerical values assigned for partial credit; that is, when the question elicits a complex multifaceted response, a scheme should be enumerated for scoring each of these facets.
For example, a single question worth 3 points of a 25 point category might have as many as 10 facets, each of which should be assigned a value.
10.
Verify that there is a reference to the plant training material for each answer, if available.
11.
Review questions and answers to ensure they correspond to the required level of knowledge (i.e., R0 or SR0 level), as described in Standard ES-202.
12.
Ensure that " lone questions" of a section are flagged on a previous page by a " continued on next page" statement.
D.
Documentation When the review is completed, the " Reactor / Senior Reactor Operator License Examination Quality Assurance Checkoff Sheet," Table ES-107-1, should be approved by the section leader / regional section chief and filed with the record copy of the examination.
- See Standard ES-202, p. 5 of 6.
Examiner Standards 2 of 3
bT ES-107 t
)
v TABLE ES-107-1 REACTOR / SENIOR REACTOR OPERATOR LICENSE EXAMINATION QUALITY ASSURANCE CHECK 0FF SHEET REVIEWER'S ITEM DESCRIPTION INITIALS DATE 1
Clarity of intent 2
Applicability to facility 3
Category weights correct.
All questions in proper category.
l l
l 4
Each category total correct and corresponding to weights on the cover sheet l
5 No question worth more than 20%
of that category weight 6
Verify compliance that 10 CFR 55.21 subjects covered 7
At least 2/3 of ES-202/ES-402 sub-jects covered and each category evenly balanced 8
No double jeopardy questions 9
Answers clear and concise 10 References to plant training material for each question, as applicable 11 Proper level of knowledge (R0/SRO)
Author:
Date:
Reviewed:
Date:
Approved:
Date:
Facility / Unit:
Exam Date:
t/
Senior
//
Operator
//
Examiner Standards 3 of 3
1 ES-108 V
Rev. 0 9/1/83 QUALITY ASSURANCE PROGRAF 1 FOR REVIEW 0F GRADED EXAMINATIONS A.
Purpose This standard N fines the procedures to be followed for quality assurance (QA) review of written examinations after they are graded by the examiners.
B.
Responsibility Examiners should review their own grading in detail, as discussed in Standard ES-201.
The appropriate section leader or regional section chief is responsible for ensuring that an independent review is con-ducted of written examination answers graded by examiners in his section.
The review should be performed by another examiner.
Section chiefs shall not review examinations that they have graded.
The QA review required by this standard is only a spot check, or sampling test, after the detailed review by the grading examiner.
C.
Review Procedure The reviewer should use the " Reactor / Senior Reactor Operator Licensing O
Examination Grading Quality Assurance Checkoff Sheet," Table ES-108-1, V
to document his review.
As a minimum, the following items should be checked:
1.
Spot check at least 50% of the examination category totals and overall grades assigned for errors in addition for each examination.
2.
Review in detail the answers and grades assigned for at least one question in 50% of the categories for 50% of the applicants.
This review will allow the examiner to determine consistency of response and grades, indications of cheating or collusion, and performance on individual questions.
3.
Review and recalculate grading assigned for all borderline cases (i.e., 70% i 2% for each category or 80%
2% overall).
4.
Compare the highest failing and the lowest passing examination, to ensure that the fail / pass decision is justified.
Check at least one question in every category in both cases.
Confirm failures with the next highest failing examination, if appropriate.
5.
Spot check other failing examinations to be assured of justification for denial of license.
6.
Review overall performance in each category and individual questions to determine if there are problems in the facility training program, v) in the wording of the questions, or in other areas.
s Examiner Standards 1 of 3 1
ES-108 7.
If the above reviews indicate significant problems, conduct a de-tailed review, as necessary.
D.
Documentation When the QA reviewer has completed his revie,,, the " Reactor / Senior Reactor Operator License Examination Grading Quality Assurance Checkoff Sheet," Table ES-108-1, should be approved by the section leader or re-gional section chief and filed with the record copy of the examination.
O lxaminer Standards 2 of 3
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ES-108 l
TABLE ES-108-1 REACTOR / SENIOR REACTOR OPERATOR LICENSE EXAMINATION GRADING QUALITY ASSURANCE CHECK 0FF SHEET a
l REVIEWERS ITEM DESCRIPTION INITIALS DATE 1
Spot check 50% of category totals and overall grade totals 2
Detailed review, 1 question per category, 50% of categories, 50% of applicants i
3 Borderline cases reviewed (i 2%)
4 High-failing/ low passing l
examination comparison 3
l 5
Spot check other failures to i
justify decision for denial
)
6 Overal1 category or individual question performance 7
Detailed review, if necessary Grading Examiner:
Date:
Reviewed:
Date:
Arproved:
Date:
Facility:
Exam Date:
Senior
//
Operator
//
Examiner Standards 3 of 3
f ES-109 Rev. 0 9/1/83 FLIGIBILITY REQUIREMENTS FOR REACTOR OPERATOR OR SENIOR REACTOR OPERATOR LICENSE CANDIDATES A.
Purpose This standard lists the various requirements on training, educational experience, and certification that must be met before a candidate can apply for an NRC reactor operator or senior operator license.
The purpose of this standard is to aid the examiners in their review of individual applications to determine the eligibility of candidates before the NRC reactor operator or senior reactor operator licensing examination.
B.
Reactor Operator Eligibility Requirements 1.
Experience Requirements a.
Minimum of 2 years of power plant experience of which at least 1 year shall be nuclear power experience (ANSI N18.1-1971, Sec. 4.5.1).
/"N b.
Minimum of 6 months at the site for which the license is sought (ANSI /ANS-3.1-1981, Sec. 4.5.1.2(b)), (NUREG-0094, Appendix F, Sec. C.2), (Letter from H. Denton, Mar. 28, 1980,, Sec. A-1).
c.
Military propulsion plant operating experience and licensed operator experience at another facility may be substituted as stated in paragraph C.1.b.
2.
Training Requirements a.
Minimum of 3 months' training in the control room as an extra man on shift (Letter from H. Denton, Mar. 28, 1980, Enclo-sure 1, Sec. A.2.b).
b.*
Training in (1) heat transfer, (2) fluid flow, (3) thermo-dynamics, (4) use af installed plant systems to control or mitigate an accident in which the core is severely damaged, and (5) reactor and plant transients (Letter from H. Denton, Mar. 28, 1980, Enclosure 1, Sec. A.2.c).
c.*
Total of 500 hours0.00579 days <br />0.139 hours <br />8.267196e-4 weeks <br />1.9025e-4 months <br /> of lectures on subjects listed in ANSI N.18.1-1971, Section 5.2.1, and related subjects and prerequisite courses (NUREG-0094, Appendix F, Sec. C).
N I
- Paragraphs b and c of the training requirements can be met by successful completion of an NRC-approved training program.
Examiner Standards 1 of 6
ES-109 d.
Manipulation of the controls of the facility during five significant reactivity changes as described in the operator requalification program.
Every effort should be made to diversify reactivity changes (NUREG-0094, Appendix F, Sec. C.4).
e.
Participation in reactor and plant operation at power levels up to at least 20% power operation (NUREG-0094, Sec. C.3).
3.
Education Requirements a.
High school diploma or equivalent * (ANSI N18.1-1971, Sec. 4.5.1).
C.
Senior Reactor Operator - Candidates Without 4-Year Degree in Engineering or Applied Science 1.
Experience Requirements a.
Minimum of 4 years of responsible power plant experience as a control room operator (fossil or nuclear) or as a power plant staff engineer involved in the day-to-day activities of the facility commencing with the final year of construction.
Of this 2 years shall be nuclear power plant experience (Letter from H. Denton, Mar. 28, 1980, Enclosure 1, Sec. A.1).
b.
Licensed reactor operator at the same facility for at least a year.
Experience for 1 year as a licensed reactor operator or senior reactor operator at another nuclear power plant may be substituted.
(NUREG-0737, Sec. I.A.2.1).
Actual operating experience for 1 year in a position that is equivalent to a licensed operator or senior reactor operator at military propul-sion reactors may be substituted on a one-for-one basis (NUREG-0737, Sec. l.A.2.1).
Navy ratings that are censidered equivaient are (1) Propulsion Plant Watch Officer, (2) Engineering Watch Supervisor, (3) Engine Room Supervisor, (4) Reactor Operator, (5) Chief, Reactor Watch, (6) Engineering Officer of Watch, and (7) Propuision Plant Watch Supervisor (0LB policy).
c.
Minimum of 6 months at the site for which the license is sought (ANSI /ANS 3.1-1981, Sec. 4.5.1.2b), (NUREG-0094, Appendix F, Sec.
C.2), (Letter from H. Denton, Mar. 28, 1980, Enclosure 1, Sec. A.1).
2.
Training Requirements a.
Minimum of 3 months on shift as an extra person in training for a position as senior reactor operator (SRO) (Letter from H. Denton, Mar. 28, 1980, Sec. A.2a), (NUREG-0737, Sec. 1.A.2.1).
- Equivalent is a GED certificate.
Some states (e.g., New York) use a term other than GED certificate, but these certificates are equivalent to a GED certificate.
Examiner Standards 2 of 6
b.
Training in (1) heat transfer, (2) fluid flow. (3) thermo-dynamics, (4) use of installed plant system to control or mitigate an accident in which the core is severely damaged, and (5) reactor and plant transients (NUREG-0737, Enclosure 1, Sec. A.2.c).
Successful completion of an NRC-approved train-ing program will satisfy this requirement.
3.
Education Requirements a.
High school diploma or equivalent (ANSI N18.1-1971, Sec. 4.5.1).
D.
Senior Reactor Operator - Candidates With 4-Year Degree in Engineering or Applied Science 1.
Experience Requirements a.
Minimum of 2 years of responsible nuclear power plant experi-ence which may be as a staff engineer involved in the day-to-day operation of the plant (NUREG-0737, Sec. 1.A.2.1).
b.
Minimum of 6 months at the site for which the license is sought (ANSI /ANS 3.1-1981, Sec. 4.5.1.2.b), (NUREG-0094, Appendix F, Sec. C.2), (Letter from H. Denton, Mar. 28, 1980, O, Soc. A.1).
2.
Training Requirements Minimum of 3 months on shift as an extra person in training a.
for an SR0 position (NUREG-0737, Sec. l.A.2.1).
b.*
Training in (1) heat transfer, (2) fluid flow, (3) thermo-dynamics, (4) use of installed plant systems to control or mitigate an accident in which the core is severely damaged, and (5) reactor and plant transients (Letter from H. Denton, Mar. 28, 1980 Enclosure 1, Sec. A.2.c).
c,*
Total of 500 hours0.00579 days <br />0.139 hours <br />8.267196e-4 weeks <br />1.9025e-4 months <br /> of lectures on subjects listed in ANSI N18.1-1971, Section 5.2.1, related subjects, and prerequisite courses (NUREG-0094, Appendix F, Sec. C).
d.
Manipulation of the controls of the facility during five significant reactivity changes as described in the operator requalification program.
Every effort should be made to diversify reactivity changes (NUREG-0094, Appendix F, Sec. C.4).
- Paragraphs b and c of the training requirements will be met by success-
{V
}
ful completion of an NRC-approved training program.
Examiner Standards 3 of 6
ES-109 Participation in reactor and plant operation at power levels e.
up to at least 20% power operation (NUREG-0094, Appendix F, Sec. C.3).
f.
Satisfactory completion of an SR0 training program equivalent to a cold-license candidate training program (NUREG-0737, Sec. 1.A.2.1).
3.
Ec'ucation Requirements At least a 4 year degree in engineering or applied science a.
(NUREG-0737, Sec. 1.A.2.1).
E.
Contents of Applications 1.
Each application shall be made on NRC Form 398.
Form 398 contains all of the requirements of 10 CFR 55.10 and must be completely filled out and signed by the appropriate personnel.
2.
A report of medical examination (NRC Form 396) completed by a licensed practitioner.
3.
If the candidate is reapplying for a license, 10 CFR 55.12 applies and a new Form 398 should be used.
The contents of 10 CFR 55.12 are very similar to those of 10 CFR 55.10, and information that has not changed does not have to be duplicated on the new form.
a.
If a candidate's application has been denied because of failure of the written or operating test or both, a new application may be filed 2 months after the date of denial.
A third appli-cation can be filed 6 months after date of denial and successive applications after 2 years, b.
If the candidate passed either the written or operating por-tion of the test, he can request a waiver from that portion already passed.
c.
The reapplication should identify those areas in which the applicant demonstrated weaknesses during the previous examina-tion and the additional training received to correct these spe-cific deficiencies.
d.
The medical certificate, Form NRC 396, is good for 6 months from the date the NRC physician signs it, as specified in NUREG-0094.
F.
Eligibility Requirements for Cold Examinations 1.
Cold examinations are these examinations administered before initial criticality.
Examiner Standards 4 of 6
m ES-109
[v')
2.
Each candidate has to complete satisfactorily the training programs that are submitted in Section 13.2 of the Final Safety Analysis Report and approved by the NRC.
3.
The Licensee Qualification Branch, Division cf Human Factors Safety, reviews and approves these programs before examinations by OL8 and initial fuel loading.
4.
The basis for review and approval is contained in Section 13.2.1 of the Standard Review Plan (SRP) (NUREG-0800).
5.
SRP Section 13.2.1 allows the applicant for an operating license to vary the training prograra for the following three classes of individuals:
a.
individuals with no previous experience b.
individuals who have had nuclear experience at facilities not subject to licensing' individuals who hold, or have held, licenses for comparable c.
facilities G
6.
The letter sent to all power reactor applicants and licensee from (s )
H. Denton, NRR, dated March 28, 1980, stated that precritical applicants (candidates) will be required to meet unique qualifica-tions designed to accommodate the fact that their facility has not been in operation. Generally, these unique qualifications apply to areas of experience at their own plant because the plant has not yet been in operation.
For example, Cold training programs for persons with no previous experience a.
are required to contain observation programs at plants that are as similar to their own as possible.
b.
Cold training programs for persons with no previous experience usually contain simulator training programs.
The approved cold training program should be used as the basis for determining cold examination eligibility.
7.
Eligibility for examinations for licenses at second or third units of multiunit stations is addressed in Standard ES-106.
G.
References 1.
American National Standards Institute, ANSI N 18.1-1971, " Selection and Training of Nuclear Power Plant Personnel."
[3 American National Standards Institute /American Nuclear Society, i
2.
4V ANSI /ANd-3.1-1981, " Selection, Qualifications and Training of Personnel for Nuclear Power Plants."
Examiner Stardards 5 of 6
ES-109 3.
Letter from H. Denton (NRC) to All Power Reactor Applicants and Licensees,
Subject:
Qualifications of Reactor Operators, Mar. 28, 1980.
4.
Title 10 of the Code of Federal Regulations, Part 55, " Operators Licenses."
5.
U.S. Nuclear Regulatory Commission, NUREG-0094, "NRC Operator Licensing Guide," July 1976.
6.
--, NUREG-0737, " Clarification of TMI Action Plan Requirements,"
Nov. 1980.
7.
--, NUREG-0800, " Standard Review Plan for the Review of Safety Analysis Reports for Nuclear Power Plants," July 1981.
O Ol Examiner Standards 6 of 6 l
l
N ES-201 Rev. 0 9/1/83 ADMINISTRATION OF WRITTEN EXAMINATIONS TO REACTOR OPERATOR CANDIDATES - POWER REACTORS A.
Purpose This standard specifies the various requirements and procedures for the preparation, administration, and grading of reactor operator license examinations.
Examiner preparation, examination review by the facility, and proctor requirements also are included.
B.
Assignment The assignment of a chief examiner will be indicated on the 6,equest To Administer an Examination.
Even when a team of examiners is to perform the operating and oral tests, responsibility for the written examination will be assigned to the chief examiner, who may solicit assistance or suggestions from the other team members, if he wishes.
The assignment of the examination includes preparing, administering, and grading the examination unless other arrangements have specifically been made.
C.
Orientation Trips All examiners will prepare written examinations periodically.
Generally, preparation of an examination for a fairly complex or novel facility may require that the examiner make an orientation trip to the facility a few weeks before the scheduled examination unless he is acquainted with the facility in sufficient detail because of a previous examination or experience.
The need for an orientation trip usually is determined by the examiner in consultation with the appropriate section chief.
To minimize the need for orientation trips, examiners are expected to make maximum use of training material provided by the facility through self study and discussions with other examiners.
D.
Provision of Literature Reference material to be used in preparing examinations should be re-quested from the facility far enough in advance of the examination to allow for possible delivery delays and for inventorying the material received.
If the material-is inadequate, it is essential to request additional material immediately from the facility.
The training coordi-nator is.usually the best person to contact for the material.
(
A list of appropriate reference material to be used as a guide is given in Attachment 1 to this standard.
The examiner who requests this,infor-mation shall inform the appropriate section leader or regional section chief of the date of request and person contacted.
During these initial l
\\
b Examiner Standards 1 of 21
i ES-201 contacts, the examiner shall inform the facility cor, tact of the require-ments for administration of the examination, as given in Attachment 2 to this standard.
. to this standard contains an example of the letter that will be mailed to the facility, formalizing the examination schedule and statement of requirements.
The appropriate section leader or chief is responsible for having this letter typed, signed by the OLB Branch Chief or regional branch chief, and sent.
The letter should be addressed to the person at the highest level of corporate management who is respon-sible for plant operations (e.g., Vice President of Operations) and should be mailed 90 days before the first examination date.
The exact wording of the letter may be modified as necessary to reflect the situation.
E.
Preparation of Examination The examiner shall prepare the examination and answers using Standards ES-202 and ES-203 as guidance.
The examiner should conduct a detailed review of the examination using Tables ES-201-2, ES-201-3, ES-201-4, and ES-201-5 as guides.
Tables ES-201-1, ES-201-2, ES-201-3, ES-201-4, and ES-201-5 should be filed with the master copy of the examination.
F.
Quality Assurance Review of Examination The section leader or regional section chief, or his designee, shall review the examination in accordance with Standard ES-107.
The completed examination shall be submitted for review at least 2 weeks before the scheduled date of its administration.
If changes to the examination are necessary, the examiner shall be notified at least two working days before the administration of the examination, provided the necessary lead time was allowed.
If no instructions to the contrary have been received, the examination should be given as prepared.
G.
Administration of Examination 1.
The examiner should distribute the examination questions to the candidates, explaining the rules to be observed during the examination.
s 2.
The examiner should read the following instructions verbatim to the candidates.
Additional items may be discussed, as necessary.
During the administration of this examination the following rules and guidance apply:
a.
Cheating on the examination means an automatic denial'of your application and could result in more severe penalties.
b.
You should sign the statement on the cover sheet that indicates that the work is your own and you have not v
n Examiner Standards 2 of 21
+
i
i ES-201 received or been given assistance in completing the examin-ation.
This should be done after the examination has been completed.
c.
Restroom trips are to be limited and only one candidate at a time may leave.
You must avoid all contacts with noncan-didates outside the examination room to avoid even the appearance or possibility of cheating.
d.
When you complete your examination, you shall (1) Turn in your copy of the examination and all pages used to answer the examination questions, g
(2) Turn in all scrap paper and the balance of the paper that you did not use for answering the questions.
(3) Leave the examination area, as defined by the g
examiner.
If af ter leaving you are found in this,
area while the examination is still in progress, your license may be denied.
e.
Print your name in the blank provided on the cover sheet
(
of the examination.
v f.
Fill in the date on the cover sheet of the examination.
g.
Print your name in upper right-hand corner of the first page of each section of the answer sheet.
1a h.
Consecutively number each answer sheet, write "End of Category
" as appropriate and "Last Page" on last answer sheet, and write on only one side of paper.
i.
Number each answer as to category and number, for example, 1-4, 6-3.
j.
Use black ink or dark pencil only to facilitate legible reproductions.
k.
Use abbreviations only if they are commonly used in facil-ity literature.
1.
Show all calculations, methods, or assumptions used to obtain an answer to mathematical problems whether indi cated in the questions or not.
m.
