Risk-Informed, Technology-Inclusive Regulatory Framework for Advanced Reactors

The text of the rule, page 9 of 12. 2 headings, 19,311 words, quoted as the Federal Register prints them.

← Subpart C--Design and Analysis Requirements to Subpart E--Construction and Manufacturing Requirements Contents Subpart H--Licenses, Certifications, and Approvals →

Subpart F--Requirements for Operation

Sec. 53.700 Operational objectives.
The purpose of this subpart and the specific requirements herein is to ensure that:
(a) Each holder of an operating license (OL) or combined license (COL) under this part develops, implements, and maintains controls for plant structures, systems, and components (SSCs), responsibilities of personnel, and plant programs during the operating life of each commercial nuclear plant such that the requirements defined in subpart B are satisfied. More specifically:
(1) Under Sec. 53.710 through Sec. 53.730, each holder of an OL or COL under this part must maintain the capabilities, availability, and reliability of plant SSCs to ensure that the safety functions identified in Sec. 53.230 will be performed if called upon during licensing-basis events (LBEs).
(2) Under Sec. 53.725 through Sec. 53.830, each holder of an OL or COL under this part must ensure that personnel have adequate knowledge and skills to perform their assigned duties that support the performance of the safety functions identified in Sec. 53.230.
(3) Under Sec. 53.845 through Sec. 53.910, each holder of an OL or COL under this part must implement plant programs sufficient to ensure that the safety functions identified in Sec. 53.230 will be performed if called upon during normal operations and LBEs.
(b) [Reserved]
Sec. 53.710 Maintaining capabilities and availability of structures, systems, and components.
Measures must be provided for each commercial nuclear plant licensed under this part such that the capabilities, availability, and reliability of plant SSCs, when combined with corresponding programmatic controls and human actions, provide that the safety criteria defined in Sec. Sec. 53.210 and 53.220 will be met.
(a) Technical specifications must be developed, implemented, and maintained that define conditions or limitations on plant operations that are necessary to ensure that safety-related (SR) SSCs can fulfill the safety functions identified under Sec. 53.230 and support meeting the safety criteria of Sec. 53.210. The technical specifications must describe the following requirements:
(1) Limits on the inventory of radioactive materials within the reactor system and supporting systems with the potential, individually or collectively, to cause a release exceeding the safety criteria in Sec. 53.210 as a result of a design-basis accident analyzed in accordance with Sec. 53.450(f).
(2) Operating limits for the facility that if exceeded could lead to a failure to perform a required safety function necessary to demonstrate compliance with the safety criteria in Sec. 53.210.
(3) For each SSC classified as SR in accordance with Sec. 53.460, technical specifications must define--
(i) Limiting conditions for operation. Limiting conditions for operation are the lowest functional capability or performance levels of SR SSCs required to ensure that the design-basis accidents analyzed in accordance with Sec. 53.450(f) satisfy the safety criteria of Sec. 53.210. When a limiting condition for operation is not met, the licensee must shut down the plant or follow any remedial action permitted by the technical specifications until the condition can be met.
(ii) Surveillance requirements. Surveillance requirements are requirements relating to test, calibration, or inspection to assure that the necessary quality of systems and components is maintained and that the limiting conditions for operation will be met.
(4) Design elements to be included are those elements of the plant such as materials of construction and geometric arrangements, which, if altered or modified, would have a significant effect on safety and are not covered in categories described in paragraphs (a)(1) through (3) of this section.
(5) Administrative controls are the provisions relating to organization and management, procedures, recordkeeping, review and audit, and reporting necessary to assure operation of the plant in a safe manner. Each licensee must submit any reports to the Commission pursuant to approved technical specifications under Sec. 53.040.
(b) Control measures on plant operations, including availability controls, must be developed and implemented to ensure that the configurations and special treatments for SR SSCs and non-safety- related but safety-significant (NSRSS) SSCs provide the capabilities, availability, and reliability required to demonstrate compliance with the criteria of Sec. Sec. 53.220 and 53.450(e).\1\ The control measures must--
(1)(i) Identify who within the licensee's organization has authority to make configuration changes;
(ii) Establish processes to make configuration changes to NSRSS SSCs; and
(iii) Establish processes to ensure that all organizations of the commercial nuclear plant affected by the configuration changes are formally notified and approve of the change.
(2) Describe how the special treatments for each NSRSS SSC and special treatments for SR SSCs beyond those under paragraph (a) of this section will be established and maintained over the operating life of the commercial nuclear plant.
