ML20216F759
| ML20216F759 | |
| Person / Time | |
|---|---|
| Issue date: | 01/16/1997 |
| From: | Lesar M NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Tovmassian H NRC OFFICE OF NUCLEAR REGULATORY RESEARCH (RES) |
| Shared Package | |
| ML20216F483 | List: |
| References | |
| FRN-62FR42426, RULE-PR-55 AF62-1-024, AF62-1-24, NUDOCS 9709120091 | |
| Download: ML20216F759 (17) | |
Text
_ __ _ _ - _ _ - _ _ _ _ _ _ _ _ _ _ _ - . _ - _ _ _ _ _ _ _ _ _ _ _ _ _ __ ._ ____ _
. .. n g p
'. UMTED STATES A m-l s* W 8. NUCLEAR REGULATORY COMMISSION
. waswiwotow, o.c. met FD&
January 16, 1997 HEHORANDUM 10: Harry Tovmassian Division of Regulatory Applications Offj.
fROM:
kc[e[pf [ Nuclear s r, i'eRegulatory
- Research Rules Review Section Rules Review and Directives Branch Office of Administration
SUBJECT:
REVIEW Of PROPOSED RULE ENTITLED "lNITIAL LICENSED OPERATOR
. EXAMINATION REQUIREMENTS" The Rules Review and Directives Branch has reviewed the aroposed rule that would require nuclear power plant licensees to prepare tie written examinaticos and operating tests that the NRC would use to evaluate the com)etence of Individuals applying for operator licenses. We have attached a marted copy of the proposed rule that presents editorial and format changes.
These changes should be made before the rule is submitted for publication in the Federal Register.
! We have requested that the Office of information Resources Management review the proposed rule for compliance with the Paperwork Reduction Act. You should contact Brenda Shelton (415-7230) for further guidance concerning this matter, if you have any questions regarding our comments, please contact Michael T.
Lesar on 415-7163 or Alzonia Shepard on 415 6864.
Attachment:
As stated 9709120091 970904
- i 5562h42426 PDR
(7590-01-P]
NUCLfAR REGULATORY COMMISSION 10 CfR Part 55 RIN3150-AFC1 Initial Licensed Operato- Examination Requirements ACLNCY: Nuclear Regulatory Commission.
AC110N: Proposed rule.
SUMMARY
- The Nuclear Regulatory Commission (NRC) is proposing to amend its G// nt< ek.jn act' regulations to require thatjpowergrenetefac44ity licensees prepare the writtenexaminationsandoperatingtes,tsthattheNpCusestoevaluatathe shbat/ci A- 4Aw < s p se a lo v pu ~ < +
competence ofg<hed,1rense appl'ica(ts /,t The ja those proposed facilitics.
/ G rr amendment would-als require the NRC to review and approve each examination and test and preserve the NRC's authority to prepare the examinations and tests, as necessary, to maintain the proficiency of its license examiners.
)/it y21 s a e/ .s<t/r (Ur r aw ..r f n h,/ / /hef /M r
))his_ authority could also-be invoke %sttuuld thp4(RC-los(cogfidence in an g f .443 clu4w fy +f +
2el.sglity licensee's ability to prepare these examinatrons acceptably. Thisgespe;r/
ctior i llow the NRC to eliminate betwes $3 million and $4 million in contrastor support for examination preparation and administration.
DATES: Submit comments by (Insert the date 75 days after publication in the federal Register). Comments received after this date will be considered if it is practical to do so, but the Commission is able to assure consideration only for comments received on or before this date.
/cs sis /tvin frk n JO.bn:i$$1,7 < osnni<<r/f pler//ri>p<<Hy .rer /N </'t r~.rt&n unc.ter FA r/nn n A/ or st' s'/e SEsty/r n)eiW'a// h N"'WN/'Q ADDRESSLS: Comments may be sent to: Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555. Attn: Docketing and Service Branch. Hand deliver comments to 11545 Rockvi,e Pike, Rockville, Maryland, between 7:45-[/v a.m. and 4: 15 p.m. on federal workdays.