Separate answer sheets from pad and place finished answer sheets face down on your desk or. table.
s n
y Examiner Standards 3 of 21 l
ES-201 If parts of the examination are not clear as to intent, n.
ask questions of the examiner only.
o.
Allow at least three lines between each answer.
p.
Partial credit may be given; do not leave any answer blank.
3.
After passing out the examination, the examiner should ask the candidates to verify that all parts of the examination are in their copy by page checking the examination, and then distribute answer sheet paper that has been furnished to the chief examiner by the facility in unopened packages.
4.
The examiner should repeat the instructions that are included on the facing sheet of the examination by reading the following instructions verbatim:
a.
Use only the paper provided by the examiner for answers.
b.
Staple your copy of the examination questions on top of the answer sheets before turning in your papers.
c.
The point value for each question is indicated in paren-theses after the question and can be used as a guide for the depth of answer required.
If more points are assigned
- t. a question, the question requires that more items be discussed.
5.
The examiner should inform the candidates that to pass the examina-tion they must achieve an overall grade of 80% or greater and at least 70% in each category.
6.
The examiner should inform the candidates that there is a time limit of 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> for completion of the examination.
For candidates taking one or more sections of a written examination, each section should be limited to one quarter of the allotted time per section.
After the examiner has completed the instructions, he should tell the candidates to start the examination, record the time, and keep the.candi-dates advised periodically of the amount of time that remains to complete the examination.
Normally, a blackboard is available and can be used for this purpose.
During the examination, candidates are not permitted to communicate or refer to any texts or descriptive material other than tables furnished by the examiner.
If the examiner has asked a question that involves use of a formula or infrequently used constant, then this formula or constant will be sunplied on the equation sheet.
All reference material shall be furnished by the examiner.
l Examiner Standards 4 of 21
J ES-201 The examiner shall follow the proctoring procedure agreed upon with the section chief and/or branch chief, as required, to ensure the integrity of the examination.
In rare cases, variations from the procedure may be necessary.
However, these variations must be documented.
Every effort must be made to ensure the integrity of the examination.
1 H.
Facility Staff Review of Examination A review of the written examination by facility personnel may be appro-l priate to accomplish two purposes:
1.
Ensure that the question as written will elicit the response called for in the answer key.
2.
Ensure that plant-specific information in the examination is correct and up-to-date.
When the Examination Question Bank is operational and the questions have been culled and identified by content aiea, the examination review may be eliminated.
Until that time, an examination review will be conducted.
The chief examiner shall ensure that a complete list of the questions or comments made by the facility is maintained with the master copy of the examination.
He shall indicate the resolution of the comments and provide
.ustification for the resolution.
This record shall be submitted with the j
j Q
master copy of the examination for review by the section chief and branch chief when the final examination results are submitted.
The facility review shall be conducted as follows:
After the candidates start the examination, the chief examiner should have knowledgeable member (s) of the facility staff (training coordinator, opera-tions supervisor, etc.) review the written examination and the answer key to identify any inappropriate questions and to ensure that the questions 3
will elicit the answers in the key.
Discussions may be necessary for clarification.
These discussions and the review shall be held outside the a
examination room.
The examiner can make minor changes to the examinations to correct errors or clarify the questions on the spot,-as long as the intent of the question is not changed.
All changes should be documented in the examiner's master copy of the examination.
Questions that are clearly inappropriate may be deleted and appropriate question (s) sub-stituted.
One additional question in each category should be prepared for substitution in this event.
Headquarters and/or regional office telephone consultations may be necessary to verify these changes.
.The examiner shall include on the master copy of the examination the nises of the persons who' reviewed the examination and answer key.
The-examiner shall complete appropriate sections of Table ES-201-6.
J Examiner Standards 5 of 21
ES-201 At least one examiner must be present throughout the initial review to ensure there is no compromise of the examination (s).
A maximum of three facility staff members per examination may be present during the initial review.
The review is normally limited to 2 hours2.314815e-5 days <br />5.555556e-4 hours <br />3.306878e-6 weeks <br />7.61e-7 months <br />.
The chief examiner may extend this limit if necessary for a complete review.
After the examination review, the facility reviewers must leave the area adjacent to the examination area.
The examination review with facility personnel will concentrate on ensuring that the examination questions are clear, complete, and accurate.
Answer keys will be reviewed only as they relate to this goal (the answer key will be available for review to ensure that the questions will, in fact, elicit the desired response).
At the end of the 2-hour review, the examiner shall collect all copies of the examinations and answer keys.
After ensuring that the provisions to preclude contact between the facility staff and the license candidates specified in Attachment 2 to this standard are satisfactory, a copy of the written examinations and answer keys will be provided to the facility staff.
A cover letter similar to Attachment 4 to this standard shall accompany the examinations.
At the time specified for all candidates to have completed the examination, the facility staff shall return the examination and answer key and may pro-vide to the chief examiner proposed corrections with applicable reference material.
Technical questions should be listed separately from questions of appropriateness.
Guidance on conducting the debriefing session (exit interview) with the facility staff before leaving the site is contained in Standard ES-104, Section B.
After additional comments are provided to the chief examiner, no other comments will be accepted by the examiners.
Any additional comments should be provided in writing to the appropriate regional branch chief.
I.
Proctoring of Examinations All written examinations shall be adequately proctored to ensure the j
integrity of the examinations.
Two individuals shall be available for proctoring.
One proctor shall be in the examination room at all times giving his full attention to the candidates taking the examination.
The proctor shall not read facility procedures or other material, grade examinations, or engage in any other activities in a mr9ter or depth that may divert his attention from the candidates and possibly cause the examination to be compromised.
Before the administration of the examination, the proctors shall have a clear understanding of their responsibilities.
The chief examiner is responsible for ensuring 100% proctoring of the examination.
The chief examiner shall determine the means to be used to ensure ade-quate proctoring of the examination.
Consideration shall be given to Examiner Standards 6 of 21
O ES-201
, U 1.
using Office of Inspection and Enforcement (IE) part-time secre-tarial help 2.
using more than one examiner 3.
using IE resident inspectors 4.
using local high school and/or college teachers / professors or other Federal, State, or local employees.
If a proctor who is not an NRC employee is used, the chief examiner shall be responsible for requesting assignment of a proctor from OLB headquarters.
The chief examiner shall also ensure that a contract has been properly placed with the proctor by verifying this fact with OLB headquarters before the scheduled examination date.
At least one % aminer shall be available to provide clarification to the candidates on the examination questions.
Therefore, if the person writing the examination is not available, the other examiners must be certain that they are familiar with the intent of the questions.
J.
Length of Examinations O
Although the written examinations must be appropriately thorough and
(
comprehensive, they should not be so long and drawn out that the average candidate becomes mentally exhausted in order to complete the examina-tion.
The duration of a power reactor examination is 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br />.
Refer to Standard ES-202 for additional information on preparing written examina-tions.
Reexaminations, which are partial examinations containing only one or two categories, will be limited to a time proportional to cate-gory weight, that is, one quarter of allotted time per section.
All candidates shall be informed of the time limits at the beginning of the examination.
K.
Grading of Examinations All corrections to questions and answer keys shall be processed expedi-tiously and before the written examinations are graded.
The original copy or legible, reproducible copies of the original proposed correc-tions shall be annotated with their disposition and kept with the copy of the master examination.
Grading should be performed as expeditiously as possible.
The number of points given to, or taken off, for each answer should be indicated on the candidate's answer sheet, preferably in red pen or pencil.
- Also, a brief notation as to the reason for less than full credit should be entered.
This may be a notation of the correct answer, a missing item, an indication of poor method, or some suitable brief notation.
The p
points and notations should be reproducible and distinguishable from (v) the candidates answer when reproduced.
Examiner Standards 7 of 21
ES-201 After the grading is completed, Columns 3 and 4, " Candidate's Score" and "% of Category Value," on the cover sheet shall be filled out.
The examiner shall conduct a detailed review of his grading using Table ES-201-6 as a guide.
After the examinations are graded, suffi-cient copies of the master copy of the examination shall be reproduced so that at least one copy is forwarded to OLB headquarters or regional office.
If an appeal of the graded reactor operator written examination is received, the procedures in Stanc'ard EM01(a) should be followed.
L.
Administrative Details The grading examiner shall complete the written examination cover sheet showing the results of the grading and the appropriate portions of Tables ES-201-6, ES-201-7, and ES-108-1.
The examiners in the team shall communicate the written grades to the other examiners so that Examination Reports (Forms 157A, B, and C) and the " Power Plant Examination Results Summary Sheet" (Table ES-201-7) are filled out as completely as possible before being forwarded to headquarters or the regional office by certified mail.
Written examination results should not be held pending completion of other portions of the examination.
If oral and/or simulator results are not available at the same time as the written results, then appro-priate sections of Form 157 should be completed and forwarded to the section leader or regional section chief.
The chief examiner is respon-sible for ensuring that all results are reported to the section leader or section chief.
The chief examiner shall complete Table ES-201-7 and assemble the follow-ing in one package to be forwarded to the section leader or regional sec-tion chief.
1.
original and one copy of master examination and answers 2.
all written examinations 3.
all oral and operating reports (NRC Forms 157A, B, and C) 4.
Tables ES-201-1 through ES-201-7 and ES-108-1 5.
copy of the corrected Examiner Assignment Sheet M.
Quality Assurance Review of Graded Examinations The appropriate section chief, or his designee, shall ensure that all examination results and documentation are completed and shall conduct an independent review of written answers after the examinations are graded by examiners in his section, as required in Standard ES-108.
Examiner Standards 8 of 21
/
(\\
TABLE ES-201-1 REACTOR / SENIOR REACTOR OPERATOR LICENSE EXAMINATION -
DETAILED REVIEW GUIDE Plant / Unit Examination Date Chief Examiner Examination Author Cold Hot Requalification Item Description Date Completed 1
Orientation trip (if necessary) 2 Reference material provided (ES-201 Attachment 1 attached) 3 Site arrangements made 4
Examination review completed A
(Tables ES-201-2, ES-201-3, ES-201-4/ES-401-1, and ES-201-5 attached)
Examiner's Signature Date R0 (circle) 50 i
V Examiner Standards 9 of 21
ES-201 TABLE ES-201-2 EXAMINATION REVIEW GUIDE Check When Require-Item Description ments Are Met 1
Clarity of intent 2
Applicability to facility 3
Category weights satisfactory (conformance to ES-203 or ES-403) 4 Conformance to regulations (10 CFR 55.21) 5 Conformance to ES-202 or ES-402, Table ES-201-4 or ES-401-1 6
Points for each question and section correspond to cover sheet 7
No single question worth more than 20% of that section Examiner's Signature Dat2 l
I i
l 9
Examiner Standards 10 of 21
1 i
l ES-201 TABLE ES-201-3 CONFORMANCE TO ES-202 REACTOR OPERATOR EXAMINATION l
Check if Category Subject Satisfactory
- i 1
Principles of Nuclear Power Plant
)
Operation, Thermodynamics, Heat Transfer, and Fluid Flow 2
Plant Design Including Safety and Emergency Systems j
l 3
Instruments and Controls l
4 Procedures - Normal, Abnormal, Emergency, and Radiological Control O
Examiner's Signature Date
- At least two-thirds of the subjects listed in Standard ES-202 j
in each section are covered.
1 l
1 i
i 1
1 i
i Examiner Standards
- 11 of 21
ES-201 TABLE ES-201-4 ANSWER KEY REVIEW GUIDE Check When Require-Item Description ments Are Met 1
All questions answered concisely and clearly 2
Reference to appropriate material for every answer 3
The basis for partial credit points awarded, if appli-cable 4
Answers self-contained 5
Answer corresponding to training level (R0 or SRO)
O Examiner's Signature -
Date l
l Examiner Standards 12 of 21
ES-201 TABLE ES-201-5 REACTOR / SENIOR REACTOR OPERATOR LICENSE EXAMINATION ADMINISTRATION AND GRADING - DETAILED REVIEW GUIDE Plant / Unit Examination Date Examiners Proctors Cold Hot Requalification Check When Item Description Completed 1
Adequate spacing during examination 2
100% proctoring 3
Examination and answer key reviewed by Plant Reviewer 4
Grading review completed (Tables ES-201-7 and ES-201-8 attached) l Chief Examiner's Signature Date R0 (circle) 50 Examiner Standards-13 of 21
ES-201 TABLE ES-201-6 GRADING REVIEW GUIDE Check When Require-Item Description ments Are Met 1
No apparent indication of cheating or collusion 2
Partial credit consistent 3
Section and cumulative scores checked for addition 4
Grading for all borderline cases reviewed (70% i 2%/
section or 80% i 2% overall) 5 Highest failing/ lowest passing examinations compared to justify fail / pass decision 6
All other failing examina-tions checked to be assured of justification for failure 7
Individual question performance checked for training deficiencies, wording problems, etc.
Grader's Signature Date l
Reviewer's Signature Date Supervisor's Signature Date l
l O
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l Examiner Standards 14 of 21
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i Examiner Standards 15 of 21
ATTACHMENT 1 REFERENCE MATERIAL REQUIREMENTS FOR REACTOR / SENIOR REACTOR OPERATOR LICENSING EXAMINATIONS 1.
Procedure Index (alphabetical by subject) 2.
All administrative procedures (as applicable to reactor operation or safety) 3.
All integrated plant procedures (normal or general operating procedures) 4 Emergency procedures (emergency instructions, abnormal or special procadures) 5.
Standing orders (important orders that are safety related and may supersede the regular procedures) 6.
Fuel-handling and core-loading procedures, (initial core-loaaing procedure, when appropriate) 7.
Annunciator procedures (alarm procedures, including set points) 8.
Radiation protection manual (radiation control manual or procedures) 9.
Emergency plan implementing procedures 10.
Technical Specifications 11.
Lesson plans (training manuals, plant orientation manual, system descriptions, reactor theory, thermodynamics, etc.)
12.
System operating precedures 13.
Piping and instrumentation diagrams, electrical single-line dia-grams, or flow diagrams 14.
Technical Data Book, and/or plant curve information as used by operators 15.
Any other material the examiner feels is necessary to adequately prepare a written examination, such as reactor traces of signifi-cant plant evolutions.
16.
Questions and answers that licensee has prepared (voluntary by licensee)
Examiner Standards 16 of 21
(O]
ES-201 17.
Malfunction and initial condition material for simulator (if applicable)
All of the above reference material should be approved, final issues and should be so marked.
Uncontrolled, preliminary, or other such issues will not be acceptable except for cold-license examinations.
If a cold-license plant has not finalized some of the material, the chief examiner is responsible for ensuring that the most complete, up-to-date material is available and that agreement has been reached with the licensee for limiting changes before the administration of the examina-tion.
All procedures and reference material should be bound or in the form used by the control room operators, with appropriate indexes or tables of contents so that they can be used efficiently.
O tv/
m Examiner Standards 17 of 21
ES-201 ATTACHMENT 2 ADMINISTRATION OF REACTOR / SENIOR REACTOR OPERATOR LICENSING WRITTEN EXAMINATIONS Operator Licensing Branch requirements are:
1.
A single room shall be provided for completing the written examina-tion.
The location of this room and supporting restroom facilities shall be such as to prevent contact with all other facility and/or contractor personnel during the duration of the written examination.
If necessary, the facility should make arrangements for the use of a suitable room at a local school, motel, or other building.
Ob-taining this room is the responsibility of the licensee.
2.
Minimum spacing is required to ensure examination integrity as determined by the chief examiner.
Minimum spacing should be one candidate per table, with a 3-ft space between tables.
No wall charts, models, and/or other training materials shall be present in the examination room.
3.
Suitable arrangements shall be made by the facility if the candi-dates are to have lunch, coffee, or other refreshments.
These arrangements shall comply with Item 1 above.
These arrangements shall be reviewed by the examiner and/or proctor.
4.
The facility shall arrange to have a maximum of three knowledgeable personnel available to review the examination questions and answer key.
This review shall only begin after the start of the written examination and normally be limited to 2 hours2.314815e-5 days <br />5.555556e-4 hours <br />3.306878e-6 weeks <br />7.61e-7 months <br />.
5.
The licensee shall provide pads of 8-1/2-by 11-in. lined paper in unopened packages for each candidate's use in completing the exam-ination.
The examiner shall distribute these pads to the candidates.
All reference material needed to complete the examination shall be furnished by the examiner.
Candidates can bring pens, pencils, i
calculators, or slide rules into the examination room and no other equipment or reference material shall be allowed.
6.
Only black ink or dark pencils should be used f,or writing answers to questions.
O Examiner Standards 18 of 21
ES-201 V
ATTACHMENT 3 LETTER TO FACILITY FORMALIZING EXAMINATION SCHEDULE To:
Date:
Subject:
Reactor Operator and Senior Reactor Operator Licensing Examinations In a telephone conversation between Mr.
(title, i.e.,
training coordinator) and Mr.
(section l
leader, OLB) arrangements were made for the administration F.he l
examinations at the (facility name).
l The written examinations are scheduled for (date).
The simulator /
operating examinations are scheduled for (date) and the (name) simulator.
The plant oral examinations are scheduled for (date).
In order for us to meet the above schedule, it will be necessary for the l
facility to furnish the approved reference material listed in Attach-w
)
ment 1, " Reference Material Requirements for Reactor / Senior Reactor
/
Operator Licensing Examinations," by (date).
Any delay in receiving this material will result in a delay in administering the examinations. Our examinations are scheduled far in advance with considerable planning to utilize our present limited examiner manpower and to meet the examina-tion dates requested by the various facilities.
Therefore, missing the (date) deadline, even by a few days, likely will result in a long delay because it may not be possible to reschedule examinations at other facilities.
Mr.
has been advised of our reference material requirements, the number of reference material sets that are required, and the examiner's names and addresses where each set is to be mailed.
The facility management is responsible for providing adequate space and facilities in order to properly conduct the written examinations., " Administration of Reactor / Senior Reactor Operator Licensing Written Examinations," describes our requirements for conducting these examinations.
Mr.
has also been informed of these requirements.
All reactor operator and senior reactor operator license applications normally should be submitted at least 60 days before the first examina-tion dates so that we will be able to review the training and experience of the candidates, process the medical certifications, and prepare final examiner assignments after candidate eligibility has been determined.
If the applications are not received at least 30 days before the examina-f())
tion dates, it is likely that a postponement will be necessary.
Examiner Standards 19 of 21
ES-201 This request for information was approved by the Office of Management and Budget under Clearance Number 3050-0101, which expires June 30, 1986.
Comments on burden and duplication may be directed to ?.he Office of Management and Budget, Reports Management Room 3208, New Executive Office Building, Washington, D.C. 20503.
Thank you for your consideration in this matter.
If you have any ques-tions regarding the examination procedures and requirements, please contact Mr.
(appropriate section leader and telephone number), or Mr.
(OLB Branch Chief) or (regional section chief and telephone number).
Sincerely, (0LB Branch Chief or appropriate -
regional representative)
Distribution:
Project Manager Resident Inspector Regional Section Leader Examiners Chief Examiner NRC Project Offices O
1 Examiner Standards 20 of 21
. O ES-201 ATTACHMENT 4 NRC/ FACILITY STAFF EXAMINATION REVIEW Facility Examination Date Reviewer NRC Examiner I
1.
This examina% ion and answer key is provided for a limited period of time for review only.
2.
No copies of this examination or answer key are to be made under any circumstances.
3.
This examination and answer key is to be returned to the chief examiner along with comments and supporting material, if any, at or before the time specified as the completion time for the written examination.
4.
Contact between facility personnel or facility contract personnel and examination candidates after the written examination begins is strictly forbidden until the candidates have turned in their i
examinations and left the examination area.
-l 5.
After comments and supporting material are provided to the chief examiner, no other comments on the written examination will be accepted by the examiners.
Any additional comments on the written examination should be provided in writing to the appropriate regional branch chief.
6.
All comments and supporting materials supplied on this review are subject to release on request under the Freedom of Information Act.
Therefore, any material considered to be proprietary should be appropriately marked.
A- /
Examiner Standards 21 o f 21
ES-201(a)
Rev. 0 9/1/83 INTERNAL 0FFICE PROCEDURES FOR PROCESSING WRITTEN EXAMINATION APPEALS 1.