\1\ The comprehensive risk metrics and related risk performance objectives established under Sec. 53.220 involve assessing and averaging the risks over a defined period (e.g., plant year) and do not constitute a real-time requirement that must be continuously demonstrated by the licensee.
Sec. 53.715 Maintenance, repair, and inspection programs.
(a) A program to control maintenance activities and monitor the performance or condition of SR and NSRSS SSCs must be developed, implemented, and maintained.
(b) Whenever a licensee determines through activities related to maintenance, repair, and inspection of SSCs, the activities under Sec. 53.710, or otherwise that the performance or condition of an SR or NSRSS SSC does not demonstrate compliance with established special treatments or performance goals related to capabilities, availability, or reliability, the licensee must take appropriate corrective action.
(c) Performance and condition monitoring activities and associated goals and preventive maintenance activities must be evaluated at least every 24 months. The evaluations must take into account, where practical, industry-wide operating experience. Adjustments must be made where necessary to ensure that the objective of preventing failures of SSCs through maintenance is appropriately balanced against the objective of minimizing unavailability of SSCs due to monitoring or preventive maintenance.
(d) Before performing maintenance activities (including but not limited to surveillance, post-maintenance testing, and corrective and preventive maintenance), the licensee must assess and manage the increase in risk that may result from the proposed maintenance activities.
Sec. 53.720 Response to seismic events.
If vibratory ground motion exceeding that of the operating basis earthquake Ground Motion or significant plant damage due to vibratory ground motion occurs, the licensee must shut down the commercial nuclear plant. If structures, systems, or components necessary for the safe shutdown of the commercial nuclear plant are not available after the occurrence of this vibratory ground motion, the licensee must consult with the Commission and must propose a plan for the timely, safe shutdown of the commercial nuclear plant. Prior to resuming operations, the licensee must demonstrate to the Commission that those features necessary for continued operation without undue risk to the health and safety of the public or necessary to maintain the licensing basis of the commercial nuclear plant were either not functionally damaged or have been repaired.
Sec. 53.725 General staffing, training, personnel qualifications, and human factors requirements.
(a) Two classes of commercial nuclear plants. Commercial nuclear plants licensed under this part are either of the class of self- reliant-mitigation facilities or of interaction-dependent-mitigation facilities, based upon the similarity of operating and technical characteristics of the plants in the class. A commercial nuclear plant is a self-reliant-mitigation facility if the U.S. Nuclear Regulatory Commission (NRC) determined as part of its approval of the OL or COL for that plant that its design demonstrates compliance with the criteria of Sec. 53.800(a)(1) through (a)(5). Otherwise, the commercial nuclear plant is an interaction-dependent-mitigation facility.
(b) Purpose and applicability. The regulations in Sec. Sec. 53.725 through 53.830 address areas related to staffing, training, personnel qualifications, and human factors engineering for applicants for or holders of OLs or COLs under this part. These regulations are organized as follows:
(1) Sections 53.725 through 53.745 address general requirements for staffing, training, personnel qualifications, and human factors engineering. The regulations within these sections are applicable to all applicants for or holders of OLs or COLs under this part, except where specifically stated otherwise.
(2) Sections 53.760 through 53.795 address operator and senior operator licensing requirements. The regulations within these sections are applicable to those applicants for or holders of OLs or COLs under this part for interaction-dependent-mitigation facilities that have not yet certified the permanent cessation of operations and permanent removal of fuel from the reactor vessel as described under Sec. 53.1070.
(3) Sections 53.800 through 53.820 address generally licensed reactor operator requirements. The regulations within these sections are in lieu of Sec. Sec. 53.760 through 53.795 for those applicants for or holders of OLs or COLs under this part for self-reliant- mitigation facilities that have not yet certified the permanent cessation of operations and permanent removal of fuel from the reactor vessel as described under Sec. 53.1070.
(4) Section 53.830 provides general personnel training requirements. The regulations within this section are applicable to all applicants for or holders of OLs or COLs under this part.
(c) Definitions. When used in Sec. Sec. 53.725 through 53.830, applicant refers to an applicant for an operator or senior operator license; licensee refers to the holder of an operator, senior operator, or generally licensed reactor operator license; and facility licensee refers to the licensee for the commercial nuclear plant where the applicant would be licensed or the licensee is licensed. As also used in Sec. Sec. 53.725 through 53.830--
Automation means a device or system that accomplishes (partially or fully) a function or task.
Auxiliary operator means any individual who operates components of a commercial nuclear plant but does not manipulate controls or direct the manipulation of controls of the plant and is not required to be licensed under the provisions of this part.
Controls when used with respect to a nuclear reactor means apparatus and mechanisms, the manipulation of which directly affects the reactivity or power level of the reactor.