/
W Comments may be submitted electronically, in either ASCil text or Wordperfect format (version 5.1 or later), by calling the NRC flectronic Bulletin Board (HBS) on fedWorld. The bulletin board may be accessed using a personal computer, a modem, and one of the commonly available communications software packages, or directly via Internet. Background documents on the rulemaking are also available, as practical, for downloading and viewing on h the bulletin board.
[\ If using a personal computer and modem, the NRC rulemaking subsystem on ledWorld can be accessed directly by dialing the toll free number (800) 303-(/'
\k 9672. Communication software parameters should be set as follows: parity to none, data bits to 8, and stop bits to 1 (N,8,1). Using ANSI or VI-100 terminal emulation, the NRC ruiemaking subsystem can then be accessed by selec t ing t he " Rules Menu" opt ie'i f rom the "NRC Main Menu." Users will find the "ledWorld Online User's Guides" part icularly helpf ul . Many NRC suosystems and data bases also have a " Help /Information Center" option that is tailored to the particular subsystem.
The NRC subsystem on fedWorld can also be accessed by a direct dial phone number for the main fedWorld BBS, (703) 321-3339, or by using Telnet via internet: fedworld. gov. If using (703) 321-3339 to contact fedWorld, the NRC subsystem will be accessed from the main FedWorld menu by selecting the
" Regulatory, Government Administration and State Systems," then selecting
\"Regulat ory Informat ion Mall . " At that point, a menu will be displayed that 2
~
has an option "U.S. Nuclear Regulatory Commission" that will take you to the NRC Online main menu. The NRC Online area also can be accessed directly by typing "/go nrc" at a fedWorld command line, if you access NRC from fedWorld's main menu, you may return to fedWorld by selecting the " Return to
, ledWorld" option from the NRC Online Main Menu. However, if you access NRC at '
fedWorld by using NRC's toll-free number, you will have full access to all NRC systems, but you will not have access to the main fedWorld system, t if you contact fedWorld using Telnet, you will see the NRC area and menus, including the Rules Menu. Although you will be t.ble to download documents and leave messages, you will not be able to write comments or upload files (comments). If you contact fedWorld using fiP, all files can be accessed and downloaded but uploads are not allowed; all you will see is a list of files without descriptions (normal Gopher look). An index ffle listing all files within a subdirectory, viith descriptions, is available.
There is a 15-minute time limit for TTP access.
Although fedWorld also can be accessed through the World Wide Web, like l IlP that mode only provides access for downloading files and does not display i
the NRC Rules Menu.
for more information on NRC bulletin boards call Mr. Arthur Davis, Systems Integration and Development Branch, NRC, Washington, DC 20555, hone (301) 415-5780; e-mail AXD30nrc. gov. o r]7-p$'"a 4J' singlo copies of _this proposed rulemaking may be obtained by written /,g p r*
r V Distribution Services, Printing and requestortelefax((301)415-2260)[from:
p-h 3/
blServicesBranc Office of Administration, U.S. Nuclear Regulatory p t* l~ f Commission,WashingtonDC20555.f'CEtaindocumentsrelatedtothis .p/ p/y,
^
l Vcyc, rulemaking, including comments received, may be examined at the NRC Public d 3
. - _ _ . - - . . .. - - _. . - . - - _ _ _ _ _ = - . . . - - . -. .-
Document Room, 2120 L Street NW., (Lower Level), Washington, DC. These same documents may also be viewed and downloaded electronically via the Electronic.
Bulletin Board established by NRC for this rulemaking as indicated ahue. i in Gpp/e,,pilbuY fMbtomble f0R TURillER INFORMATION CONTACT: llarry S. Tovmassian, Office of Nuclear l Regulatory Research, U.S. Nuclear Regulatory Commission, Washington, DC 20555, telephone (301) 415-6231; e-mail HST@nrc, gov.