A separate certified examiner is assigned to review the appeal.
2.
The assigned examiner reviews the appeal against the Master Examina-tion Answer Key for the specific examination. the supporting material that was provided by the utility for preparation of the examination, and the comments and supporting material provided by the candidate.
The entire examination is regraded, not just the questions commented on by the candidate.
3.
The examiner indicates the changes to +.he examination scoring, the reasons for the changes, and any necessary supporting material.
A summary of the grading changes is prepared, and the grading changes and summary are forwarded to the section chief.
4.
The section chief reviews the regrading.
He may regrade sections himself to validate the conclusions.
On the basis of the regrading, his own grading, and discussions with the assigned examiner, if necessary, the section chief determines if sufficient justification exists to recommend sustaining or overturning the licensing decision.
A/
5.
A licensing recommendation is made by modifying and initialing the original Examinatior) Report and resubmitting it to the branch chief.
The branch chief sustains or overturns the denial based on the section chief's recommendations and his own review.
6.
If the denial is overturned, the license is issued with an effective date consistent with that of the other licensing candidates who took the examination at the same time.
7.
If the license denial is sustained by the Regional Administrator or his designated representative, a copy of the entire package is sent to the Director and Chief Counsel, Regional Operations and Enforce-ment Division, Office of Executive Legal Director, and to the Chief, Operator Licensing Branch, Office of Nuclear Reactor Regula-tion (NRR), for evaluation.
The candidate is informed of the results of the initial reevaluation and that it has been forwarded to the legal staff and NRR, as appropriate, for final evaluation.
8.
Questions between the legal and operator licens'ing staffs are worked out, and then the legal staff informs the candidate of the decision to sustain the denial.
The procedure for pursuing the applicant's right to a hearing is explained, and a representative of the legal staff is identified for future contact concerning the appeal.
)
,_s
{G Examiner Standards 1 of 1
V ES-202 Rev. 0 9/1/83 SCOPE OF WRITTEN EXAMINATIONS ADMINISTERED TO REACTOR OPERATORS - POWER REACTORS A.
Purpose This standard provides guidelines for the content of each category of the reactor operator written examination.
Guidance on question depth, format, sources and general preparation is also presented.
B.
Scope The required scope of the written examination is set forth in 10 CFR 55.
To implement this scope and to provide for identification and documenta-tion of strengths and weaknesses within certain areas of knowledge, the writtenexaminationshallbedividedintothefollow1}ngfourcategories:
1.
Principles of Nuclear Power Plant Operation, Thermodynamics, Heat Transfer, and Fluid Flow This category shall contain questions relating to basic nuclear reactor behavior, elementary nuclear reactor theory, technical O
terminology, and an appreciation of the processes taking place in a Q
nuclear power plant.
These processes include controlled and vari-able parameters of the reactor, primary and secondary coolant, and auxiliary systems.
Values that are expressed as normal or operating parameters or values that are measured as resultant characteristics shall be included in this category.
Also included shall be questions relating to the traces that one would see on recorders during normal and abnormal transients, with the emphasis on facility behavior rathe.r than instrument character-istics.
Secondary system transients that induce reactor transients also shall be suoject questions in this category.
This category also shall cor.tain questions on fundamentals of hydraulics and fluid flow, heat transfer and heat generation, and thermodynamics and simple calculational problems to determine under-standing in this area.
These questions will test the candidates' knowledge and understanding of the concepts of temperature measure-ment, density, viscosity, pressure, and volume and the effects of parametric changes on fluids.
Questions relating to the use of steam tables may also be included.
The principles of heat transfer by conduction, convection, and radiation, as well as characteristics of heat exchanger operation and natural circulation, shall be investigated in this category.
Also included may be questions concerning the applicability of these fundamentals to operational (A
situations and transients and the ability to recognize and mitigate l
f the consequences of core damage.
V i
l l
Examiner Standards 1 of 6
ES-202 Answering these questions may require mathematical ability including algebra and fundamental knowledge in reactor physics.
Questions in this category shall be related to reactors in general and reactors of the type used at the facility.
2.
Plant Design, Including Safety and Emergency Systems This category shall contain questions on the design features of the particular facility, with emphasis on those systems that are designed to maintain, and protect against, the uncontrolled release of radioactive materials.
The candidate should be able to repro-duce, from memory, sketches or descriptions of various hydraulic, pneumatic, or electrical distribution systems and mechanical com-ponents.
Questions on design intent, const.ruction, operation, and interrelationships of those systems most directly associated with normal nuclear power plant operation and reactor safety can also be included.
The candidate should be familiar with the conditions that require the use of safety and emergency systems and why such protection is required, with emphasis on areas where a malfunction will require immediate operator action.
3.
Instruments and Controls This category shall contain questions on the characteristics and interrelationship of the nuclear, process, and radiological instru-mentation and facility control systems.
Tne candidate should have sufficient knowledge of the nuclear instrunients (e.g., source, intermediate, and power), the process instruments (e.g., temp-erature, pressure, level, and flow), and radiological instruments (e.g., ionization, G-M, and scintillation), to answer questions concerning principles of detector operations, location and setpoints of instruments, and diagrammatic representation of instrumentation systems.
Questions on control systems (e.g., control rod drive, level, pressure, electrohydraulic control, and integrated control) will include function, operation, interlocks, and interrelationships with other plant systems.
A candidate is not expected to have the knowledge of an instrument technician, but answers should indicate the ability to recognize the indications and consequences of improper instrument performance (e.g., overcompensation, power failure. air supply failure, and signal failure), including the traces that recorders would show.
He also should be able to make use cf all available instrumentation to provide checks or verification of observed readings.
4.
Procedures - Normal, Abnormal, Emergency, and Radiological Control This category shall contain questions on the knowledge and use of facility procedures including normal, abnormal, emergency, adminis-trative, and radiological control procedures.
The candidate is not expected to have normal procedures committed to memory but should Examiner Standards 2 of 6
ES '202
> V be able to explain reasons, cautions, and limitations of normal operating procedures.
In general, the candidate must demonstrate complete knowledge and understanding of the symptoms, automatic actions, and immediate action steps specified by abnormal and emergency procedures.
Questions concerning radiological control procedures will be asked to the extent that the operator is responsible for personnel protection against the hazards of radia-tion and for controlling, discharging, and monitoring radiological releases.
Administrative procedures, including operating restric-tions, limitations in the facility license, and Technical Specifica-tions, may be included to the extent they are directly applicable to an operator and the safe operation of the facility.
C.
Facility Management Control The scope of the written examination will include aspects of the manage-ment philosophy as set forth in facility documents.
Because the examina-tion and license are applicable only at the facility under application, it is appropriate for the examiner to include the applicable administra-tive controls.
These questions are best included in the categories covering operating procedures and health physics.
The continuous availability of health physics and chemistry personnel O
for routine and emergency monitoring and investigation reduces the need h
of an operator to be proficient in the use of portable monitoring equip-ment.
This fact should be considered when questions are constructed in this category.
D.
Accident-Related Questions It is recognized that the study of incidents or accidents at other reactor facilities can provide valuable lessons for an operator at his facility.
It is appropriate and desirable to hypothesize accidents or circumstances leading to accidents at the facility under application and examine the candidate's analysis, corrective actions, and other responses.
Therefore, postulating circumstances, in the examination. that are similar to those that have occurred elsewhere are both appropriate and realistic.
E.
General Guidance 1.
Technical Specification questions for reactor operators should be conceptual in nature (e.g., recognition of limiting conditions for operation and Technical Specifications that exist for a given area).
2.
Memorization of symptoms and automatic and operator actions of all procedures that require immediate action is necessary for the p
examination.
\\v Examiner Standards 3 of 6'
.,= -
ES-202 3.
The examination should include questions to determine a candidate's understanding of his responsit'ilities related to the administrative procedures, precautions, environmental and radiation release require-ments, and pressure / temperature limits.
4.
Questions on health physics and chemistry procedures should be determined on the basis of the facilities' type of health physics coverage.
5.
Extended definitions questions (e.g., 6-factor formula) should be avoided.
6.
Questions on detailed system characteristics or instrumentation, suJi as annunciator logic or setpoints, should be avoided unless required for safety system operations.
7.
Questions should be based on a.
a review by the examiner of material provided by the facility b.
a review of past examinations given at the facility c.
content validity study results, when available 8.
Other sources of questions are a.
standard questions and answers b.
Examination Question Bank c.
examinations on similar facilities d.
personal file of questions and answers 9.
A rule of thumb is a.
approximately 55 to 70 responses for a 6-hour examination b.
a response that requires about 3 to 4 minutes to write 10.
Examinations shall be 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> long.
11.
Examination questions should consist of short word sentences using the terminology of the facility as much as practicable.
12.
" Discuss"-type questions should be avoided; questions should be specific to elicit short precise answers.
13.
Practical realistic questions that relate to operator knowledge and required operating practice should be used.
14.
Multipart questions should be broken down into logical sequential parts.
The answer sheet should show points assigned for subparts of answers.
O Examiner Standards 4 of 6
)
,s s
I
\\
Q,)
ES-202 15.
Double-jeopardy questions should not be used.
An example of a double-jeopardy question is:
1.3(a) Draw a single-line diagram of the cleanup system show-ing all automatic control valves.
(b) Explain the principal of operation for each control valve in part (a) above.
(Rationale - If a candidate shows only (3) of (4) valves in part (a), he would lose points in part (b).)
A better way to state the question is:
1.3 Attached is a single-line diagram of the cleanup system.
For the valves marked A-D on the diagram:
(a) Identify the valve, and (b) Explain the principal of operation for the valve.
16.
The value of a question should be comparbd with that of other questions in the category to determine if the value makes sense.
('~'}
Simple numerical answers should not be worth more than 0.5.
17-The questions should be read and reviewed for clarity and intent to determine if the required response will be given.
18.
Open-ended questions should oe avoided.
If a specific number of responses are required, the question should clearly state that expectation so the candidate will know when the answer is complete.
An example of an open-ended question is:
3.1 List the signals that will automatically isolate the charging and letdown systems.
A better way to state the question is:
i 3.1(a) List three signals that will isolate the letdown system.
(b) List two signals that will both isolate the letdown system'and trip the charging (makeup) pumps.
19.
The examination should be verified to see if it satisfies the requirements of Standards ES-201 through ES-203 and Tables ES-201-3, 201-4, and 201-5.
,- s 20.
The examination should be read by another examiner for clarity and
(
response.
\\s L
Examiner Standards 5 of 6
ES-202 21.
The examination should be submitted to the appropriate regional section chief at least 10 working days before the examination date for review and comment.
22.
All equations required to answer parts of the examination should appear in the equation sheet or as part of the question.
23.
Diagrams or sketches should be used as attachments to written examinations.
Questions that request candidates to identify components and other items on these attachments should be asked.
The use of these attachments is preferred over the alternative that requires candidates to construct time-consuming, single-line diagrams and sketches.
O 9
Examiner Standards 6 of 6
O ES-203 Rev. 0 9/1/83 STRUCTURE OF WRITTEN EXAMINATION ADMINISTERED TO REACTOR OPERATORS - POWER REACTORS A.
Purpose This standard specifies the format, category weights and depth of know-ledge for reactor operator written examinations.
B.
General Structure Each written examination shall be divided into four categories in accor-dance with Standard ES-202.
C.
Cover Sheet A cover sheet, with the format shown in Table ES-203-1, shall be used on all written examinations.
This sheet will provide for ready identifica-tion of the structure of the examination and, subsequently, of the rela-tive strengths and weaknesses of the candidate.
O All items in the upper corner of the cover sheet, except the name of the (vj candidate (and sometimes the date administered), should be filled out when the examination is prepared and reproduced.
The reactor type assists headquarters in comparing examinations of similar facilities and should be as descriptive as possible (e.g., BWR and PWR-W).
The
" Examiner" block should contain the name of the author (s).
The first two columns on the cover sheet should be filled out at the time of the initial preparation.
D.
Weighting of Categories The relative weight of each category in the examination, as a percentile of total worth, shall be 25% + 3% for each category.
Category 1 shall be weighted so that 35% i 1% T60% i 4% of the category) consists of principles of nuclear power plant operations and 10% i 1% (40% i 4% of the category) consists of principles of thermodynamics, heat transfer, and fluid flow.
E.
Value of Questions The general structure of the examination shall be such that a safe operator will score above 80% on the entire test and above 70% in each category.
The percentage attained in each category will be used, in conjunction with oral and operating test results, to identify strengths and deficiencies of the candidate.
The examiner shall assign a point value to each question and indicate
,e this value in parentheses after the question.
The value of a question i
is a judgment factor based on the combination of the following factors:
j i
Examiner Standards 1M!
ES-203 significance of the knowledge to the operator, difficulty of the ques-tion, amount of time required to answer the question, depth of knowledge required to answer the question, and the content areas addressed in the question.
F.
Depth of Knowledge For depth of knowledge, the written questions can be divided into five categories:
1.
Knowledge and recall (Example - Define natural circulation.)
2.
Comprehension and interpretation (Example - Give two examples of natural circulation; include sketches.)
3.
Application of rules and principles (Example - Describe the natural circulation flow path for your reactor.
List the primary indica-tions you would monitor and give representative readings within 2 hours2.314815e-5 days <br />5.555556e-4 hours <br />3.306878e-6 weeks <br />7.61e-7 months <br /> after shutdown assuming the reactor had been at 100% power for 30 days.
List any assumptions.)
4.
Analysis and deduction (Example - List primary indications and representative readings for natural circulation within 2 hours2.314815e-5 days <br />5.555556e-4 hours <br />3.306878e-6 weeks <br />7.61e-7 months <br /> after shutdown (from 100% power for 30 days).
How would these readings change (direction and magnitude) 2 weeks later?)
5.
Synthesis and evaluation (Example - List primary indications and representative readings for natural circulation within 2 hours2.314815e-5 days <br />5.555556e-4 hours <br />3.306878e-6 weeks <br />7.61e-7 months <br /> after shutdown (from 100% power for 30 days).
How would these readings change if (a) the difference between the hot-and cold-leg temperature doubled?
(b) the difference in height between the reactor core and the heat sink was halved?)
The content areas for questions have been addressed in Standard ES-202.
In all cases, the candidate shall receive a copy of his graded examina-tion for his use in evaluation of weak areas and retraining.
1 O
Examiner Standards 2 of 3
I 1
U.S. NUCLEAR REGULATORY COMMISSION REACTOR OPERATOR LICENSE EXAMINATION j
Facility:
i Reactor Type:
Date Administered:
1 Examiner:
Candidate:
INSTRUCTIONS TO CANDIDATE:
Use separate paper for the answers.
Write answers on one side only.
Staple question sheet on top of the answer sheets.
Points for each question are indicated in parentheses after the question.
The passing grade requires at least 70% in each category and a final grade of at 4
least 80%.
Examination papers will be picked up six (6) hours after the examination starts.
'4 o f I
\\s Category
% of Candidate's Category j
Value Total Score Value Category 1
1.
Principles of Nuclear Power Plant Operation, Thermo-dynamics, Heat Transfer and Fluid Flow 2.
Plant Design Including j
Safety and Emergency Systems 3.
Instruments and Controls 4.
Procedures - Normal, Abnormal, Emergency, and i
Radiological Control
]
TOTALS Final Grade l
All work done on this examination is my own.
I have neither given nor received aid.
,(
(
i Candidate's Signature i
4 I
Examiner Standards 3 of 3 i'
ES-301 Rev. 0 9/1/83 ADMINISTRATION OF OPERATING AND ORAL EXAMINATIONS TO REACTOR OPERATORS AND SENIOR REACTOR OPERATORS - POWER REACTORS A.
Purpose This standard specifically pertains to the administration of the operating and oral examinations to applicants for reactor operator and senior reac-tor operator licenses at power reactor facilities.
Generally, senior reactor operator " upgrade" examinations will only be adrr.inistered to those operators who have held a valid license for at least 1 year.
Speci-fic exceptions may be made for those individuals who by virtue of educa-tion and experience possess the credentials to apply for an " instant" senior reactor operator (SR0) license.
Guidance for granting the waiver of the 1 year reactor operator (RO) requirement is contained in Standard ES-110.
B.
Examination Requirements The scope of the operating and oral examinations is covered in Standard p
ES-302 for reactor operators and senior reactor operators.
However, for D) clarification it is necessary to specify the control manipulations that s
are required for each category of the operating and oral examinations.
For those facilities that have a plant-referenced simulator, a simulator examination will be required for reactor operator and senior reactor operator (instant and upgrade) examinations.
The in plant portion of the oral examination can be shortened by including some of the required coverage in the simulator part of the examination.
This is described more fully in the ES-500 Series Standards.
For candidates at plents l
without a plant-referenced simulator, reactor operators and instant senior reactor operators must perform a reactivity manipulation on their plant (usually a reactor startup) or obtain a certification from an NRC-approved simulator training progra. in accordance with the require-ments of Appendix F of NUREG-0094.
Upgrade SR0 candidates, by virtue of holding a valid R0 license, will not be required to perform a reactivity manipulation as part of their operating and oral examinations for those plants without a plant-specific simulator.
The remainder of these standards (ES-300 Series) generally will apply only to the in plant portion of the operating and oral examination.
Specific reference will be made when necessary to simulator examination requirements.
i C.
Assignment Assignment of the task of administering the operating and oral examina-tions is made on the Request To Administer the Examination as set forth in Standard ES-103.
The examinations should be arranged on a time O
examiners and should cover the scope set forth in Standard ES-302.
schedule mutually satisfactory to the candidates, facility licensee, and Examiner Standards 1 of 35
ES-301 D.
Scheduling As a general rule, operating and oral examinations should be given after the written examinations are complete; however, if a difficult scheduling problem can only be solved by another sequence, this is permissible.
Examinations should be scheduled so that in the case of a simulator examination and an oral walkthrough examination at the plant, the same examiner can administer both examinations.
If this is not possible because of schedule conflicts, the examiner's notes should be very complete so that the last reviewer has sufficient information to make the final evaluation.
Examinations normally will be administered on regular work days although extensive working time may be required.
It is desirable, whenever possible, to complete the examination of a candidate once it is started, but if completion of the examination is not feasible, a logical stopping point must be reached.
At an operating reactor where the candidates have not been certified at a simulator, it may be necessary to administer all of the actual reactor startup portions of the operating tests in one specified period of time to accommodate the utility load demands.
In cases where a simulator is used for the administration of the operating test and the plant is used for the oral portion of the examination, special arrangements may be necessary to make the most ef ficient use of the simulator time.
On occasion, examinations may involve weekend or shift work, but in these cases this will have been prearranged by the examiner (or chief examiner) and the facility licensee.
When large groups of applicants are to be examined at power facilities, the chief examiner should rchedule the operating and oral examinations so that each examiner will administer two examinations each day with a maximum of four examinations for each examiner.
Under no circumstances should an examiner be required to administer more than five examinations in any one week.
There are no time restrictions on the minimum or maximum length of operating and oral examinations.
However, for scheduling purposes, the normal length of the exams is as follows:
1.
R0 - 3 to 4 hours4.62963e-5 days <br />0.00111 hours <br />6.613757e-6 weeks <br />1.522e-6 months <br /> 2.
upgrade SR0 - 2 to 3 hours3.472222e-5 days <br />8.333333e-4 hours <br />4.960317e-6 weeks <br />1.1415e-6 months <br /> 3.
instant SR0 - 4 to 5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br /> E.
Orientation of Examiners l
Each examiner should become as familiar as possible with the specific facility through previous visits and the information supplied by the facility in preparation for the examinations.
As a minimum, the chief examiner should arrange for a tour of the facility by each examiner accompanied by a facility staff member.
This tour is usually made the day before oral examinations are scheduled to begin, should concentrate Examiner Standards 2 of 35
y ES-301 on the control room, and should not be conducted by one of the candi-
' dates.
For examiners visiting the facility for the first time or who have not made a site visit in a considerable length of time, a more extensive orientation is necessary.
Suitable arrangements should be made by the chief examiner for more extended or additional orientation visits.
F.
Candidates All candidates for licenses at the facility under application are listed on the Request To Administer the Examination and normally should be 1
administered both the written examination and operating and oral tests.