Generally licensed reactor operator means any individual licensed under the provisions of Sec. 53.810 to manipulate controls of a self- reliant-mitigation facility and to direct the licensed activities of generally licensed reactor operators.
Interaction-dependent-mitigation facility means a commercial nuclear plant design other than one that demonstrates compliance with the operating and technical characteristics defined under Sec. 53.800.
Load following means a commercial nuclear plant automatically changing its output to match expected demand in response to externally originated instructions or signals.
Operator means any individual licensed under the provisions of Sec. Sec. 53.760 through 53.795 to manipulate controls of an interaction-dependent-mitigation facility.
Performance testing means testing conducted to verify a simulation facility's performance as compared to actual or predicted reference plant performance.
Reference plant means the specific commercial nuclear plant, or plant design for facilities which are not yet constructed, on which a simulation facility's configuration, system control arrangement, and design data are based.
Self-reliant-mitigation facility means a commercial nuclear plant design that demonstrates compliance with the operating and technical characteristics defined under Sec. 53.800.
Senior operator means any individual licensed under the provisions of Sec. Sec. 53.760 through 53.795 to manipulate controls of an interaction-dependent-mitigation facility and to direct the licensed activities of operators.
Simulation facility means an interface designed to provide a realistic imitation of the operation of a commercial nuclear plant used for the administration of examinations, for training, and/or to demonstrate compliance with experience requirements for applicants or licensees. A simulation facility may rely, in whole or part, upon the physical utilization of the reference plant itself.
Systems approach to training means a training program that includes the following five elements:
(i) Systematic analysis of the jobs to be performed.
(ii) Learning objectives derived from the analysis which describe desired performance after training.
(iii) Training design and implementation based on the learning objectives.
(iv) Evaluation of trainee mastery of the objectives during training.
(v) Evaluation and revision of the training based on the performance of trained personnel in the job setting.
Sec. 53.726 Communications.
(a) An applicant or licensee or facility licensee must submit any communication or report required by the regulations contained within Sec. Sec. 53.725 through 53.830 and must submit any application filed under these regulations to the Commission.
(b) Each facility licensee that is required to comply with the requirements of Sec. Sec. 53.760 through 53.795 (i.e., interaction- dependent-mitigation facilities) must notify the appropriate NRC contact within 30 days of the following in regard to a licensed operator or senior operator:
(1) Permanent reassignment from the position for which the facility licensee has certified the need for a licensed operator or senior operator under Sec. 53.775(a)(1);
(2) Termination of any operator or senior operator; or
(3) Permanent disability or illness as required under Sec. 53.770.
Sec. 53.728 Completeness and accuracy of information.
Information provided to the Commission by an applicant for an operator or senior operator license or by a licensee or information required by statute or by the Commission's regulations, orders, or license conditions to be maintained by the applicant or the licensee must be complete and accurate in all material respects.
Sec. 53.730 Defining, fulfilling, and maintaining the role of personnel in ensuring safe operations.
Each applicant for or holder of an OL or COL for a commercial nuclear plant under this part must comply with the following:
(a) Human factors engineering design requirements. The plant design must reflect state-of-the-art human factors engineering principles for safe and reliable performance in all locations that human activities are expected for performing or supporting the continued availability of plant safety or emergency response functions.
(b) Human system interface design requirements. The plant design must provide for the following to support operating personnel in monitoring plant conditions and responding to plant events:
(1) Features for displaying to operating personnel a minimum set of parameters that define the safety status of the plant and are capable of displaying both the full range of important plant parameters and data trends on demand, as well as indicating when process limits are being approached or exceeded;
(2) Automatic indication of the bypassed and operable status of safety systems;
(3) Direct indication of SSC status that relates to the ability of the SSC to perform its safety function, such as relief and safety valve position (i.e., open or closed) for barriers important to fulfilling safety functions with such devices, and ultimate heat sink and cooling system status and availability;
(4) Instrumentation to measure, record, and display key plant parameters related to the performance of SSCs and the integrity of barriers important to fulfilling safety functions to support operators in monitoring plant conditions and responding to plant events. Examples include temperatures and pressures within important systems or structures, core or fuel system conditions (including possible damage states), temperatures and levels associated with cooling functions, combustible gas concentrations, radiation levels in systems and within structures, and radioactive effluent releases;
(5) Leakage control and detection in the design of systems that pass through barriers important to fulfilling safety functions for the release of radionuclides. An example is an SSC
that penetrates a containment structure that might contain radioactive materials that could contribute to the source term during an accident;
(6) Monitoring of in-plant radiation and airborne radioactivity as appropriate for a broad range of normal operating and accident conditions; and
(7) For self-reliant-mitigation facilities, the plant design must also provide the generally licensed reactor operators with the capability to do the following:
(i) Receive plant operating data, including reactor parameters and information needed for the evaluation of emergency conditions.