SUPplfMLNTARY INFORMAT10N:
Background /k Section 107 of the Atomic Energy Act (AFA) of 1954, as amended, requires the NRC to determine the qualifications of individuals applying for an operator license, to prescribe uniform conditions for licensing such individuals, and to issue licenses as appropriate. Pursuant operator license applicants are offryl-by ,@ Cf R Part 55)to pass an ignuo examination satisfying the basic content re irements specified in the regulation. AlthoughneithertheAEAnorhart55specifywhomustprepare, administer, or grade these examinations, the NRC has traditionally performed those tasks itself or through its contract examiners. The NRC and its contract examiners use the guidance in NUREG-1021, " Operator Licensing Examination Standards for Power Reactors," to prepare the initial operator l
p licensing examinations. This document has been reHmd{as '
perience in e>x>va preparing these examinations has been acquire current version is designated as Revision 8.-
4
, c c/_.
,/
f,n u>); y to & ,IJ ~ ~ '
/ N k-ad 4e allow greater participation in the initial operator T
./ pajahh licensing-process by facility licensees and t+p[the li x' contractor assistance in this are< , kNRC staff informed the Commission in
% ~ -._.
SLCY-9T~6 7 5 " proposed Changes to the NRC Operator Licensing program " on 1
March 24,199Q--f its intent to modify thi <r-eeldeii weub4-aMow f
/
the-NRC-.toaWhett (fetween 53 milTion and 54 million in contractor support //
for initial operator licensing examination preparation and administrationIOn 2y;,,,4 I 8
119 t-April 18. 1995, theCommissionapprovedthefstaff'sproposaltoinitiatea transition process to revise the operator licensing program and directed the staff to carefully consider experience from pilot examinations before full implementation of the changes. On August 15,1995,theTs# taff issued Generic Letter (GL) 95-06, " Changes in the Operator Licensing program " outlining the revised examination development process and soliciting volunteers to partici,pate in pilot examinations to evaluate and refine the methodology, pRL Hetween October 1, 1995 and April 5, 1996, the staff reviewed and approved 22 operator licensing examinations, including both the written 4
examinations and the operating tests, ' " m epared by the facility licensees, These examinations were prepared using the guidance in Revision 7 (Supplement 1) of NURLG-1021 and the additional guidance in GL 95-06. These examinations were used to test 146 reactor operator and senior reactor operator applitants, the results of the pilot examinations were discussed in SECY-96-123, "proposcd nges to the NRC Operator Licensing program," dated June 10, 1996.
Based on t1, results of the pilot program, the staff recommended that the O
F 5
. .- _ . . _ . - _ , _ . . _ . . - - , . , , _ . . , , , - , . , ~ . _ _ , ____J
Commission approve _ the implementation of the new examination process' on a-voluntary basis until r21emaking could-be completed to require alll power reactor facility licensees to prepare the entire _ initial examination for reactor operators and senior reactor operators and to proctor the writts.n portion of the examination. On July 23, 1996, the Commission authorized the ff to continue the pilot examination process on a voluntary basis and fl#'
requested the[ staff to develop a detailed rulemaking plan to justify the changes that may be necessary to 10 CFR Part 55. The Commission also directed RL the taff to address a number of additional itemi (e.g., pros, cons, and vulnerabilities) regarding the revised examination process to facilitate a Commission decision on whether to implement the revir,ed process on an industry-wide basis, pill On September 25, 1996, the staff forwarded the requested ralemaking plan and a response to the additional items to the Commission in SECY-96-206 "Rulemaking Plan for Amendments to 10 CFR Part 55 to Change Licensed Operator Examination Requirements." On December 17, 1996, the Commission directed the Nftafftoproceedwiththeproposedrulemaking.
3 Discussion -
J A The pilot program demonstrated that the revised examination development process can be both effective and efficient. Implementing the revised examination process allowed the b&staff to eliminate between 53 million and h
14 million per year in contractor support for examination preparation and administration.
6 T
.. -. .- - - -_ _ -_ -- - -. . . ..= - -- _
Conrnents from the NRC staff and industry personnel who participated in the pilot examinations were generally' favorable. The quality of the
-administered examinations (as modified by the NRC) and the performance of the individuals who took the eximinations were comparable to the quality of and the performance on examinations written by the NRC staff or its contractors. ,
1 The fact that some of the draf t examinations submitted by f acility licensees !
I required significant rework illustrated that many facility staffs did not fully understand the criteria for writing an NRC examination. Both the industry and the NRC staff agree that, with training and axperience, the industry should gain proficiency in preparing the examination.