One exception is at facilities with a large number of applicants where the written examination often will be given a few weeks before the operating and oral examinations.
In these cases, where the written exam.inations under 10 CFR 55.21 and 55.22 have been graded and the facility licensee has been informed of the candidates who have failed, the persons who have failed will not be given operating and oral examinations.
Candidates sometimes will withdraw from the examination at the last moment.
If the examiner encounters this situation when he arrives on site, he should request a letter withdrawing the application of the individual (s) from the facility staff.
This letter should be forwarded to the Chief, OLB, or appropriate regional administrator.
In rare instances, candidates may withdraw after the examination has begun.
The examiner will inform such candidates that this is cause for automatic denial of application and request the candidate to sign a voluntary withdrawal statement.
G.
Personnel Present The number of persons present during an examination should be minimal both to ensure the integrity of the examination and to minimize distrac-tions to the candidates.
If an actual reactor startup or other reactiv-ity manipulation is performed as part of the examination, a licensed operator or senior operator must be present in accordance with 10 CFR 55.9(b).
During control room discussions, additional shift crew personnel will be present as required by NRC regulations.
If the exam-iner believes that the number of persons or'the noise level in the con-trol room is excessive, he should request the shift supervisor or other facility staff personnel to take appropriate action.
'In no case shall a member of the facility training staff or other candi-date be allowed to witness an oral examination.
Examinations are not to be used as-training vehicles for future candidates.
Another examiner may be present either to witness the examination as part g
of his training or to audit the performance of the examiner administering the oral examination.
Other observers, such as resident inspectors, Examiner Standards 3 of 35
ES-301 regional personnel, researchers, or NRC supervisors, may be allowed to observe oral examinations if (1) the chief examiner has approved the request to observe before the examination, (2) the candidate does not object to the observer's presence, and (3) the facility representative has approved the request to observe.
H.
Use of Documents and Materials During the administration of the operating and oral examinations, the candidate should be allowed and encouraged to make use of any of the information that normally would be available to a licensed operator at that facility, including calibrati~1 curves, previous log entries, piping and instrumentation diagra,o, calculation sheets, and pro edures.
The examiner shall inform each candidate of this fact before the examina-tion.
The candidate also shall be informed that he will be held respon-sible for knowing from memory the immediate actions of emergency procedures.
I.
Reports of Examinations A separate Examination Report has been developed for each type of exam-ination:
Form 157A for reactor operators, (Attachment 1), Form 1578 for upgrade senior operators (Attachment 2), and Form 157C for instant senior cperators (Attachment 3).
The front page of the appropriate report form will be filled out for each candidate.
If only a written examination is administered, the front page of the form will be forwarded for approval along with the written examination.
The appropriate com-pleted forms will be sent in for all other types of examinations.
The examiner should only make comments on the front page that are rele-vant tc determining a pass or fail conclusion.
He should expect such comments to be seen by the candidate and facility training personnel because each candidate is sent a copy of his examination.
The examiner must recommend approval or disapproval of the application based on the results of the entire examination.
If the candidate fails any or all parts (written, operating, or simulator), the examiner must recommend denial.
l The OLB Branch Chief or responsible regional official will review the examination results and sign the appropriate block to issue or deny a license.
If he does not agree with the recommendation, the examiner will be conferred with before the recommendation is overturned.
Although such disagreements are not common, they usually arise because of inade-quate justifications in a denial recommendation.
It is therefore very important for an examiner to be complete and accurate in his grading and comments.
An Operating and Oral Examination Summary Report (Form 157 A, B, or C, page 2) will be prepared for each candidate upon completion of the operating oral examination.
On this report, the examiner shall summarize Examiner Standards 4 of 35
t i
I ES-301 l
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his evaluation of the candidate's performance and his knowledge and understanding of and competence in the systems discussed.
The examiner should use a designation of "S"
for satisfactory, "M" for marginal, and "U"
for unsatisfactory.
j The summary report is based on the examiners operating and oral examina-tion notes, the use of which is explained in Standards ES-303, ES-304, and ES-305.
i l
The summary report contains a column for indicating the page number of I
the notes where information justifying the evaluation for that subject i
can be found.
This column must be completed when the evaluation is unsatisfactory.
This is necessary to indicate to the' reviewing technical and legal personnel at headquarters or the regional office the specific reasons for the unsatisfactory determinations.
The examiner should use his judgment in completing this column for marginal evaluations, particu-larly when the overall result is a recommendation to deny the application.
i J.
Reference i
U.S. Nuclear Regulatory Commission, NUREG-0094, "A Guide for the Licensing of Facility Operators, Including Senior Operators," July 1976.
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- 11242, REACTOR OPER ATOR OPERATING AND ORAL EXAMINATION
SUMMARY
REPORT E V A LU A TION
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U" 1 OPER ATING C DISCUS $ ION O DE MONSTR A TION 11 Preetartuo or instret CNcas 12 Consose Operatens a Mswatcas m_._.,
2 F ACILITY EQUIPMENT e
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l 9 R ACI ATION PROTECTION ANO SAF ETY 10 R E SPONSi81L ITIE S COMM E N TS Pete 2 O
Examiner Standards 8 of 35
s ES-301 NRC Form TS F A. Page J H 2 82)
OPEH ATING AND OR AL EXAMINATION NOTES A OPER ATING DEMONSTR ATION CNECK ONE l RE ACTOR ST ART-UP
) { STARTop SPECsF#CATICNS I } SIMULATOR QEMONSTR ATION 11 he-startup of lettrueent Checks Tvoe of check wc47 11.1 Fam harity men checa speet 1 1.2 Accuracy =>en ruosag eastruments 1.1.3 Vaderstandiag of est it be*ag cescues 114 Qecerstanding of reesDas for Chechout 11 S Effects of medu ctes a
116 Knoweage of Controi Rm re*erence cata 1.17 P'aat parameter wer f arion E ECP, meet beiance. etc.)
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L UNDERSTANDING t21 Abshty to pred*ct twse for specifred Drogra n 12 2 understanding of instrument response 12 3 Knowledge of reactnnty et*ects M A NtPt'LAT1ONS 124 Follows procedures 12 5 Observes and caects enstrumentation 126 Abelety to foliove spec.fmf program accurateev f 2 7 De=rertry and Mees" for conscie coatrais GoMuENTS uRecurred for "u')
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52 ADeorms P*oce%res 53 Emergecev P ocerir es r
6 04. RE ACTlvliv EFF ECTS l
8 TmERMODYN AvlC ANALYSIS 70 ACulNISTR ATIVE RECurREMENTS 1
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e e e1 NRC Form 157 A. Page 6
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S Y ST E MS 112 d21 B CONTROL AOOM t%ucear andRad,arron sasnments) 8 /C [ D/ E
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30 NST AL ME NT ATiON 31 Detectors 3'
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(j ES-301 NRC Form 157A. Page 7 0242p
,1 8 CONTROL ROOM (E:eensa
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20 EQUIPVENT 2.1 Purpose 22 Pion Pern 23 Normai Pu ameters 2.4 Components 25 System Bewv.or or Remoese 3.0 INSTRUVE NTATIO N 32 latersocks 34 Contro# Nom ino< sten
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5.2 Abaormas Proceoures 5.3 Emergency Proceoures 70 ADMINISTR ATIVE REQUIREWENTS 7i Tecnata Specifcatmas 72 Fac,1.ty Requweawats COMMENTS inequsmt for "tt")
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ES-301 NAC Form ' 5 7 A. Page S
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90 A ADI ATION PROTECTION AND SAF ETY
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ES-301 NRC Form 157 A. Page 9
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SYSTEMS
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(12421 O OfSCUSSaONS femerprated Meat Resoonsep f A / 8/ C/ D I
20 EQUIPMENT 26 Components Response 30 INSTRUMENTATION 34 Contros Room Ind.ca* ens 38 Autome:c Contro4 3.9 Am.hty to usa.oulate Meaues Controi 40 P'. ANT PROTECTION 41 Automer< Actons 42 A>erm,Se+oo.nts 50 PROCEDURES 51 Normat Proceases 52 Abnormee Proceaures 5.3 Emerge wy haceaures 1
60 REACTIVffV EFFECTS AND THERMODYNAMIC ANALYSIS 63 Coeff<*at EHects 66 T sns>ent Analyws 70 ADMINISTRATIVE REOulREMENTS 71 r, >a<a. ht<aw s f
7.2 sec t.tv Reau.reeneats COMMENTS (#eovered for *V7 l
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61 Swecr.t ca. % set oi<stioa 62 Deawed Neutro, o E**ect 63 CoeH.c eats 64 Po son E*f ects 65 Long Te m E sposu e E"ects r
a TMERMODYNAMICS AND MYCR AULICS 66 Steam Tatwes 67 Nmo Cnerectatecs 6a last wme fat on 69 lande2uate Core Cao.iag COMME %TS rRequired tw "U"I Page to Examiner Standards 16 of 35
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V ES-301 NRC Form 1578. Poes 2 112421 ES 301 SENIOR OPERATOR UPGRADE OPERATING AND ORAL EXAMINATION
SUMMARY
REPORT E v a tv 4 TION DESCRIPTION PAGE SmO
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Examiner Standards 19 of 35
e ES-301 Nac e rm 1s7s, Pese a o
f17 82' CPERATING AND ORAL EX AMINATION NOTES 1 CONTROL RCCW EV ALLATIOA 11 Shrf t Turnow 111 Logo and Records a Shat Swoorwoor
- b. Operating c JN and Lowd Laos a %retsence e Taggiag i
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- ds 12 4 Pe.ag and lawomenterwaa Drew. age 12 S Camouter 12 6 P eal Peremeeer y erhet on r ECP west Be4eace. evt.1 c.4,wwt = ts COMWf NT1 CONTINUF0 ON 7wf A6 VER$f e.se,
O Examiner Standards 20 of 35
ES-301 NRC Porm 1578. Poss e t1242)
OPERATING AND EXAM' NATION NOTES (Continued /
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- 2. RESPONSl81LITY AND AUTwCRITY 21 Emergency P'eas i
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Examiner Standards 21 of 35
e e e1 NaC Form '678. Page 5 l12 821 Tm ANSIE N t'5
- 3. D6SCUSSION
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O Examiner Standards 22 of 35
t ES-301 NRC Form 1578. Page t
,1242) 3 ryste, st.lOh IContwemeurf 3 2 Heectivsev E"ects 321 Pommer sacresess and Deoesses i'
3.2J Asees and Rm Lauwes. Stess 3.2.3 Long Term Eaposure Effects I
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ES-301 NRC FORM 167C. Page 2 (12421 E S301 SENIOR OP ER ATOR OPERATING AND ORAL EXAMINATION
SUMMARY
REPORT E V ALU ATION
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- for each urmerstectory (~V~l. Ier the page numberts) of we wererray ovat Lemnonetson nenne on anan the SR O FOR irmer=Ncrouv resoonses e,e eeone,aed "V"
1 OPER ATING C DISCUS $10N O cEuCNSTR A riON 11 Presterneo and instrum Chects 1J Connose Ocoreren a.
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Untiersteneng 1.3 P'ent Directe and Control
- 2. F ACILITY EQUIPMENT
- e. Masor b Asua ary
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- e. Nuocer
- b. Process 4 PLANT PRCTECTION
- 5. PROCEDURES
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- b. Abnoraw
- c. Emergency 1
- 6. a. RE ACTIVITY EF F ECTS IE scept Cormose Operationi D. THERMODYNAMICS AND MYDRAULICS 7.
ADMINISTR ATiVE REQUIREMENTS 8 RESPONSIBILITIES AND AUTHORITIES 9
- a. Radiatiort Per. action and Control
- b. Emergency Plan c Other Date end Reconsess, tie COMM EN TS-Page 2 O
Examiner Standards 26 of 35
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NRC FORM tS7C. Pope 3 112421 1
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ES-301 NaC PCau 15tC Pop 4
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- NSTauvf NTAf aCN 31 Detector 32 Me4act.oa 33 Controi Ap *aecet.oa 40 PLA NT PaCTECTtON a
41 Aior% Setoo<*ts 42 Sa'ety Seteere ecowe i
4J averi= =s S0 PAOCEDUAE5 51 Norraet Procedures 52 Annormal Proceoures 53 Emergem, Proceees 60 A mesct.tv E"ects a Taermoov am< Ane'es4 1
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ES-301 J
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ES-301 NRC FORM f $7C. Page 6 1282:
/
SYSTEMS
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8 CONTROL ROOM (Nuclear and Raasatron instruments)
[A / 8 / C / D/ E /
30 INST A UME N TS 31 Cefectom 37 Maf functe 33 Contros Room iaa.caveas 34 Channes Correonents 35 Comoews.ca Dar m.ameor 36 lawr to Coanos Sevem 40 PLANT PROTECTION i
41 Aiarms-Setpo.ats 42 Saterv Syste saout 43 sateaoc a s 50 PROCEDURES 51 Norad Proceoures 52 Abr*orma Procoshm 53 Emergeacv P xe< Ace 70 ADMINISTRATIVE REQUIREVENTS 71 Techn.cas Specd<at oas 72 Faciisty Rew rements COMMENTS (Regu. red for V~i l
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72 Facdety Romewoments COMMENTS (Aeoum abrau J Pe.e 7
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ms Examiner Standards 31 of 35
ES-301 NaC 80RM 157C. Page 4 112 421
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SYSTEMS
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C. REACTOR AND AUXILI ARY SUILDINGS (Maior, A ved.ary. Extrwat Safesards. Fuel Handhng)
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Examiner Standards 32 of 35
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20 ECutPMENT 26 Coen Resoonee 30 INSTRUME NTS 34 Contres Roorn anececome 33 Atomee c Contros 39 At> hey to Menenses Marwal Contrae 40 PL ANT PROTECTaON 41 Atomee c Actions 42 Alarm /$etposeg 5.0 PROCEDURES
$1 NoenW Promsures I
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,i 6.0 REACTIVITV EF8ECTS AND TwfRMODYNAMsC ANALYSIS 6J Coethcient Effoca I
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70 ADMINISTRATIVE REQ'JimEMENTS 7.1 Techasca Scocificat.ons 72 Facdety Requesomente COMMENTS (Aegurest ny "tr7 a
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Examiner Standards 33 of 35
ES-301 NRC FORM 157C. Pese to (12421 T'
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>4 w3 60 THEORY OF NUCLEAR POWER PLANT OPER ATION A RE ACTIVITY EFFECT INuceer Theorys 6 A 1 Suberie.co Mu t os<etwa t
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Examiner Standards 34 of 35
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ES-302 Rev. 0 9/1/83 SCOPE OF OPERATING AND ORAL EXAMINATIONS ADMINISTERED TO REACTOR OPERATORS AND SENIOR REACTOR OPERATORS - POWER REACTORS A.
Purpose i
This standard lists the general scope and objectives of the operating i
and oral examinations.
The wide variations in concepts, design, and operation of licensed facilities make it impossible to delineate precise procedures applicable to all facilities.
The scope of the examinations, i
1 as described below, should be applied, as appropriate, to accomplish the l
objectives that are exemplified by the determinations listed on the l
Examination Report, which the examiner must use to make judgments in j
accordance with Standard ES-301.
B.
Examination Requirements All candidates for reactor operator (RO) and senior reactor operator l
(SRO) licenses are required to be administered operating and oral exam-t inations except in cases where a waiver has been granted in accordance with 10 CFR 55.24.
The scope and content of the examinations will l
depend on the type of license applied for (RO, instant SRO, upgrade SRO) j and the availability of a plant-specific simulator.
The clarification of reactivity manipulations is detailed in Standard ES-301, Paragraph B.
l Simulator examination requirements are contained in the ES-500 Series l
Standards.
This standard explains the scope of the operating and oral examinations, as required by 10 CFR 55.23, which applies to both in plant and simulator examinations.
1 C.
Rules of Practice i
It is necessary that each examiner understand and observe certain ground rules during the conduct of operating and oral examinations.
1 1.
For those examinations that require an actual reactor startup or other manipulation of controls and/or instrumentation of the facility j
a.
The examiner should inform the candidate and the licensed operator-present and/or the responsible supervisor that he (the examiner) will never intentionally ask,the candidate to perform an act that violates facility regulations or proce-dures or which places the facility in a hazardous situation.
J l
If a requested act falls in these categories, then the candi-date, operator, or supervisor should indicate this immediately.
If the examiner's intent is to determine whether the candidate would perform such an act, the question can be phrased in some i
manner other than requesting the act to be performed.
Examiner Standards 1 of 12
ES-302 b.
The examiner should ensure that it is understood that his aresence does not alter the r.ormal chain of command and that the candidate, during the examination, should make all reports and obtain all permissions that normally would be required.
All directions to the candidate shall come from the responsible supervisor in accordance with the facility administrative procedures.
The examiner shall only question and make requests of the candidate.
The examiner should avoid asking distract-ing questions during the manipulation of controls.
C.
The examiner shall not alter the set points or calibrations of any instrument or manipulate any control.
d.
The licensed operator on duty should be informed that he should step in and take over contrcl of the reactor any time there is an unsafe condition or there is reasonable assurance, in his opinion, that the reactor will shut down if conditions are not corrected.
2.
For all operating and oral examinations, the examiner should brief the candidate on, or ensure that the candidate is aware of, a.
the general conduct, scope, and length of the examination and any other pertinent information b.
the fact that the examiner is a visitor at the facility and is to be so treated according to facility procedures c.
his right to seek clarification of the examiner's questions when necessary d.
the fact that the examiner cannot reveal the results at the conclusion of the examination e.
the candidate's obligation for demonstrating a responsible, safe attitude to facility operation during conduct of the examination D.
Ccnduct of Examinations Various phases of the operating and oral examinations are listed below.
Normally all examinations will include all four phases; although for
" cold" examinations not performed at a simulator or for " hot" examina-tions where the candidates have been certified at a simulator, the manipuiative portion of Phase A is not required.
Where a simulator is i
available, all of Phase A and portions of Phases B and D will be per-formed at the simulator.
The nature and extent of the questions for the reactor operator and senior reactor operator candidates will vary.
1.
The four phases of the examination for the reactor operator candidate generally include:
Examiner Standards 2 of 12
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ES-302 j
Phase A, Operating Demonstration I
Manipulation of controls through a reactor startup or other reac-tivity manipulation (see Standard ES-303, Section E, for the methods for accomplishing this phase).
l Phase B, Control Room (Major, Auxiliary, Engineered Safeguards, Nuclear and Radiation Instruments, Electrical)
Discussions, performance of checkouts, and use of procedures at supplementary instrument panels in the control room.
Phase C, Reactor and Auxiliary Buildings 1
Discussions, performance of checkouts, and use of procedures at selected portions of the facility outside the control room.
This should also include discussions concerning radiation protection
]
(procedures, instrumentation, hazards, and so forth).
Phase D. Discussion (Integrated Plant Response, Reactor Theory, Thermodynamics, and Hydraulics)
Discussions of a specific nature concerning overall plant behavior including response to transients based on nuclear theory and thermo-dynamics.
2.
For the upgrade senior reactor operator candidate, the following i
substitutions, additions, or deletions should be made in each of the phases:
Phase A, Operating Demonstration Simulator examination, if applicable.
If not, a discussion of plant operations to include a startup or shutdown.
2 Phase B, Control Room Administrative requirements to include shift turnover, surveil-lances, planned waste releases, and emergency plan implementation.
Phase C, Reactor and Auxiliary Buildings Fuel handling, shutdown outside control room, and other procedures.
Phase D, Discussion Similar to that for a reactor operator; however, topics shall be i
[
explored in more depth consistent with a senior reactor operator's responsibility and authority.
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Examiner Standards 3 of 12
ES-302 3.
The operating and oral examinations for an instant senior reactor operator must be an appropriate blend of the examination require-ments for a reactor operator and for an upgrade senior reactor operator.
The examiner must determine that the instant senior reactor operator candidate has the requisite knowledge and ability as a reactor operator and also can function in a supervisory capac-ity as a senior reactor operator.