The facility licensees' lack of familiarity with NRC examination requirements was also reflected in the fact that several pilot program volunteers required more time to write the examinations than is usually required by experienced NRC enminers or contractors. The fact that some pilot facilities were able to draft quality examinations requiring few NRC changes, using their own employees or contractors, in equal or less t ime than is normally required by the NRC illustrates the viability of the pilot process. The NRC staff and participating facilities expect that efficiency
-will improve once facility licensees gain experience with writing the examinations because facility employees have more detailed knowledge of their facility and easier access to the reference materials required to prepare the examinations.
ppc Ihe staff briefed the NRC's Committee to Review Generic Requirements f
(CRGR) after the pilot program was complete, in the minutes of its meeting, CRGR agreed that, with regard to the technical and safety aspects, the proposed changes represented a reasonable and workable alternative approach.
7 1
._ .- _ _. ~- . _ - . . - - _ .
The committee members unanimously endorsed sending the proposal forward to the Executive Director for Operations (ED0) for consideration. However, the CRGR also requested NRC's Office of the General Counsel (0GC) to consider further Minwt the staf '
the procedural question r(e4ating original plan to implement the revised process by issuing a generic letter without revising 10 CfR Part 55.
FI3 C ThefstaffsubsequentlymetwithOGCtoresolveCRGR'sconcernand concluded that requiring all facility licensees to prepare the examinations, a task long performed by the NRC, would requi u rulemaking or the issuance of HDL orders to each facility licensee. Therefore,thefstaffrecommendedin SECV=
. 4EL.that the Commission approve the staf f's pursuit of rulemaking to require power reactor facility licensees to prepare the operator licensing examinations, while continuing the pilot process on a voluntary basis.
Amending 10 CFR Part 55 would not only enhance public participation in the decision making process but would also assure that all important policy questions are raised and addressed. The Commission g h concluded that implementation of the new examination process on a voluntary basis alone will be unworkable over the long term. With the elimination of contractor support and the unpredictable nature of the examination workload, the NRC will no longer have sufficient examiner resources to prepare the examinations consistent with the scheduling needs of facility licensees.
Availability of Guidance Document for License Examination Preparation Although Part 55 does not specify who will prepare, administer, and grade the written examinations and operating tests for reactor operator and senior reactor operator licenses, the NRC or its contract examiners have 8
traditionally porformed these tasks. As a consequence of performing the tasks-associated with preparing and administering the initial licensing examinations, the NRC has developed a substantial body of guidance, which has been published in various versions of NUREG-1021, to aid both NRC and its contract examiners. The latest version of NUREG-1021 (Interim Revision 8) incorporates the pilot examination criteria in GL 95-06, lessons learned during the pilot examinations, and a number of refinements prompted by the industry recommendations submitted in response 1 FRto/_L A/mLNep,3/er 686ptlated february ymde <
22,1996dwhicl[solicitedpubliccommentsontheproposedNUREGchanges. A copy of Interim Revision 8 of NUREG-1021 is being mailed to each facility licensee. Copies may be purchased from the Superintendent of Documents, U.S.
Government Printing Office, P.O. Box 37082, Washington, DC 20013-7082. Copies are al.o available from the National Technical Information Service, 5285 Port Royal Road, Springfield, VA 22161, and the document may be inspected and/or copied for a fee at the NRC's Public Document Room, 2120 L Street, NW (Lower level), Washington, DC. NUREG-1021 is also electronically available for downloading from the Internet at "http://www.nrc. gov / news.htmvexam". All interested parties are invited to comment on the interim revision of NUREG-1021 in additlon to the proposed rule, these public comments will be analyzed and resolved, and Revision 8 will be published as a fTnal NUREG document.