The senior reactor ;perator candidate, whether upgrade or instant, must be aware that he is being examined for the highest position for which the senior reac-tor operator's license is applicable on each shift.
For example, if the senior reactor operator candidate is to be given a shift foreman's (or assistant shif t supervisor's) position when he receives an SRO license, the examination most be conducted assuming the candidate will function as the shift supervisor.
E.
Scope of Examination The operating and oral tests administered to candidates for reactor operator and senior reactor operator licenses must include, to the extent applicable, the following items as required by 10 CFR 55.23:
1.
The candidate should perform prestartup checks on the reactor or any other checks (e.g., daily, recovery from scram) that a licensed operator would normally perform.
When complete performance of all applicable checks requires a prohibitive amount of time, the exam-irer may select portions of the checklists and spot check items or use other methods he deems suitable to determine competence within a reasonable time.
2.
The candicate should start up the reactor from a substantially subcritical condition and raise power to a preselected value that is sufficient to use all nuclear instrumentation channels and introduce effects on reactivity (e.g., temperature increase and void formation) as may be appropriate.
In the case of examinations administered at a nuclear power plant simulator (see Standards ES-501 and ES-502), the examiner may use other programs (i.e.,
malfunctions and/or abnormal conditions) to determine the candi-date's understanding of, and ability to perform, manipulations at the control console.
3.
The candidate should describe his actions and responses to each alarm and annunciator signal and indicate the probable causes and significance thereof.
The candidate should show a high degree of familiarization with procedures of this nature and should distin-guish between actions or checks that he must take immediately and those actions that are logical followups depending on the circumstances.
1 O
Examiner Standards 4 of 12
I ES-302 4.
The candidate should predict the approximate readings of all perti-nent instrumentation for the conditions at which he will be oper-ating and verify that his predictions are accurate.
5.
The candidate should describe the response of the system to control changes and verify that his description is correct.
Normally, the 4
candidate should make one or more changes of power level on a period or startup rate indicated by the examiner and permitted by the regulations of the facility.
6.
The candidate should demonstrate familiarity with auxiliary and i
emergency systems at the facility and particularly indicate the interrelationships and interconnections between them and the reac-tor or reactor control system.
7.
The candidate should perform such standard calculations (e.g., burn-out, rod position, estimated critical position (ECP), and heat balance) as are consistent with an operator's responsibility at the facility.
8.
The candidate should align and start, or describe the procedure for, several of the pertinent auxiliary and emergency systems.
O 9.
The candidate should describe the operation and pertinent design and construction features of the reactor and auxiliary systems and indicate satisfactory familiarity with the overall facility, in-cluding the ability to locate and identify significant components and instrumentation.
10.
The candidate should demonstrate the use of, and interpret, the readings of the portable monitoring equipment that is usually available.
- 11. The candidate should demonstrate his actions in the event of emer-gencies that may occur.
He should possess a high degree of famili-arity with duties required in the emergency procedures and be able to distinguish between those actions he must take immediately as an operator, those which are followup actions, and those that affect persons at the facility for whom he has a safety responsibility.
12.
The candidate should observe all rules and procedures regarding radiation safety and equipment and required radiation work permits and permissions and demonstrate a logical safe approach to questions involving radiological safety, including hypothesized situations.
13.
The candidate should demonstrate familiarity with, and follow all, operating procedures and standards of the facility including all notifications to supervision and other facility personnel.
He I
should also demonstrate that he knows when permission from other facility personnel is required before performing some actions.
Examiner Standards 5 of 12
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F.
Systems and Subjects Generic lists of systems and subjects have been developed for both pressurized water reactors and boiling-water reactors (Attachments 1 i
and 2 to this standard).
The examiners may select from these lists, or a list specific to the vendor type and model of the nuclear steam supply system, those a eas that they wish to cover during the operating and oral examinations.
The examiners should diversify their coverage and discuss as many of the systems and subjects as feasible during a spe-cific assignment.
In preparing the program for the operating examination, examiners should avoid true/ false-type questions or questions with only two possible answers.
Questions of this type increase the difficulty of determining satisf actory or unsatisf actory responses, particularly if the candidate
" changes his mind" because of prompting by the examiner.
For example, instead of asking, "If the steam generator safety failed open with rod control in automatic, would rods move in or out?", the exan,iner should ask, "If a steam generator safety failed open, what would be the primary effect on reactivity initially?"
Then he should discuss rod control response and protective system response or reactivity principles in more depth depending on the candidate's answer.
In general, the examiner
'j should try to avoid situations that could result in the candidate claim-ing to have given the correct answer even though he had to correct him-self when the examiner felt that the basic understanding was not evident.
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O' Examiner Standards 6 of 12 1
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ES-302 ATTACHMENT 1 LIST OF TOPICS FOR ORAL EXAMINATIONS - B0ILING-WATER REACTORS MAJOR SYSTEMS Turbine Generator Reactor Level Control Recirculation Control Rods and Control Rod Drives Electrohydraulic Control Turbine Bypass Main Condenser Circulating Water Condensate and Feedwater Mechanical Design (Fuel Assembly)
Reactor Vessel AUXILIARY SYSTEMS
(N)
Turbine Building Closed Cooling Water Reactor Building Closed Cooling Water N'~,,
Control, Instrument, and Service Air Fire Protectior.
Service Water Equipment and Floor Drainage Condensate Storage and Transfer Radioactive Waste (Solid and Liquid)
Fuel Pooling Cooling and Cleanup Demineralized Water Augmented Off Gas Condenser Circulating Water Process Sampling Heating, Ventilation, and Air Conditioning Reactor Water Cleanup Shutdown Cooling Head Cooling Containment Inerting Gland Seal and Exhaust Turbine - Generator Lube Oil Steam Jet Air Ejectors ENGINEERED SAFEGUARDS Residual Heat Ren. oval
( ~s High-Pressure Coolant Injection
(
Low-Pressure Coolant Injection
\\se Standby Gas Treatment Examiner Standards 7 of 12
ES-302 ENGINEERED SAFEGUARDS (Continued)
Reactor Core Isolation Cooling Isolation Condenser Primary Containment Containment Spray Core Spray Core Flooding Auto - Depressurization Standby Coolant Supply Main Steam Line Restrictors i
Control Rod Velocity Limiter Main Steam Line Isolation Valves Standby Liquid Control Pressure Reliet Secondary Containment NUCLEAR AND RADIATION INSTRUMENTS Source Range Monitors Intermediate Range Monitors Average Power Range Monitors Local Power Range Monitors Rod Worth Minimiter Rod Block Monitor Traveling Incore Probe Process Computer Rod Sequence Control Liquid Effluent Area Radiation Monitors Gaseous Effluent Stack Gas Main Steam Line Radiation Off Gas System ELECTRICAL Diesels Normal AC Supply Emergency AC Supply Normal DC Supply Emergency DC Supply Reactar Protection System Uninterruptible Power Supply l
REACTOR AND AUXILIARY BUILDINGS Any of the systems listed in the previous categories can be items for discussion during this phase of the examination.
The following items should also be given consideration during this phase.
Examiner Standards 8 of 12
ES-302 Fuel Handling and Storage Rad Waste INTEGRATED PLANT RESPONSE Turbine Trip Loss of Generator Load Emergency Shutdown From Full Power Scram - Cold Restart Scram - Hot Restart Load Change (at least 20%)
Subcritical to Critical Normal Shutdown From Full Power Maneuver to Hot Standby Recirculation Pump Trip Feedwater Pump Trip Steam Pipe Break Recirculation Line Break Loss of Reactor Building Closed Cooling Water Loss of Instrument Air l
Examiner Standards 9 of 12 l
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~-, - - - - -- ~.
ES-302 ATTACHMENT 2 LIST OF TOPICS FOR ORAL EXAMINATIONS - PRESSlJRIZED-WATER REACTORS MAJOR SYSTEMS Reactor Pressurizer Reactor Coolant Pumps Primary System Steam Generators Control Rod Drive Systems Chemical and Volume Control Systems (CVCS)
Steam, Feed, and Condensate System Turbine Generator Reactor Protective System (RPS)
AUXILIARY SYSTEMS CVCS - Makeup / Letdown CVCS - Boration/Deboration Component Cooling Water Shutdown Cooling System (RHR, Decay Heat Removal)
Spent Fuel Pit Cooling Sampling System Fire Protection System Containment Air Recirculation and Cooling System Condensate Condenser Circulating Water Quench Tank Service Water Compressed Air System Auxiliary Feedwater System ENGINEERED SAFETY FEATURES High-Pressure Safety Injection System l
Low-Pressure Safety Injection System Safety Injection Tanks (Accumulators, Core Flood Tanks)
Containment Spray System l
Reactor Building Isolation l
Refueling Water lank (Refueling Water Storage Tank, Borated Water Storage Tank)
Containment Iodine Removal System Hydrogen Removal System Actuation Signals O
Examiner Standards 10 of 12
i s
1 ES-302 NUCLEAR AND RADIATION SYSTEMS Startup Channels i
Intermediate Channels l
Power Range Channels In-Core Instrumentation
+
Process Radiation Monitors Area Radiation Monitor ELECTRICAL SYSTEMS I
230-kV Systems 6900-V Systems 4160-V Systems A80-V Systems 120-V Systems DC Power Supplies j
Batteries Emergency Generator or Diesel Generators Lighting i -
MAJOR, AUXILIARY, AND ENGINEERED SAFETY FEATURES SYSTEMS (PLANT WALKTHROUGH) i Systems previously covered during the control room portion of the examination may be covered during the walkthrough.
Items listed below are suggested for coverage during the plant walkthrough.
Sampling System Fuel Handling and Storage (Cold Plant)
Liquid Waste Handling and Disposal Gaseous Waste Handling Solid Waste Handling and Disposal Diesel Generators Shutdown Outside Control Room - Charging System Shutdown Outside Control Room - Feedwater Station Shutdown Outside Control Room - Control Panel Shutdown Outside Control Room - Boration Chemical Addition Hydrogen Recombiners Station Gas (N H ) Supplies 2 2 Intermediate Cooling Systems 4
Main Condenser Level Control System i
Auxiliary Feedwater Systems INTEGRATED PLANT RESPONSE Load Increase / Decrease - Auto Control s
Load Increase / Decrease - Manual Control Load Rejection Examiner Standards 11 of 12
ES-302 INTEGRATED PLANT RESPONSE (Continued)
Turbine Trip Feedwater Pump Trip Rod Malfunction Primary System Leak Steam Leak Reactor Coolant Pump Trip Control Instrument Malfunction Steam Generator Tube Failure Fuel Cladding Failure Loss of Feedwater Loss of Component Cooling l
9 l
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Examiner Standards 12 of 12
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ES-303 Rev. 0 9/1/83 INSTRUCTIONS ON USE OF FORMS FOR OPERATING AND ORAL EXAMINATIONS ADMINISTERED TO REACTOR OPERATORS - POWER REACTORS A.
Purpose This standard provides guidance to the examiner on the use of the exam-ination forms during the course of the reactor operator operating and oral examinations.
Form 157A has been designed to minimize the amount of note taking and to make best use of the time necessary for the exam-inations.
Separate forms have been developed for the reactor operator (RO) examinations (Form 157A), the upgrade senior reactor (SRO) exam-ination (Form 1578), and the instant SR0 examination (Form 157C) l (Attachments 1 through 3 of ES-301).
B.
General The examiner is ultimately responsible for making a professional, subjec-tive judgment on whether a candidate should pass or fail this segment of the examination.
The forms pertaining to the oral examination should only be used as an aid to the examiner in conducting the examination and as a means of documenting the bases for the examiner's pass or fail determina-1 tion.
This determination is based on an audit of the levels of knowledge
~
and abilities of the candidate, and, as such, all of the applicable areas defined in Standard ES-302 should be explored in varying degrees of depth.
The examiner will specify his evaluation of the candidate's observed performance and knowledge and understanding of and competence in the subjects and systems discussed by placing an "S" for satisfactory, an "M" for marginal, and a "U" for unsatisfactory in the appropriate space.
The following criteria are to be used for the evaluation.
S - Excellent to Good Working Knowledge and Understanding of the Subject or Systems The candidate may have some slight or minor difficulty relating to system interactions.
Competence in the operation of equipment associated with system is very good although there may be some hesitation while perform-ing some tasks.
The candidate, however, appears to be familiar with the equipment and procedures.
M - Fair Working Knowledge and Understanding of Subject or Systems Candidate may have difficulty answering questions in depth and in relat-ing the interactions of systems.
Competence in operation of equipment is generally good.
The candidate, however, shows some lack of familiarity p
with the equipment and procedures.
Examiner Standards 1 of 9
ES-303 U - Poor Working Knowledge and Understanding of Subject or System Answei given by the candidate are incorrect cnd incomplete and/or he is unable to provide an answer.
The candidate shows obvious unfamiliarity with subject and/or system as evidenced by hesitant answers, need to search for information, inability to locate control board indications and/or controls, and lack of knowledge'of procedural steps to operate systems.
An example of a marginal evaluation is one where a candidate initially provides a wrong answer then later recognizes the mistake with little prompting and corrects the answer.
If the candidate gives a wrong answer to a question with only two possible answers (e.g., rods go in or rods go out) and then corrects the answer, the examiner should expand the questioning to ensure that the andidate understands the system or event and is not guessing.
If this happens several times in the same area, the narginal evaluation should be changed to an Unsatisfactory.
All unsatisfactory evaluations must be supported by detailed notes stating the particular action or response that resulted in the unsatis-factory evaluation.
The supporting notes should be as specific as possible; use of general statements such as "did not know decay heat removal system" should be avoided.
Use of statements such as "gave correct answer only after prompting" is not acceptable documentation of an unsatisfactory rating.
Additional justification is required because the examiner admits that the correct answer was given.
The use of marginal evaluations should be minimized.
Areas where a candidate's knowledge is marginal should be explored further in an attempt to determine if an "S" or a "U" rating is warranted.
If the marginal evaluation stands, supporting notes should be included although they are not mandatory.
The examiner should allow, and in fact encourage, the candidate to draw diagrams, flow paths, or other visual representations.
This serves two purposes:
1.
It allows the candidate to better express himself when providing an answer or explanation to the examiner.
2.
It provides additional documentation to support a pass or fail determination.
These visual representations may be made on the reverse pages of the forms pertaining to the oral examination or other paper which the exam-iner should attach to the examination notes.
O Examiner Standards 2 of 9
l ES-303 C.
Rules of Practice The rules of practice set forth in Standard ES-302 apply to the RO j
operating and oral examinations.
When actual plant manipulations are to be performed, these rules should be explained to, and understood by, each candidate.
1 0.
Conduct of Examination The procedure for conduct of the examination, as specified in Standard ES-302, is most applicable for reactor operator candidates.
The most common method of examination (nonplant-specific simulator) is a " sit-down" period of discussion with the candidate, followed by the control room discussion and startup, if applicable, and a plant walkthrough.
Typical time requirements for this examination are as follows:
1 1.
discussion - 3/4 to 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> 2.
control room - 2 to 2-1/2 hours 3.
walkthrough - 1/2 to 3/4 hour If reactor startups are required for a group of candidates, they gener-1 ally will all be performed in 1 day to minimize plant downtime.
In such cases, the " Discussion" and " Control Room," phases of the oral examination can be shortened if some of the required items are covered during the startup.
If a plant-specific simulator examination is administered, more required items can be covered at the simulator thus further short-ening the oral phase.
It is necessary, however, that the examiner give a complete examination as is explained in Section E, " Detailed Instruc-tions," of this standard.
The operating and oral examinations are audits of selected areas that each candidate is responsible for knowing or in which he must demonstrate competence.
As such, the examiner must make a complete audit of each candidate to justify granting a license.
It is often necessary to go significantly beyond the average oral examination time periods to com-plete the audit.
In a relatively few cases, where a candidate has clearly shown deficiencies and there is no doubt of a denial, the exam-iner may omit some required coverage.
In such cases he should attempt to include as much coverage of the subject area as possible within the
" average" oral examination period.
E.
Detailed Instructions 1.
Operating Demonstration (Form 157A, page 3)
This phase of the examination may be completed by one of three methods:
O a.
actual reactor startup or other reactivity manipulation on'the plant Examiner Standards 3 of 9
ES-303 b.
startup certification on a simulator as part of an approved NRC program c.
simulator examination For an actual reactor star;up or other reactivity manipulation, the examiner shall evaluate the candidate's knowledge and/or performance for every subject on page 3 of Form 157A.
The type of prestartup performed should be specified, including the procedure number if applicable.
During the manipulation portion of the examination, the candidate will be evaluated on both his understanding and his ability to safely and competently manipulate the controls.
In lieu of an actual plant startup, the candidate may have success-fully completed a certification program using a simulator.
The-examiner is not required to evaluate the candidate on the " Operating Demonstration" phase of the examination.
It is recommended that one or more candidates per assignment be audited on this phase.
This audit may be performed by a " talk-through" of a startup with a candidate.
In this instance, Items 1.2.4 through 1.2.7 pertaining to manipulation should be marked "Not Applicable (N/A)."
Items 1.1.1 through 1.1.7 of the examiner notes should be completed.
This may be accomplished by using a routine functional or other surveillance checklist for which the operators are responsible.
If a simulator examination is conducted, ali items on page 3 should be completed for a normal plant maneuver, that is, heatup, startup, power increase, and so forth.
2.
Control Room (Form 157A, B, or C)
The portion of the Examination Report pertaining to the control room consists of three pages, and the format in Forms 157A and C is a matrix type that allows the examiner to select with ease the systems and subjects he wishes to discuss.
A generic list of systems and subjects for pressurized-water reactors and boiling-water reactors is included in Standdrd ES-302.
The systems are selected from the applicable generic list.
The l
system selected will be listed at the top of the columns.
The l
subjects that can be discussed are arranged on the left-hand side of the page.
To make best use of the time required for the administration of the examination and provide a uniform and reasonable basis for the issuance of a license or denial of an application, the examiner must use the following procedure for each applicant:
Examiner Standards 4 of 9
3 ES-303 i
l a.
The " Control Room" section dealing with major, auxiliary, and engineered safeguards systems will contain a minimum i
of two systems from each category.
All six systems should be evaluated in at least six subject areas.
b.
For the " Nuclear and Radiation Instrument" section, the examiner should select two nuclear and one installed radiation j
system, as a minimum, and at least six subjects in each system should be explored.
c.
For the " Electrical" section, the examiner should select a i
minimum of one normal and one emergency supply system.
In this case five subjects for each system should be adequate for a determination of the knowledge and/or competence of the candidate.
During the course of the discussions on the control room, the examiner should require the candidate to demonstrate his under-standing and familiarity by lecating and explaining a.
control board instrumentation b.
control board controls 3
c.
piping and instrument diagrams d.
procedures e.
Other related reference data (such as logs, tag outs, and Technical Specifications)
The candidate's response to at least three abnormal and/or emer-gency procedures should be evaluated during the control room phase of the examination.
3.
Reactor and Auxiliary Buildings a
The control room licensed personnel are responsible for. directing the activities of all facility personnel in areas that could affect the safety of the plant and as such should be familiar with plant layout, design, local procedures, and radiological and safety
\\
conditions.
The examiner may evaluate the candidate's, knowledge in this phase by a variety of methods:
N a.
He may select at least two systems from the list of items for the reactor type and discuss a minimum of five sub'jIcts for each system.
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s b.
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a.
The response to at least one local emergency procedure should be evaluated.
.b.
One entry into a radiation-controlled area should be made.
c.
The examiner should diversify his coverage of the plant for a group of candidates.
The examiner should evaluate the candidate's knowledge of the facility's Emergency Plan as it pertains to the job responsibilities of a reactor operator.
Although the senior operator in charge is usually responsible for classifying and implementing the appropriate action levels, the RO should know those levels and his response and duties for each one.
In addition, the operator must be able to respond to other emergencies such as fire and security intrusion.
The portion pertaining to radiation protection and safety will be completed by the examiner exploring those areas that are within the l
candidate's responsibility for personnel protection and the control and discharge of radioactive wastes.
During the course of the control room and plant walkthrough, the examiner will evaluate the candidate's responsibility associated with the safe operation of the facility.
This evaluation need not be performed by direct questioning of the candidate but may be accomplished by observing his response to unexpected or incorrect existing plant conditioas.
4.
Discussion The final section of the examination is the " Discussion" and is divided into two parts, both of which must be used by the examiner:
a.
Integrated Plant Response b.
Principles and/or Theory of Nuclear Power Plant Operation During the nonsimulator oral _ phase, 'the exami'ner is required to explore in detail the candidats1 s knowledge of the integrated plant response including applicable _ procedures for at least two plant
-- transients.
The back of the bxamiaation notes may be used for l
sketches, or additional shee W may be attached This portion of the examination need not be a separate discussion.
In fact, it may
.beJore useful and efficient-to con,bine this phase during other
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For example, by postulating a plant hset condition such as a reactor scram, the examiner inay include in the discussion one or riare of'the plant systL'lIis / required to be
-covered in tnc control room diccussion.
Examiner Standards,s 6 of 9
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ES-303 If a simulator demonstration is involved, NRC Form 309 (Attachment 1 to this standard) should be completed instead of page 3 of NRC Form 157A.
l The " Principles of Nuclear Power Plant Operation" portion of the notes must be completely filled in with evaluations for each can-l didate in every subject.
Again this discussion may be combined with other areas for examination continuity and efficiency.
It is important for the candidate to use and explain existing plant 1
information for this phase of the examination.
Examples include reactivity data used in estimated critical position (ECP), computer-generated core data, pump head curves, and so forth.
1 Examiner Standards 7 of 9
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ES-304 Rev. 0 9/1/83 INSTRUCTIONS CN USE OF FORMS FOR OPERATING AND ORAL EXAMINATIONS ADMINISTERED TO UPGRADE SENIOR REACTOR OPERATORS - POWER REACTORS A.
Purpose This standard provides guidance to the examiner on the use of Examination Form 157B during the course of operating and oral examinations for upgrade senior operator candidates.
B.
General A letter from H. Denton (NRC), dated March 28, 1980 required that oper-ating and oral examinations be administered to upgrade senior operator tandidates.
Previous policy to waive this portion of the examination and administer only a written examination was superseded by this new requirement.
C.
Rules of Practice The rules of practice set forth in Standard ES-302, Section C, also (m) apply during this type of examination and should be discussed with the candidate as indicated in Standard ES-302.
The candidate should be V
informed that he will be examined at the highest onshift level that he can occupy with a senior reactor operator (SR0) license, for example, shift supervisor.
D.
Conduct of Examination The conduct of an upgrade senior reactor operator examination is also specified in Standard ES-302.
Generally, this examination is administra-tive in nature and airred at evaluating the sandidate's knowledge of his responsibilities as a shift supervisor.
The candidate should display the ability and attitude of responsibility for safe operation and espe-cially to assume a management role during plant transient and upset conditions.
Differences in administrative controls and facility design will affect the senior operator's responsibilities, but in general the folloWing items should be used as guides for the scope of the senior operator examination.
1.
The senior operator, in directing licensed activities, must evalu-ate plant performance, particularly during nonroutine events, and make operational judgments accordingly.
He should therefore have a higher degree of knowledge in areas such as operating character-istics, reactor behavior, and instrument interpretation than a
/
reactor operator.
b Examiner Standards 1 of 3
ES-304 2.
The senior operator, in directing licensed activities, must have a wider and more thorough knowledge of facility administration con-trols and methods, including limitations imposed by regulations, particularly the limitations set forth in the Technical Specifica-tions and the bases for each of the specifications, than a reactor operator.
3.
The senior operator often will be assigned comprehensive actions during facility emergencies and abnormal conditions and should demonstrate knowledge of these assignments.
4.
The senior operator often will be assigned responsibilities for auxiliary systems that are outside the control room and are not normally operated by licensed operators.
The most common example is a waste disposal and handling system for which the licensed operator's responsibility ends when the fluid passes the last instrument that has console display.
Usually, the senior operator has additional responsibilities.
In such a case the senior operator candidate must demonstrate knowledge of system design concerning maximum permissible concentration, effluent release rates, and other aspects if appropriate.
Examination Report Form 157B has been prepared for use by the examiner when administering the upgrade senior reactor operator examination.
This form has been designed to ensure uniformity in the administration of the examination, minimize the amount of note taking, and make best use of the time required for the examination.
The notes will provide the basis for recommending the issuance of a license or the denial of the application.
Refer to Section B of Standard ES-303 for an explana-tion concerning the method of determining pass and fail criteria and awardi ng "S", "M",
or "U" rati ngs.
E.
Detailed Instructions 1.
The "Contrcl Room" section (page 3) is divided into two major subsections, "(1.1) Shif t Turnover" and "(1.2) Control Room Refer-ence Data.'
The examiner shall evaluate the candidate's knowledge for each of the subjects listed on this page.
For Section 1.1, the examiner should use at least one piece of existing or out-of-service equipment (or hypothesize one) and follow through with the required procedural and administrative requirements pertaining to it, including its restoration to service.
l For Section 1.2.3, the examiner should discuss at least one type of planned radioactive waste release (gaseous, liquid, containment purge) with the candidate.
O Examiner Standards 2 of 3
ES-304 2.
Responsibility and Authority The portion pertaining to the senior operator's responsibility and authority (page 4) is divided into five major subsections:
"(2.1) Emergency Plans", "(2.2) Plant Operations", "(2.3) Fuel i
Handling", "(2.4) Surveillance Testing", and "(2.5) Security."
Each of the subjects listed under the major subsection must be evaluated to the extent necessary to determine the senior candi-date's knowledge of these areas.
The shift supervisor is generally designated as the emergency coordinator during implementation of an emergency plan action level and remains in that capacity until appropriately relieved.
Each candidate will be evaluated in this regard during discussions concerning the emergency plan.
All parts of Section 2.1 should be completed by the examiner.
For Section 2.2, the candidate should be evaluated on at least one aspect of plant operations, for example, startup or shutdown.
This discussion should emphasize the supervisory responsibilities.
Discussions concerning fuel handling should be conducted at the appropriate location (e.g., fuel-handling bridge and spent fuel pool), if at all feasible.
3.
Discussion The " Discussion" section consists of two pages and three major subsections: "(3.1) Transients," "(3.2) Reactivity Effects," and
"(3.3) Thermodynamics and Hydraulics."
For Section 3.1, the examiner should explore the candidate's knowledge and understanding of at least two plant transients.
Each of the subject areas on this page should be evaluated.
The simu-lator examination should be substituted in lieu of this discussion phase if appropriate.
The examiner should complete the evaluation of at least six of the eight topics listed under Sections 3.2 and 3.3.
F.
References i
Letter from H. Denton (NRC) to All Power Reactor Applicants,
Subject:
Qualification of Reactor Operators and Licensees, Mar. 28, 1980.
Examiner Standards 3 of 3
ES-305 Rev. 0 9/1/83 INSTRUCTIONS ON USE OF FORMS FOR OPERATING AND ORAL EXAMINATIONS ADMINISTERED TO INSTAN1 SENIOR REACTOR OPERATORS - POWER REACTORS A.
Purpose This standard provides guidance to the examiner on the use of the Exam-ination Form 157C during the course of operating and oral examinations for instant senior reactor operator candidates.
B.
General Operators are required to hold a reactor operator (RO) license for 1 year before they are eligible to apply for a senior reactor operator (SRO) license.
Exceptions are allowed, however, for those candidates who possess the necessary education, experience, and training to assume a supervisory role immediately.
Standard ES-109 covers eligibility requirements to obtain R0 and SR0 licenses.
C.
Rules of Practice The rules of practice set forth in Standard ES-302, Section C, also apply during this type of examination and should be discussed with the candidate as indicated in Standard ES-302.
The candidate should be informed that he will be examined at both the reactor operator level and at the highest level on shift that he can attain with an SR0 license, for example, shift supervisor.
If he is judged to be satisfactory at the R0 level but not at the SR0 level, his application will be denied and he will not receive a license.
D.
Conduct of Examination The conduct of an instant senicr reactor operator examination is also
-specified in Standard ES-302.
This examination is the most difficult and time consuming to administer because the candidate must be evaluated for two different levels of responsibility.
The examiner must assure himself that the candidate has the necessary skills and abilities as a reactor operator and has the required knowledge and supervisory capabil-ities to function as a senior reactor operator.
Therefore, the instant senior reactor operator examination must be a balanced combination of the reactor operator (ES-303) and the upgrade senior reactor operator (ES-304) oral examinations.
Examination Report 157C has been developed for this purpose.
i Examiner Standards 1 of 7 i
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ES-305 E.
Detailed Instructions 1.
Operating Demonstration (Form 157C, page 3)
This phase of the examination is to be conducted in a manr.er similar to that specified in Standard ES-302, Section E.
If a reactor startup or simulator demonstration is performed, all of Sections 1.1, 1.2, and 1.3 must be completed.
If the candidates have completed a startup certification, these sections should be audited on at least one candidate (Items 1.2.4 through 1.2.'i are not applicable).
Section 1.3 should be completed for all candidates.
In the case of a startup certification, this section may be combined with other control room discussions.
2.
Control Room (Form 157C, pages 4, 6, and 7)
The portion of the examination pertaining to the control room should be conducted similarly to that of the reactor operator examination (see Standard ES-303) in accordance with the following minimum requirements.
Page Systems Subject areas 4
Two major 6
4 Two auxiliary 6
4 Two engineered safeguards 6
6 Two nuclear instruments 6
6 One radiation monitoring 6
7 One normal electrical 5
7 One emergency electrical 5
The scope of coverage in this phase of the examination for the instant senior reactor operator candidates will be different from that for the reactor operator candidates.
For the senior reactor operator, more emphasis should be placed on the procedural and administrative requirements sections than for the reactor operator.
The line of questioning for a reactor operator should be from a systems standpoint (e.g., hardware, instruments, and numerical values) for all systems covered; for a senior reactor operator, the examiner should explore these areas from a functional viewpoint.
Two examples of completed page 4s, one for a reactor operator, the other for an instant senior reactor operator, are attached to this standard.
Several facts should be noted concerning these two examples.
Although the minimum number of required subject areas is six, the examples show seven and more.
This is indicative of a more comprehensive examination.
Also, for the instant senior reactor operator, the subjects in Items 5.0 through 7.0 are empha-sized more than those in Items 2.0 through 4.0.
Examiner Standards 2 of 7
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Reactor and Auxiliary Buildings (Form 157C, page 8)
This phase of the examination is similar in conduct to that of the reactor operator (see appropriate section in Standard ES-302 for required coverage).
The examiner must, however, broaden the scope of questioning to include the responsible areas of senior reactor operator knowledge and competence.
Fuel-handling operations should be included if practical.
4.
Discussion (Form 157C, pages 9, 10 and 11)
The " Discussion" portion concerning responsibility and authority should be completely filled out for all candidates.
Section 8.A.
should be approached from both the reactor operator and senior reactor operator levels; the remaining subjects are primarily at the senior reactor operator level (see Standard ES-304 for further explanation).
During the nonsimulator oral phase, the examiner is required to explore in detail the candidate's knowledge of the integrated plant response, including applicable procedures for at least two plant transients.
For examination continuity and efficiency, it may be useful to combine this phase with the discussion on control room p) systems.
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If a simulator demonstration is involved, Form 309 (Attachment 1 in Standard ES-303) should be completed insteart of page 3 of NRC Form 157C.
During any plant transient it is important for the examiner to evaluate the candidate's ability to maintain a perspec-tive directed toward total plant coordination.
The candidate should step back and maintain a " big picture" outlook regarding the transient.
This is much easier to accomplish during a simulator demonstration, but it must also be evaluated during a plant oral examination.
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ES-401 Rev. 0 9/1/83 ADMINISTRATION OF WRITTEN EXAMINATIONS TO SENIOR REACTOR OPERATORS - POWER REACTORS A.
Purpose This standard specifies the difference in preparation of senior reactor operator written examinations and reactor operator examinations.
The specifications in Sections A-D and F-L of Standard ES-201 also apply to the administration of the senior reactor operator examination.
B.
Preparation of Examination The examiner shall prepare the examination questions and answers using Standards ES-402 and ES-403 for guidance.
One copy of the examination and one copy of the answers should be forwarded to the appropriate section leader or regional section chief for review.
Tables ES-201-1, ES-201-2, ES-201-3, ES-201-4, and E5-401-1 should be filed with the master copy of the examination.
The examiner should conduct a detailed review of his examination using Tables ES-201-2, ES-201-3, ES-201-4, and ES-401-1 as guides.
C C.
If an appeal of the graded written senior reactor operator examina-tion is received, the procedures outlined in Standard ES-201(a) should be I
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Examiner Standards 1 of 2
f ES-401 TABLE ES-401-1 CONFORMANCE TO STANDARD ES-402 SENIOR REACTOR OPERATOR EXAMINATION Check if I
Category Subject satisfactory
- 5 Theory of Nuclear Power Plant Operation, Fluids, and Thermodynamics 6
Plant Systems Design, Control, and Instrumentation 7
Procedures - Normal, Abnormal, Emergency, and Radiological Control 8
Administrative Procedures, Conditions, and Limitations O
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O Examiner Standards 2 of 2
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Scope The required scope of the examination is set forth in 10 CFR 55.
To j
implement this scope and to provide for identification and documentation of strengths and we3knesses within certain areas of knowledge, the written examination is divided into four categories, which are listed below with a description of the content of each.
They are designated by t
the Numbers 5 through 8 to differentiate them from Categories 1 through 4 in the reactor operator examination as set forth in Standard ES-202.
l The scope of the examination is identical for both instant senior oper-j ators and upgrade senior reactor operators.
1.
Category 5 - Theory of Nuclear Power Plant Operation, Fluids, and Thermodynamics This category contains questions on principles of reactor theory, including details of the fission process, neutron multiplication, source and control rod effects, and criticality indications.
It also contains questions on specific operating characteristics of s
the reactor and auxiliary systems, including the nuclear, hydraulic, thermal, pneumatic, electrical, and coolant chemistry systems, and turbines and turbine generators.
Further, it contains questions 4
relating to fuel element characteristics, rupture detection, and effects of boiling and control rod programming.
This category includes questions to determine the candidate's understanding and use of curves depicting reactor behavior that may be beyond the scope of knowledge needed by operators for routine operation.
These may include, as applicable, differential and integral control rod worth curves (single or group), period versus i
reactivity curves, temperature and power coefficient curves, and poison (e.g, xenon, samarium, and boron) worth curves.
The candi-date should be able to determine the reactivity status of the reactor on the basis of the facility's parameters and coefficients.
Any curves reeded will be given with the examination questions.
i Whenever poi.sible, actual curves of the facility will be used; otherwise, applicable sample illustrative curves wili be prepared.
The candidate should be able to demonstrate quantitative as well as qualitative knowledge of. reactor behavior.
He should be able to ur.derstand and use mathematical expressions regarding reactor I
behavior; however, these expressions (or formulae) and nuclear
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constants (e.g, fission factors and half-lives) usually need not be committed to memory and will be supplied in the examination when questions requiring them are included.
Further, this category may s
Examiner Standards 1 of 4
ES-402 contain questions, as applicable to the facility, concerning some aspects of basic reactor core and vessel design limits.
This category also contains questions to determine the candidate's understanding of the heat and energy cycles involved with nuclear power plant operations, the heat transfer process involved with reactor core cooling, and reactor thermal limits, and his ability to identify plant parameters that can be used to quantify plant heat generation and heat transfer information.
Questions to deter-7 mine the candidate's understanding of the mechanisms of fluid flow as they are encountered in nuclear power plants during normal and casualty conditions are also asked.
The candidate should understand the relationship of fluid properties and flow characteristics to the thermal condition of a nuclear reactor and be able to identify plant parameters that can be used to determine fluid flow within the nuclear plant systems associated with heat removal from the reactor core.
Further, this category contains q estions on alternate methods of core cooling that are available when primary systems are inoperable, i
variable parameter changes that effect cooling mechanisms (such as boron precipitation), utilization of saturation curves, and the effects of gas / steam binding.
It also contains questions to deter-mine the candidate's ability to recognize and mitigate the conse-quences of core damage.
2.
Category 6 - Plant Systems:
Design, Control, and Instrumentation This category contains questions on the design features of the particular facility with emphasis on those systems that are designed to maintain, and protect against, the uncontrolled release of radioactive materials.
The candidate should be able to reproduce, from memory, sketches or descriptions of various hydraulic, pneu-matic, or electrical distribution systems and mechanical components.
Questions are asked about design intent, construction, operation, and interrelationships of those systems most directly associated with normal nuclear power plant operation and reactor safety.
Further, this category contains questions on the characteristics and interrelationships of the nuclear, process, and radiological instrumentation and control systems.
These questions will focus on the principles of operation of detectors, location and setpoints of instruments, and diagrammatic representation of instrument and control systems.
A candidate is not expected to have the knowledge of an instrument technician, but his answers should indicate the ability to recognize the indications and consequences of improper performance (e.g., overcompensation, power failure, air supply failure, and signal failure), including the traces that recorders would show.
He also should be able to make use of all available instrumentation to provide checks or verification of observed readings.
Examiner Standards 2 of 4
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Category 7 - Procedures:
Normal, Abnormal, Emergency, and Radio-logical Control This category contains questions on the procedures for the opera-tion of the reactor and auxiliary systems, including administrative controls and Technical Specifications.
In general, a candidate must demontrate complete knowledge and understanding of the symptoms, automatic actions, and immediate action steps specified by offnormal or emergency operating procedures.
The candidate should be able to describe generally the objectives and methods used in the normal, offnormal, and emergency operating procedures and the methods used to perform the verifications.
Operating restrictions and limita-tions in the facility license, including Technical Specifications, may be included to the extent they are directly applicable to a senior reactor operator.
This category also contains questions on radiation hazards that may arise during operation or maintenance activities.
The candidate should be familiar with the provisions of 10 CFR 20 and supple-mentary facility regulations and be able to use a common-sense approach to radiological safety situations.
Questions may include calculation of effluent discharge limits and conversion of measured C"
radiation intensities to rem values.
The candidate should be able to fill out and review radiation work permits and releases for discharge of radioactive material and describe methods for perform-ing maintenance so that he, his crew, and the general public are protected.
He should be familiar with the concept of as low as is reasonably achievable (ALARA) and be able to demonstrate his knowl-a edge regarding this concept.
Also included are questions relating i
to the procedures and equipment (processing and monitoring) for the j
handling and disposal systems of the facility, and the associated hazards.
This category may also contain questions regarding fuel, fuel handling, and core loading, including procedures and limitations concerning core loading and alteration, fuel transfer and storage',
and detection and prevention of criticality.
4.
Category 8 - Administrative Procedures, Conditions, And Limitations i
This category contains questions on administrative, procedural, and regulatory items that affect safe operation of the facility.
Included are questions on design and operating considerations and limitations as specified in the facility license, including the Technical Specifications; the procedures required to obtain-author-ity for design changes; the procedures regarding formation and.
i approval of operating procedures; the authority to approve devia-l tions from operating procedures on either a permanent or temporary
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v operation or security.
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The candidate is not expected to memorize the e. xact details, numbers, and surveillance requirements contained therein.
Questions may also cover the requirements for certain personnel to be present at certain times, the types of records that must be maintained in the control room, the facility's i
radiological emergency plan, and pertinent provisions of 10 CFR 50 and 10 CFR 55.
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ES-403 Rev. 0 9/1/83
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STRUCTURE OF WRITTEN EXAMINATIONS ADMINISTERED TO SENIOR REACTOR OPERATORS - POWER REACTORS A.
Purpose This standard specifies the format, category weights, and depth of knowl-edge for senior reactor operator written examinations.
B.
General Structure Each written examination shall be divided into four categories in accor-dance with Standard ES-402.
C.
Cover Sheet A cover sheet, with the format shown in Table ES-403-1, shall be used on all written examinations.
This sheet will provide for ready identifica-tion of the structure of the examination and, subsequently, of the relative strengths and weaknesses of the candidate after the examination has been graded.
All items in the upper corner of the cover sheet, except the name of the 3
candidate (and sometimes the date administered), should be filled out N
when the examination is prepared and reproduced.