When the NRC prepares, administers, and grades the initial operator licensing examinations, as it expects to do at least four times per year to maintain its examiners' proficiency, the NRC will use this document for guidance. The NRC encourages facility licensees to use the guidance contained in NUREG-1021 to prepare these examinations, as well. Facility licensees may propose deviations from the specific guidance in NUREG-1021 and the NRC will review 9
and rule on the acceptability of these deviations' . However, the NRC will not approve any deviation which would compromise its statutory responsibility of prescribing uniform conditions for the operator licensing examinations.
Examples of unacceptable deviations include, but may not be limited to, the use af essay questions in lieu of multiple choice questions and the administration of open book examinations.
4 Proposed Rule -
Thisproposedregulationwilladdanewsection,'j55.40,
" Implementation," to Subpart E of 10 CFR Part 55. The requirement for power reactor facility licensees to prepare the written examinations and operating tests, to submit them to the NRC for review and approval, and to proctor the written tests would be contained in 66 55.40(a), 55.40(b), and 55.40(c),
respectively. Each power reactor facility licensee would be required to prepare the site-specific initial operator licensing examinations at its facilit hereby allowing the NRC to discontinue the use of .ontract /
examiners for that purpose. Facility licensees would also be expected to prepare and submit the proposed examinations (including the written examination, the walk-through, and the dynamic simulator tests) to the URC consistent with the guidance contained in NUREG-1021. If a facility licensee proposes to deviate from the specific guidance contained in NUREG-1021, it should obtain NRC staff approval of the deviations prior to submitting the examinations to the NRC staff for approval. The NRC will thoroughly review the entire examination in accordance with NUREG-lG21 and direct whatever changes are necessary to ensure that adequate levels of quality, difficulty, 10
m JA 4 4 6- 1 Lw-e- = .a,- - . - ---
l
[i l
and consistency are maintained.After the NRC staff reviews and approves an examination, the facility licensee would be required to proctor and grade the written portion consistent with the guidance contained in NUREG-102). The NRC staff will continue to independently administer'and grade the operating tests, review and approve the written examination results, and make the final licensing decisions. The facility licensee will not conduct parallel operator evaluations during the dynamic simulator or the walk-through tests.
Pursuant to proposed 655.40(d), the NRC staff would maintain the authority to prepare the examination and test and to proctor the site-specific written examination in order to maintain its own staff capability to do so or if it has reason to question the licensees ability to prepare an acceptable examination.
Paragraph (e) of 655.40 reasserts that the NRC would continue to administer the written examinations and operating tests at non-power reactor f/tr/sprajg /$Uerg y1 5 --
1 Environmental Impact: Categorical Exclusion pf d]
The NRC has determined that this proposed rule is the type of action described as a categorical exclusion in 10 CFR Sl.22(c)(1). Therefore, neither an environmental impact statement nor an environmental assessment has been prepared for this proposed regulation.
Paperwork Reduction Act Statement-11
lk'f
(
t g -
I(j h This proposed rule amends information collection requirements that are subject to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.). The-paperwork requirements associated with this rule have been submitted to the Office of Management and Budget for review and approval.
Public reporting burden for this collection of information is estimated to average 500 hours0.00579 days <br />0.139 hours <br />8.267196e-4 weeks <br />1.9025e-4 months <br /> per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send
-comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Information and Records Management Branch (1-6F-33), U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; and to the Paperwork Reduction Project (3150-0017, 3150-0020, 3150-0009, and 3150-0132), Office of Management and Budget, Washington, DC 20503.
Regulatory Analysis The Commission has prepared a draft regulatory analysis on this proposed regulation. The analysis examines the costs and benefits of the alternatives considered by the Commission. The draft analysis is available for inspection in the NRC Public Document Room, 2120 L Street NW (Lower Level), Washington, DC. Single copies of the analysis may be obtained from Harry S. Tovmassian (301) 415-6231.
The Commission requests public comment on the draft analysis. Comments on the draft analysis may be submitted to the NRC as indicated under the ADDRESSES _ heading.
12
Regulatory flexibility Certification in accordance with the Regulatory flexibility Act of 1980, (5 U.S.C.
605(b)), the Commission certifies that this rule will not, if promulgated, have a significant economic impact on a substantial number of small entities.
This proposed rule affects only the licensing and operation of nuclear power plants. The companies that own these plants do not fall within the scope of the definition of "small entities" set forth in the Regulatory Flexibility Act or the Small Business Size Standards set out in regulations issued by the Small Business Administration at 13 CFR Part 121.
ID Backfit Analysis The Commission has concluded that requiring the facility licensees to prepare the initial operator licensing examinations would not be a backfit pursuant to 10 CFR 50.109.
The proposed change does not result in a modification of or an addition to systems, structures, components, or the design of a facility. The change does not affect the design approval or manufacturing license for a facility, lhe procedures required to design or operate a facility will not be affected by the proposed change. The proposed change would require each nuclear power plant licensee to develop the tests that are used to qualify, in accordance with the requirements of 10 CFR Part 55, those nuclear power plant operators whom the nuclear power plant licensee wishes to employ. Development of such tests are not considered to be " procedures... required to... operate a 13
facility " The tests are not applied to the facility licensee, but rather to the operator license applicants, further, any procedure necessary to develop the test would not be useful in actually " operating" the facility, even if one broadly interprets " operating" as including any action necessary to comply with the Commission's regulations with respect to operation. The organization required to design or operate a facility will not be affected because all facility licensees already have a training staff to train and evaluate applicants for operator licenses and to train other members of the plant staff, as required by 10 CFR Part 55 and by 10 CFR 50.120. Therefore, an organizational change is not required because of this process change.
List of Subjects h0 CFR Party Part 55 - Criminal penalties, Manpower training programs, Nuclear power plants and reactors, Reporting and recordkeeping requirements for the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, j
asamended,and5U.S.C.553,theNRC(5hrhropo(fngtoadoptthefollowing amendments to 10 CFR Part 55, 4
PART 55 - OPERATOR'S LICENSES
, l. The authority citation for Part 55 continues to read as follows:
. AUTHORITY: Secs. 107, 161, 182, 68 Stat. 939, 948, 953 , as amended, sec, 234, 83 Stat 444, as amended (42 U.S.C 2137, 2201, 2232, 2282); secs. 201, as amended, 202, 88 Stat. 1242, as amended, 1244 (42 U.S.C. 5841, 5842).
14
Sections 55.41, 55.43,_ 55.45,-and 55.59 also issued under sec. 306, Pub.
L.97-425, 96 Stat. 2262 (42 U.S.C.10226). Section 55.61 also issued under secs. 186,.187, 68 Stat. 955 (42 U.S.C. 2236, 2237). J s 1
$ .}y W
- 2. In 555.33, paragraph (a)(2) wou14-be revised as follows:
6 55.33 Di1 position of an initial applicati2H.
(a)
(2) Written examination and operating test. The app 11 cant has passed the requisite written examination and operating test in accordance with
@ SudiUrrs 55.40, 55.41, and 55.45 or 55.40, 55.43, and 55.45. These examinations and tests determine whether the applicant for an operator's license has learned to operate a facility competently and safely, and additionally, in the case of a senior operator, whether the applicant has learned to direct the licensed activities of licensed operators competently and safely.
f*
,f Df hed to rw{
- 3. - n Subpart E of 10 CFR Part 554555.40 is addedg as follows:
S 55.40 Implementation.
k-4 (a) Power reactor facility licensees shall -
1 (1) Prepare the required site-specific written examinations and operating tests F )
(2) Submit the written examinations and operating tests to the Commission- for review and approval / 's om/
( (3) Proctor the ' site-specific written examinations.
15
4 (b) in lieu of requiring a power reactor facility licensee to prepare the examinations and tests, and to proctor the site-specific written examinations, the Commission may elect to perform those tasks, (c) The Commission will prepare-and administer the written examinations and operating tests at non-power reactor facilities.
Dated at Rockville, Maryland, this ____ day of _
, 1997.
For the Nuclear Regulatory Commission. ,
~
Johii' C '. lloyl e ,
Secretary of the Conunission.
16
.-. .. .-