The reactor type aids headquarters in readily correlating the examinations of similar facili-ties and should be as descriptive as possible (e.g., BWR and PWR-W).
The " Examiner" line shall contain the name of the examination author.
The first two columns on the cover sheet should be filled out at the-j time of the initial preparation.
D.
Weighting of Categories The relative weight of each category in the examination, as a percentile of total worth, shall be 25%
3% for each section.
Category 5 shall be weighted so that 15%
1% (60%
4% of the category) consists of theory of nuclear plant operations and 10%
1% (40%
4 of the category) con-sists of theory of fluids and thermodynamics.
E.
Value of Questions The examiner shall assign a point value to each question and indicate this value in parentheses after the question.
The point value of a question is a judgment factor based on the combination of the following factors:
significance of the knowledge to the senior reactor operator, difficulty of the question, amount of time required to answer the ques-tion, depth of knowledge required to answer the question, and the con-l tent of the qtestion.
Examiner Standards 1 of 3 l
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ES-403 The general structure of the examination should be such that a safe and competent operator will score above 80% on the entire test and above 70%
in each category.
The percentage attained in each category will be used, in conjunction with oral and operating test results, to identify strengths and deficiencies of the candidate.
When the candidate is sent the results of his examination, a copy of the graded examination will be forwarded to the candidate so that his re-training program can be developed.
A copy of the " Examination Results Summary Sheet" (Table ES-201-7) will also be sent by the appropriate section leader to plant management for their use in developing retraining and requalification programs.
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O Examiner Standards 2 of 3
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ES-403 TABLE ES-403-1 U.S. NUCLEAR REGULATORY COMMISSION SENIOR REACTOR OPERATOR LICENSE EXAMINATION Facility:
Reactor Type:
Date Administered:
Examiner:
Candidate:
INSTRUCTIONS TO CANDIDATE:
Use separate paper for the answers. Write answers on one side only.
Staple question sheet on top of the answer sheets.
Points for each question are indicated in parentheses after the question.
The passing grade requires at least 70% in each category and a final grade of at least 80%.
Examination papers will be picked up six (6) hours after the examination starts.
% of
]
Category
% of Candidate's Category Value Total Score Value Cateoory
+
5.
Theory of Nuclear Power Plant Operation, Fluids, and Thermo-dynamics 6.
Plant Systems Design, Control, and Instrumentation 7.
Procedures - Normal, Abnormal, Emergency, and Radiological-Control 8.
Administrative Pro-cedures, Conditions, and Limitations Totals Final Grade All work.done on this examination is my own, 1 have neither given nor O
received aid.
Candidate's Signature Examiner Standards 3 of 3-l
i I
ES-501 Q
Rev. 0 9/1/83 ADMINISTRATION OF SIMULATOR EXAMINATIONS TO REACTOR OPERATORS AND SENIOR REACTOR OPERATORS - POWER REACTORS A.
Purpose This standard pertains to the administration of simulator examinations to candidates for either reactor operator or senior reactor operator
'icenses.
This standard is applicable to examinations at simulators that are designed to be specific for the plant for which the candidate is applying for a license.
Examination scheduling and details may vary depending on such factors as (1) the geographical distance between the simulator and the plant, (2) whether the same or a different examiner will conduct both the simulator examination and the plant walkthrough oral examination, and (3) the status of plant construction.
B.
Assignment Assignment of the task of administering the simulator examination is made on the Request To Administer the Examination, as set forth in Standard ES-103.
The examinations should preferably be arranged on a time schedule mutually satisfactory to the candidates, facility licensee, and the examiners and should cover the scope as set forth in Standard ES-502.
In general, the examiner who administers the simulator examina-tion to a specific candidate will administer the plant walkthrough examination to the same candidate.
Exceptions to this general rule may be necessary and should be approved by tne appropriate section chief or branch chief.
Normally, each examiner shall complete up to four complete oral examina-tions (including simulator exams) per visit and only in exceptional cases five complete oral examinations per visit.
C.
Scheduling The simulator examinations should be scheduled reasonably close to the administration of both the plant walkthrough examinations and the written examinations in order to use the examiner resources efficiently and to minimize the length of time between the start and finish of the entire examination orocess. The following guidelines should be followed unless special conc itions exist:
1.
Cold Examinations a.
The written examinations should be administered 1 to 2 months before the plant walkthrough and simulator examinations so that the written examinations can be graded before the simu-lator and walkthrough examinations.
Normally, simulator and plant walkthrough examinations will not be given to a s
Examiner Standards 1 of 5
ES-501 candidate who has failed the written examination until he has reapplied for a second examination.
b.
The simulator examinations should be scheduled so that the same examiner can complete both the simulator and plant walk-through oral examination for a specific candidate during the same week.
Exceptions to this pref" red arrangement will occasionally be necessary.
An examr.e of an exception would be when the simulator is not located on the plant site.
2.
Hot Examinations Normally the simulater, plant walkthrough, and written examinations shall be scheduled to be completed during one visit by a group of examiners at facilities when the simulator is located on the plant site.
Special scheduling arrangements shall be negotiated with the facility when the simulator is remote from the plant site.
In this case, the written examination normally shall be conducted at the plant site rather than at the simulator site.
3.
General Several alternate methods can be used to complete-the combination simulator and plant walkthrough oral examir.ation.
(This assumes that the simulator and plant are located on the same site.)
When this situation exists, every effort should be made to complete the simulator and walkthrough portions of the oral examinations on the same day.
The ideal situation is three examiners examining one senior and two operator candidates or other combinations of three candidates.
The minimum time for the combination simulator and plant walkthrough examination is 4 hours4.62963e-5 days <br />0.00111 hours <br />6.613757e-6 weeks <br />1.522e-6 months <br /> per candidate.
The alternates shown below are examples of schemes that can be used if less than the ideal situation exists.
It is recognized that other schemes can be used and the details should be discussed with the chief examiner.
a.
Alternate 1 Day 1 - Two examiners work as a team on the simulator.
Examiner A administers the examination to Candidates 1, 2, and 3, while Examiner B administers the examination to Candidates 4, 5, and 6.
The candidates are paired off so that two exam-iners and two candidates are in the simulator control room simultaneously.
Each examination lasts about 2.5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br />.
Day 2 - Examiner A administers the plant walkthrougn examina-tion to his three candidates as does Examiner B.
Each walk-through examination shall last about 1.5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br />.
O Examiner Standards 2 of 5
4 ES-501 b.
Alternate 2 Day 1 - Examiner A administers the simulator examination to Candidate 1; simultaneously, Examiner B administers the exam-ination to Candidate 2.
Both examiners and candidates proceed to the plant to conduct the walkthrough examination thus completing the examinations for Candidates 1 and 2.
Afternoon examinations are similar except that the walkthrough examina-tions are conducted first so that examiners do not have to reenter the plant security area.
Each examiner completes two full combination simulator and walkthrough examinations.
c.
Alternate 3 Two examiners conduct examinations at simulators with Candi-dates 1, 2, and 3.
Examiner A observes and discusses manipula-tions of controls with Candidates 1 and 2 who are designated as operators.
Examiner B examines Candidate 3 at the senior level, and he is assigned the role of shift supervisor.
The candidates rotate positions so that all candidates fill all positions.
Questions are tailored to whether the candidate is a senior reactor operator or reactor operator candidate.
Six p
or more candidates are examined on the simulator per 8-hour day.
Adjustments can be made when an odd number of candidates are to be examined. Walkthrough examinations are completed on subsequent days following the simulator examinations.
4.
Senior reactqr operators and reactor operator candidates should be scheduled for an optimum mixture.
A senior reactor operator with one or two operators is preferred.
If this is not possible, senior reactor operators can be designated as operators on a rotating basis.
D.
Orientation Examiners shall request literature about the facility from the licensee training department personnel in the same manner and quantity as 4
described in Standards ES-301 and ES-201 to prepare for the written and oral examinations at the facility.
In addition, the examiners should request specific literature on the simulator, such as initialization modes and malfunction capabilities, which is available for use on exam-inations.
The procedures and Technical Specifications used for opera-tion of the simulator should be those that are also used at the plant (s).
For simulators with novel features or unusual concepts, it is likely that an orientation trip should be made in advance.
In general, when the examiner is familiar with the facilities of the same type as the one where the examinations are to be conducted, sufficient orientation can be obtained by arriving at the simulator a day (or half day) in advance of the planned examinations.
At least one member of the examining team preferably should have had previous experience in administering examina-
_/
tions at the specific simulator.
Preplanned simulator examination Examiner Standards 3 of 5
~
ES-501 programs may be tried out during the orientation period.
To make cer-tain that the candidates do not learn of the actual examination programs, the examiner should alter the programs used in the orientation periods and should not use the actual program when members of the facility staff are present.
E.
Personnel Present The number of persons present during an examination should be minimized both to ensure the integrity of the examination and to minimize distrac-tions to the candidate.
The persons present normally will be limited to the NRC examiners, other examiners witnessing the examination for train-ing or to audit the performance of the examiners administering the simulator examination, and facility staff required so that the exam-ination can be given.
Other observers such as resident inspectors, regional personnel, researchers, or NRC supervisors may be allowed to observe simulator examinations if (1) the chief examiner has approved the request in advance of the examination; (2) the candidates do not object to the observers' presence, and (3) the facility representative has approved the request to observe.
Examinations are not to be used by the licensee as training vehicles for future candidates.
F.
Use of Documents and Materials During the administration of the simulator examination, the candidates should be allowed to make use of any of the information that would normally be available to a licensed operator at that facility, including calibration curves, piping and ir.strumentatio.n diagrams, and calculation sheets.
The candidates should be able to locate these items readily and be certain of which ones they need for each task.
G.
Report of Examination The appropriate sections of the Examination Report (Standard ES-301, Attachments 1 through 3) shall be prepared for each candidate.
The Operating and Oral Examination Summary Report (see Standard ES-301, page 4) shall be prepared for each candidate.
This form shall be com-pleted in accordance with Standards ES-303, ES-304, or ES-305.
All grades (S, M, or U) will be awarded on the basis of the candidate's verbal or manipulation responses during the oral and operating examina-tions either at the simulator or during i.he plant walkthrough exam-ination.
Written comments can be used to provide background for the determination of grades and to ascertain whether the candidate's response was made during the simulator or plant walkthrough portion of the exam-ination.
Written comments or notes are required to support an unsatis-factory grade.
The Simulator Exam Report (ES-303, Attachment 1) will be completed by the examiner for each candidate who is administered a simu-lator examination and will be submitted with the Examination Report (Standard ES-301, Attachments 1 through 3).
Examiner Standards 4 of 5
ES-501 Both of the above two reports should be completed using the "S," "M,"
and "U" system to evaluate the candidate at the reactor operator or senior reactor operator level depending on the level requested in his application.
Senior reactor operator candidates who hold an operator's license and candidates for instructor certifications should be administered the same simulator examinations as those that are administered to instant senior operator candidates.
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' i Examiner Standards 5 of 5
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Rev. 0 9/1/83
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ES-502 SCOPE OF SIMULATOR EXAMINATIONS ADMINISTERED TO REACTOR OPERATORS ANO SENIOR REACTOR OPERATOR $ - POWER REACTORS f
r A.
Purpose This' standard gives the general scope and objectives of the examination that is administered'tc candidates at simulators that are specific to the facility snere the candidate has applied for a license.
The precise requirements for the nnulator examination can be varied because the sinulator. e> amination 'is considered to_0e a portich bf the overall
~
operating and cra: exarrinations coverid in Standards ES-301 through ES-305.
These standarcs cover the administration and scope of the plant walkthrough operating and oral, examinations. ~Ce'rtain topics, transients, and systems can Le covoved aTd dis 6fsstd either during the simulator examination or during the p'Isot wa0 through examination'.'
4 B.
Rules of Practice _
i:
Certain ground rules that the' examiners shall ebserve are as follows:
p) 1.
The examiners should plan the examination program before the actual
(
examinations.
Preliminary planning can be done.at the home office before the examiners travel to the simulator.
The examiners should '
review and/or'/dactico ?epresentative programs at the simulator with the simulator i'rs'tructor during the orientation period before the administration.0f the first set of examinations.
The examiners should plan che program taking into cons ~ideration (a) the number of examiners in the team, (b) the number of candidates to be examined, and (c) the number of reactor operator 3 'and/or senior reactor operators to be exhmined; Refer to StandardJES-501 for further information on metnads of' scheduling simulator examinations.
2.
Each group of candidates sho$1d be asked, as a minimum, to (a) con-duct two nora.al evelutions such as boration changes, power maneuver-ing with rods or core flow, or_ reactor startup, (b) respond to in-strument failures such as nuclear or process instrumentation failure, (c) respond to two component failures where it is reasonable to expect that a scram may not result 4 th prompt operator action, and (d) respond to a major plant transient such as a loss-of-coolant accident or los:; of electrical power. to H. Denton's
~
March 28, 1980 letter-to.powar reactor applicants lists 27 control manipulations that can'be used $pla'n examination programs.
Enclo-
'sure 4 is attached as Attachment 1 to this standard.
Another refer-
~
enceisthelist[ofmalfunctionsandinitializationmodesthatis available in simulator _sp'ecifications' and, literature.
[
3.
The candidates $hould tie, allowed time to check the control boards
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and review the plant (simulator) status before the start of the examination.
Equipment or controls may be placed in abnormal
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Examinc;r Standards, 1 of 6
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ES-502 positions to test the operator's ability to detect malpositioned controls or equipment out of service.
The examiners should inform the candidates of this possiblity when appropriate.
4.
The examiners should explain that the candidates are to operate the simulator as they would the real plant.
Discussions with examiners should be secondary to simulator operations and operator responses.
5.
Procedures should be followed and referred to as required in the real plant.
6.
The candidates should communicate with each other in such a way that the examiners can hear them.
The candidates should "think out loud" so that examiners can monitor the thought process.
7.
The candidates should communicate with the simulator instructor.
This instructor normally assumes the roles of maintenance mechanics, auxiliary operators, load dispatcher, and other personnel.
Candi-dates should be informed that all permission forms and reports should be received or written as at the actual plant.
The simulator instructor should fill the role of any personnel not present.
8.
The candidates should be informed that they should use all available information (e.g., procedures, Technical Specifications, and graphs),
as they would in the real control room.
9.
The examiners should give the candidates an opportunity to ask questions before the start of the examination.
10.
The examiners should limit discussions on topics pertaining to design and theory so that maximum use of the simulator is realized.
The examiners should give proper consideration to the fact that the candidates are operating the simulator as if it were the plant and are anticipating the insertions of malfunctions.
Simulator-hold periods can be announced by the examiners at appropriate times if needed for questions and answers; however, this may disturb the concentration of candidates.
Examiners should note subjects on which discussions are advisable.
These discussions can then be held at a convenient period during the simulator examination, at the end of the simulator examination, or during the plant walkthrough.
11.
Before the examination a suitable communication system should be set up between the examiners and the simulator instructor so that malfunctions can be inserted into the simulator without warning to the candidates.
Many methods can be used depending on the simulator design.
The malfunctions to be used should be selected by the examiners.
These malfunctions and any limitations or expected l
response characteristics should be discussed with the instructor.
Reasonable precautions should be taken so that the program is not revealed to the candidates before the examination.
One method is Examiner Standards 2 of 6
g
(
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FS-502 v'
to assign predetermined times for the sequence of malfunctions so that both examiners and instructors are aware of what event is about to occur or is occurring.
12.
Senior reactor operator candidates should be evaluated on their ability to direct operators and to diagnose and identify the cause of plant transients that are inserted into the simulators.
Operator candidates should be evaluated on their ability to inform the senior operator of parameter changes, operator actions taken and automatic actions that take place during both normal evolutions and transient conditions.
These ground rules should be explained to the candidates before the examination.
Senior reactor operator and reactor operator candidates should be scheduled in examination groups for an optimum mix as discussed in Standard ES-501, Section C.3.
If all candidates are operators in a particular group, they will be evaluated on their tean work and communication ability rather than their ability to direct others.
Senior reactor operator candidates also shall be requi ed to manipulate any or all of the simulator controls and have a higher degree of ability to diagnose events than that expected of an operator candidate.
The difference between satirfactory operator knowledge and senior operator knowl-edge, to a large extent, is the same on a simulator examination as tnat expected on a plant walkthrough oral examination.
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13.
The examiners are encouraged to request copies of logs, recorder charts, computer typewriter printouts, and other material to attach as supplements to their oral notes if appropriate.
14.
The examiners can make assignments to the operators so that they share the responsibility for actions.
For example, one candidate can be assigned the balance of plant while the other operator (s) are responsible for the reactor controls.
Also, one operator can be assigned a specific task at the appropriate time, such as restarting a pump and establishing flow or placing the turbine generator on the line.
Frequently, it is necessary to make defi-nite assignments to a candidate who is less forceful than the candidate with whom he is teamed.
However, normai shift responsi-bilities as used at the facility should be observed, if possible, to evaluate the candidates under realistic conditions.
15.
The examiner can make cautious use of such features as backtrack, freeze, and other simulator capabilities if they contribute to the fair evaluation of the candidates.
16.
If the simulator should become inoperable, causing excessive delay of the examination, the chief examiner should discuss the situation with the responsible section leader or regional section chief so that a decision on whether or not to cancel the examination visit (m) can be made.
v Examiner Standards 3 of 6
ES-502 C.
References Letter from H. Denton (NRC) to All Power Reactor Applicants and Licensees,
Subject:
Qualifications of Reactor Operators, Mar. 28, 1980.
O O
Examiner Standards 4 of 6
ES-502 ATTACHMENT 1 CONTROL MANIPULATIONS 1 The following control manipulations and plant evolutions where applicable to the plant design are acceptable for meeting the reactivity control manipulations required by Appendix A, Paragraph 3.a. of 10 CFR Part 55.
The starred items shall be performed on an annual basis; all other items shall be performed on a two year cycle.
However, the requalification programs shall contain a commitment that each individual shall perform or participate in a combination of reactivity control manipulations based on the availability of plant equipment and systems.
Those control manipulations which are not performed at the plant may be performed on a simulator.
The use of the Technical Specifications should be maximized during the simulator control manipulations.
Personnel with senior licenses are credited with these activit.ies if they direct or evaluate control manipulations as they are performed.
PWR/BWR/HTGR
- (l) Plant or reactor startups to include a range that reactivity feedback from nuclear heat addition is noticeable and heatup rate is established.
(2) Plant shutdown.
- (3) Manual control of steam generators and/or feedwater during startup and shutdown.
(4) Boration and or dilution during power operation.
- (5) Any significant (J 10%) power changes in manual rod control or recirculation flow.
(6) Any reactor power change of 10% or greater where load change is per-formed with load limit control or where flux, temperature, or speed control is on manual (for HTGR).
- (7) Loss of coolant including:
1.
significant PWR steam generator leaks 2.
inside and outside primary containment 3.
large and small, including leak-rate determination 4.
saturated reactor coolant response (PWR).
p (8) Loss of instrument air (if simulated plant specific).
1 Source: of H. Denton's March 28, 1980 letter.
Examiner Standards 5 of 6
ES-502 (9)
Loss of electrical power (and/or degraded power sources).
- (10) Loss of core coolant flow / natural circulation.
(11) Loss of condenser vacuum.
(12) Loss of service water if required for safety.
(13) Loss of shutdown cooling.
(14) Loss of component cooling system or cooling to an individual component.
(15) Loss of normal feedwater or normal feedwater system failure.
- (16) Loss of all feedwater (norma] and emergency).
l (17) Loss of protective system channel.
(18) Mispositioned control rod or rods (or rod drops).
(19) Inability to drive control rods.
(20) Conditions requiring use of emergency boration or standby liquid control system.
(21) Fuel cladding failure or igh activity in reactor coolant or offgas.
(22) Turbine or generator trip.
(23) Malfunction of automatic control systero(s) which af fect reactivity.
(24) Malfunction of reactor coolant pressure / volume control system.
(25) Reactor trip.
(26) Main steam line break (inside or outside containment).
(27) Nuclear instrumentation failure (s).
O.
Examiner Standards 6 of 6
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i ES-601 i
Rev. 0 9/1/83 ADMINISTRATION OF NRC REQUALIFICATION PROGRAM EVALUATION 2
A.
Purpose i
This standard establishes the procedures for administering the NRC evalu-j ation of utility requalification programs.
Included are methods of selecting utilities to be evaluated, methods of auditing, evaluation cri-1 teria, action guidelines, and required administrative forms and records.
B.
Program Description i
The NRC regional staff will determine the schedule for facility audits based on the criteria described in Paragraph C below.
During these i
audits, the staff shall evaluate the strengths and weaknesses of the i
facility requalification program.
The methods that can be used to conduct this evaluation are (1) to substitute an NRC-developed written examination or section of the written examination for the facility-developed written examination, (2) to conduct NRC oral and/or simulator examinations on selected candidates, and/or (3) to observe facility-l administered oral / simulator / written examinations on subject areas j
determined by the NRC.
The written evaluation program will include as a minimum (1) one oral j
examination administered by an NRC-certified examiner and (2) parallel J
grading of the current written examination for each facility selected for audit.
The examinations should emphasize cperational knowledge rather than strictly theoretical information.
Review of facility grading of previously i
administered written rer;ualification examinations also may be performed.
i This effort, together with actual operating experience, will provide an l
indication of the effectiveness of the licensee's overall operator requali-fication program.
The extent of NRC participation may be adjusted as NRC j
resources and ocerall requalification examination results dictate.
I i
C.
Selection Criteria The regional administrator or his designee will establish the priority of facilities to be evaluated based on the following inputs:*
1
{
l.
licensee event report history and recent facility performance, which j
relates to licensed operator performance 1
2.
previous ratings on Systematic Assessment of Licensee Performance (SALP), Criterion 7, Training Effectiveness and Qualification j
3.
recent operator licensing and NRC requalfication examination results 1
i i
- These are not intended to be all inclusive.
Other selection criteria may be appropriate as determined by the region.
i i
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Examiner Standards 1 of 15 I
ES-601 4.
training program accreditation (such as the Institute of Nuclear Power Operations' (INPO) Facility Training Accreditation Program) 5.
recommendations by senior resident inspectors or NRC examiners 6.
results of routir.e inspection of the facility licensed operator training program 7.
length of time since last evaluatian 8.
number of shifts and number of licensed operators 9.
size of plant training staff in relation to the number of licensed operators For the above criteria, the following policies apply:
1.
Any plant evaluated as SALP Category 3 in the area of licensed operator training effectiveness and qualifications or any plant with a large number of errors by licensed operators or that has had a particularly serious error committed by licensed operators should be assigned the highest priority.
2.
Except as specified in (3) below, any plant that has not been evaluated in the previous 2 years shall be selected.
3.
Any plant evaluated as SALP Category 1 in the area of licensed operator training or having an INPO-accredited Operator Requalifi-cation Program may be considered for a 50% extension of the nominal biennial evaluation (e.g., NRC participation every 3 years).
D.
Examination Format Several options are available for evaluation of the facility requalifica-tion training program by NRC examiners to allow for the best use of available resources and for concentration on programs suspected to be weak.
The regional administrator or his designee is responsible for determining the level of participation or performance by the NRC in the facility requalification program.
The intent is to conduct the full audit program to the greatest extent possible.
Although flexi-bility has been provided in the program because of resource constraints, l
the regional administrator should ensure that the maximum program pos-i sible within available resources is conducted.
This determination will be made on a case-by-case basis, taking into consideration individual facility strengths and weaknesses.
However, the following guidelines should be observed:
1 1.
During every site visit to conduct requalification program evalua-tions, the NRC examiner shall directly participate in at least one portion of the program (e.g., the administration of an oral examina-tion).
NRC-administered oral examinations are permitted regardless of whether they are normally administered as part of the facility's NRC-approved requalification program.
Examiner Standards 2 of 15
ES-601 2.
Written examinations prepared by NRC examiners (either an entire examination or sections of an examination) shall be administered to those facilities that exhibit significant deficiencies in portions or all of their requalification program as determined by the regional operator licensing staff.
If no NRC written examination is admin-istered, copies of the facility-administered written examination should be given to the NRC examiner before facility grading.
The examiner should grade selected portions of the examinations in parallel with the facility training staff and then compare NRC grading and facility grading as part of the requalification program evaluation.
3.
The NRC written requalification examination should primarily be on the learning objectives stated in the materials used by the facility in its requalification program.
Content and format of this examina-tion should be the same as that currently required by the licensee-approved requalification examination program.
4.
For facilities with plant-referenced simulators, the requalification audit examination should include evaluation of operators and senior operators on the simulator to the greatest extent possible.
For plants without plant-referenced simulators, oral walkthrough exam-inations should parallel simulator scenarios used for simulator evaluations as closely as possible.
E.
Program Administration Program administration is the responsibility of the NRC regional offices.
Each regional office should maintain a current facility requalification schedule for each facility in its region.
NRC will request facility schedules annually when the generic letter requesting replacement and instructor certification examinations is issued and will provide these schedules to the regional offices.
Facilities may adjust their program l
examination dates to even out NRC examiner workload, if agreed to by the l
facility and the regional staff.
Once a schedule is mutually agreed upon by the NRC regional office and the facility, it should not be l
changed except for special circumstances (such as outages).
Facilities should normally be contacted at least 3 months before the scheduled l
requalification examination dates.
Tentative examiner assignment (s) should be made at this time (see Attachment 1).
Following the guidelines of Paragraphs C and 0 above, the extent of the requalification program evaluation will be determined by the region.
Reference material required from the facility to prepare for the requalification audit should be requested from the facility approximately 60 days before the scheduled visit, using the format of Attachment 2 as a guide.
The facility should not be notified of the extent of NRC participation in the facility training program before the site visit.
The assigned examiner (s) should prepare for the examination elements to be conducted in accordance with the appropriate operator licensing standards.
Once at the site, the s
)
examiner (s) shall meet with facility management, review with them what V
the level of participation will be in their program, and arrange the details necessary to conduct the evaluation.
Portions of the requalifi-cation examination included by the NRC. examiner (s) shall be operationally Examiner Standards 3 of 15
,-,e
ES-601 oriented and conducted in accordance with tnis and existing operator licensing standards for oral and simulator examinations.
However, all portions of simulator and oral examinations need not be administered.
If a complete or partial NRC written examination is administered, the regional option for facility review of the examination and answer key selected from Operator Licensing Standard ES-201 should be followed.
Required forms and reports are included as Attachments 3 through 7.
The appropriate portions of NRC Form 157, " Operator Examination Report," shall be used for NRC-administered oral examinations and the appropriate por-tions of NRC Form 309, " Simulator Exam Report," shall be used for NRC-administered simulator examinations.
When the program evaluation is completed, an exit briefing should be conducted and any significant pro-gram deficiencies noted up to that time should be discussed.
The exami-ner(s) will g indicate whether the program is evaluated as satisfactory or unsatisfactory at the exit briefing.
After returning to the regional office, the examiner (s) shall grade the written examinations and review the results of his (their) evaluation.
The examiner (s) shall then recommend an overall satisfactory or unsatis-f actory evaluation of the licensee requalification program ( Attachment 6) and forward the results for approval as established by regional direc-tives.
Included, as an attachment to the form, will be the names of those individuals with unsatisfactory results on some portion of the examination and for whom the facility should take corrective action as required by its approved requalification program.
F.
Program Evaluation The overall evaluation of the program adequacy should fall into one of the following three categories:
(1) programs evaluated as satisfactory, (2) programs evaluated as unsatisfactory, or (3) programs clearly falling between a satisfactory and an unsatisfactory evaluation.
The criteria for each of the categories follow.
1.
To be evaluated as satisfactory a program should meet the following criteria:
a.
NRC-Administered Examinations More than 80% of the evaluated operators passed all portions of the examinations or sections of the examinations admin-j istered by NRC examiners.
b.
Facility-Administered Examinations (1) Observed portions of the facility-administered examina-tion are determined by the NRC examiner to have been adequately performed by the facility staff.
O Examiner Standards 4 of 15
m (vb ES-601 (2) Facility graded written examination results are within
+10% per section of the results reached by NRC examiners grading the same examinations.
(3) More than 80% of the final pass / fail evaluations made by both the facility and the NRC are in agreement.
(4) The facility prepared examinations adequately cover the technical subjects required by the requalification pro-gram and Appendix A to 10 CFR 55.
2.
To be evaluated as unsatisfactory are those programs where:
a.
NRC-Administered Examinations Less than 60% of the evaluated operators passed all portions of the examinations or sections of examinations administered by the NRC examiners, b.
Facility-Administered Examinations (1) Significant deficiencies in the level of knowledge or O
competence is observed in the facility training staff, as
'Q-evidenced by lack of sufficient coverage of material in examinations and a lack of followup to identify weak areas or improper assisting / coaching of operators being orally examined.
(2) The facility graded written examination results are higher than those of the examinations graded by NRC examiners by more than 20% per section (i.e., NRC grade + 20%).
(3) There is less than 60% agreement between the final pass / fail evaluations made by the facility and the NRC.
When a program is evaluated as unsatisfactory, the regional admin-istrator or his designee shall require the licensee to propose corrective actions and implementation schedules.
Corrective actions, implementation schedules, and followup audits and reports shall be established by the regional administrator or his designee.
3.
Programs clearly falling between a satisfactory and an unsatisfac-tory evaluation include those where only 60 to 80% of the examiners passed all portions of examinations administered by NRC examiners.
Because only a sample (20%) of licensed operators is tested, there is an increased risk of decision errors regarding the acceptability of the utility training program (i.e., evaluating a satisfactory w
program as unsatisfactory or vice versa).
This risk is further V) increased for overall examination results in the middle ranges (60 to 80% passing).
Therefore, the final evaluation in this range l
Examiner Standards 5 of 15 l
ES-601 should be made by the regional staff to ensure a fair evaluation is made of the program.
This evaluation should include consideration of other indications of the licensee's commitment to provide high quality training to the licensed operators.
T.his may include:
a.
trends indicated by the evaluation of selection criteria in Paragraph C b.
facility management response in the exit briefing c.
facility proposals for corrective actions d.
ongoing efforts by the facility to upgrade the training Performance on a second, subsequent requalification program audit in the marginal range shall result in an unsatisfactory rating.
For those programs clearly falling between a satisfactory and an unsatisfactory evaluation, the regional administrator or his desig-nee should request the licensee to identify proposed corrective actions and schedules for their implementation.
Corrective action schedules for implementation and followup audits or reports should be established by the regional administrator or his designee.
G.
Renewals If a satisfactory evaluation is reached, requests for renewals will be made based on proper certification by facility officials until the next program evaluation.
If an evaluation clearly falls between a satisfactory and an unsatisfac-tory rating, renewals should be made if the corrective actions identi-fied are being implemented to the extent and in accordance with the schedule established above.
If an evaluation is unsatisfactory, renewals will be issued only for those operators who pass an examination administered in whole or in part by NRC until identified correctiva actions have been implemented. The regional administrator or his designee may agree to accept facility certification and issue renewals based on this certification when they have determined that program quality has been upgraded to satisfactory as indicated by additional audits, inspections, or other reviews of the licensee's performance.
H.
Records A facility requalification file shall be maintained for each facility.
All evaluation forms, records, assignment sheets, and correspondence relating to the requalification program audit for the latest two evalu-ations shall be retained.
This file should also contain a copy of the NRC-approved requalification training program and any requested or Examiner Standards 6 of 15
i i
ES-601 approved amendments (such as the responses to Task Action Plan Items l
I.A.2.1 and II.B.4) and the associated approval letters or safety evalu-l ation reports.
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1O Examiner Standards 7 of 15
ES-601 ATTACHMENT 1 ASSIGNMENT TO EVALUATE LICENSED OPERATOR REQUALIFICATION PROGRAM NRC Examiner (s):
Assignment To Evaluate Licensed Operator Requalification Program at You are assigned to evaluate the requalification program at the above named facility.
Please make arrangements to perform the following aspects of the evaluation program:
Generate a complete written examination to replace the facility reactor operator (RO) examination.
Generate a complete written examination to replace the facility senior reactor operator (RO) examination.
Generate the following section(s) of a written examination to replace the respective portion (s) of the facility R0/SR0 examination:
1 2
3 4
5 6
7 8
Administer plant oral examinations.
_ _ Administer simulator examinations.
Review gradirg of previous examinations.
Date(s) of Evaluation:
Facility
Contact:
Simulator Location:
Comments:
O Examiner Standards 8 of 15
,m (V
\\
ES-601 ATTACHMENT 2 FORM LETTER TO FACILITY VICE PRESIDENT - REFERENCE MATERIAL REQUIRED Date:
To:
Subject:
Requalification Program Evaluation In a telephone conversation between Mr.
(title, i.e.,
training coordinator) and Mr.
(section chief),
arrangements were made for an evaluation of the requalification program at the (facility name).
The evaluation visit is scheduled for the week of (date).
For this visit, the direct involvement of the NRC examiner in your examining process can vary from simply monitoring examinations admin-istered by your training personnel to NRC-administered written, oral, and simulator examinations.
When the NRC examiner arrives at the site, he will meet with the appropriate facility personnel and brief them at O
that time as to the extent of his direct involvement in the examinations.
(
For the examiner to adequately prepare for this visit, it will be neces-sary for the facility to furnish the approved reference material listed in Enclosure 1, " Reference Material Requirements for Requalification Program Evaluations," by (date).
Mr.
has been advised of our reference material requirements and where they are to be sent.
This request for information was approved by the Office of Management and Budget under Clearance Number 3150-0101, which expires June 30, 1986.
Comments on burden and duplication may be directed to the Office of Management and Budget, Reports Management Room 3208, New Executive Office Building, Washington, D.C. 20503.
Thank you for your consideration in this matter.
If you have any questions on the evaluation process, please contact (regional section chief and telephone number).
Sincerely, (Appropriate Regional Representative)
DISTRIBUTION:
o Project Manager (V
)
Resident Inspector Regional Section Leader Examiner (s)
Facility Training Coordinator Examiner Standards 9 of 15
ES-601 ENCLOSURE 1 REFERENCE MATERIAL REQUIREMENTS FOR REQUALIFICATION PROGRAM EVALUATION 1.
All administrative procedures (as appiicable to reactor operation or safety) 2.
All integrated plant procedures (normal or general operating procedures) 3.
Emergency procedures (emergency instructions, abnormal, or special procedures) 4.
Standing orders (important orders which are safety related to and may supersede the regular procedures) 5.
Fuel-handling and core-loading procedures (initial core-loading procedure, when appropriate) 6.
Annunciator procedures (alarm procedures, including set points) 7.
Radiation protection manual (radiation control manual or procedures) 8.
9.
Technical Specifications 10.
Lesson plans (training manuals, plant orientation manual, systems descriptions) 11.
Systems operating procedures 12.
Piping and instrumentation diagrams, electrical single-line diagrams, or flow diagrams 13.
Copies of facility R0 and SR0 requalification examinations i
administered during the past 2 years l
l All of the above referenced material should be approved, final issues t
and should be so marked.
Uncontrolled, preliminary, or other such issues l
will not be acceptable.
All procedures and reference material should be bound or in the form used by the control room operators, with appropriate indexes or tables of contents to ensure efficient use.
O Examiner Standards 10 of 15
O ES-601 ATTACHMENT 3 REQUALIFICATION ORAL EXAMINATION AUDIT Requalification Oral Examination, Audit Type of Examination R0 SR0 INSTRUCTOR Facility Examiner Appraiser Facility Requalification Candidate Date Appraised Satis-Unsatis-Rating Factors factory factory Comments (3
1.
Plant coverage a.
Plant operations b.
Major systems c.
Emergency core cooling systems d.
Auxiliary systems e.
Nuclear f.
Radiation instrumentation g.
Electrical 2.
Knowledge of facility and its procedures a.
General knowledge of facility b.
Specific knowledge of facility c.
Specific knowledge of procedures 3.
Ability to evaluate operator a.
Quality of questions b.
Asks followup questions when necessary c.
Appropriate questions for type of candidate 4.
Appropriate balance of examination 5.
Report completion 6.
General comments D)
Examiner Signature Examiner Standards 11 of 15
ES-601 ATTACHMENT 4 REQUALIFICATION SIMULATOP EXAMINATION AUDIT Requalification Simulator Examination Audit Type of Examination R0 SR0 INSTRUCTOR Facility Examiner Appraiser Facility Operator (s)
Date Appraised Satis-Unsatis-Rating Factors factory factory Comments 1.
Scenario coverage a.
Normal evaluations b.
Abnormal events c.
Major transients 2.
Scenario content a.
Realism b.
Continuity c.
Challenge 3.
Operator evaluation a.
Detects incorrect action b.
Probes operator when appropriate l
l 4.
Report completion 5.
General corr.nents Examiner Signature O
Examiner Standards 12 of 15
l l
1 ES-601 l
ATTACHMENT 5 NRC-ADMINISTERED REQUALIFICATION EXAMINATION RESULTS
SUMMARY
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ES-601 ATTACHMENT 6 REQUALIFICATION PROGRAM EVALUATION REPORT Facility:
Examiner:
Date(s) of Evaluation:
Areas Evaluated:
Written Oral Simulator j
Written Examination 1
1.
Evaluation of examination:
i 2.
Evaluation of facility examination administration:
3.
If NRC examination was substituted for facility examination (or sections thereof), attach examination summary sheet to this form.
Summary sheet attached 4.
Evaluation of examination grading:
Oral Examination i
1.
Overall evaluation l
2.
Number observed Number conducted Simulator Examination 1.
Overall evaluation 2.
Number observed Number conducted Overall Program Evaluation f
1 Satisfactory Marginal Unsatisfactory (List major defi-ciency areas with l
brief descriptive l
comments) l l
Submitted:
Forwarded:
Approved:
)
Examiner Section Chief Branch Chief i
Examiner Standards 15 of 15
N",c F oav 33s U S NUCLE AR REGUL ATORY COMMISSION BIBLIOGRAPHIC DATA SHEET 4 Ta TLE AN D SUBTIT LE (Aos vor me No. of woroor**tel u
2 ! Leave D> anal I
Uperator Licensing Examiner Standards 3 RECIPIENT'S ACCESSION NO 17AU T H O R iS1 5 D ATE REPORT COYPLE TED MONTH l YEAR September 1903 9 PE RF ORVING ORGANi2ATION N AVE AND M AlltNG ADDRESS (Include 2.0 Codel DATE REPORT ISSUED Division of Human Factors Safety vosTH
[vcAa Office of Nuclear Reactor Regulation October 1983 U. S. ?!uclear Regulatory Connission 6'*"
i Aashington, DC 20555 8 ILeave Dianno 12 SPONSORING ORG ANIZ ATION N AVE ANO V AILING ADDRE SS //nc'uor la Code' O PROJECT TASN WORK UNIT NO Same as 9.
It CONTR ACT NO I
13 TvPE OF REPORT
@ erator Licensing Examination i Standards for 3RC Exaniners i
15 wPPLE VE N T A RY N OTE S 14 (Leave o** 8 16 A BSTR ACT (200 + ords or tess)
The Operator Licensing Exaniner Standards provides nolicy and guidance to MRC exaniners
-1 establishes the procedures and oractices for exanining and licensing of apolicants 7
(
) HRC operator licenses pursuant to Part 55 of Title 10 of the Code of Federal Q ulations (10 CFR 53).
It is intended to assist NRC Exaniners and facility licensees to understand the examination process better and to provide for equitable and consistent adninistration of exaninations to all applicants by IF.C exaniners.
This standard is not a substitute for the Operator Licensing P.egulations.
As approcriate, this standard iiill be periodically revised to accommodate connents and reflect new infornation or exnerience.
'*EY ACR OS AND DOCUVE NT AN ALy3:E 1 74 DE SC aiP T O RS l
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UNITED STATES
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NUCLEAR REGULATORY COMMISSION
'0572 t 6'tE5'alo WASHINGTON. D.C. 20555
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,e OFFICIAL BUSINESS PENALTY FOR PRIV ATE USE $300 t
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