(ii) Promptly dispatch operations and maintenance personnel.
(iii) Immediately implement responsibilities under the facility emergency plan, as applicable.
(8) For both interaction-dependent and self-reliant mitigation facilities, the plant design must provide licensed operators with the capability of immediately initiating a reactor shutdown from their location.
(c) Concept of operations. A concept of operations that is of sufficient scope and detail to address the following must be provided:
(1) Plant goals;
(2) The roles and responsibilities of operating personnel and automation (or any combination thereof) that are responsible for completing plant functions;
(3) Staffing, qualifications, and training;
(4) The management of normal operations;
(5) The management of off-normal conditions and emergencies;
(6) The management of maintenance and modifications; and
(7) The management of tests, inspections, and surveillances.
(d) Functional requirements analysis and function allocation. A functional requirements analysis and a function allocation must be provided that are sufficient to demonstrate compliance with the following:
(1) The functional requirements analysis must address how safety functions and functional safety criteria are satisfied; and
(2) The function allocation must describe how the safety functions will be assigned to human action, automation, active safety features, passive safety features, and/or inherent safety characteristics.
(e) Operating experience. A program, during construction and during operation, as applicable, for evaluating and applying operating experience must be developed, implemented, and maintained.
(f) Staffing plan. A staffing plan must be developed and comply with the following:
(1) The staffing plan must include a description of how engineering expertise will be available to the on-shift operating personnel during all plant conditions, to assist if they encounter a situation not covered by procedures or training. Engineering expertise includes familiarity with the operation of the plant for which the expertise is provided and one of the following:
(i) A bachelor's degree in engineering, engineering technology, or physical science from an institution accredited by a U.S. Government recognized accrediting body or equivalent; or
(ii) A Professional Engineer's license from a U.S. State or territory.
(2) Applicants for or holders of OLs or COLs for interaction- dependent-mitigation facilities must include within their staffing plans a description of how the proposed numbers, positions, and qualifications of operators and senior operators across all modes of plant operations will be sufficient to ensure that plant safety functions will be maintained. This description must be supported by human factors engineering analyses and assessments.
(3) Applicants for or holders of OLs or COLs for self-reliant- mitigation facilities must include within their staffing plans a description of how generally licensed reactor operator staffing that is both sufficient to continually monitor the operations of fueled reactors and to provide for a continuity of responsibility for facility operations at all times during the operating phase will be maintained.
(4) Applicants for or holders of OLs or COLs under this part must include within their staffing plans a description of how the positions and responsibilities of personnel contained within those plans will adequately satisfy necessary support functions within areas such as plant operations, equipment surveillance and maintenance, radiological protection, chemistry control, fire brigades, engineering, security, and emergency response.
(5) The staffing plan must be approved by the NRC as part of its approval of the OL or COL for the plant. The approved staffing plan is subject to the requirements of Sec. 53.1565.
(g) Training, examination, and proficiency programs. Develop, implement, and maintain programs that comply with the following requirements. These programs must be approved by the NRC as part of its approval of the OL or COL for the plant:
(1) For those applicants for or holders of OLs or COLs for interaction-dependent-mitigation facilities:
(i) The operator licensing initial training program required under Sec. 53.780(a);
(ii) The operator licensing initial examination program required under Sec. 53.780(b);
(iii) The operator licensing requalification program required under Sec. 53.780(c); and
(iv) The operator proficiency program required under Sec. 53.780(g).
(2) For those applicants for or holders of OLs or COLs for self- reliant-mitigation facilities, the generally licensed reactor operator training, examination, and proficiency programs required under Sec. 53.815.
(3) The operator licensing requalification programs required under Sec. 53.780(c) or Sec. 53.815(b) must be implemented upon commencing the administration of initial examinations under the operator licensing examination program required under Sec. 53.780(b) or Sec. 53.815(b), respectively.
Sec. 53.735 General exemptions.
The regulations in Sec. Sec. 53.725 through 53.830 do not require a license for an individual who--
(a) Under the direction and in the presence of an operator or senior operator or a generally licensed reactor operator, as appropriate, manipulates the controls of a commercial nuclear plant as a part of the individual's training in a facility licensee's training program as approved by the Commission to qualify for an operator or senior operator license or a generally licensed reactor operator license there, as appropriate, under these regulations; or
(b) Under the direction and in the presence of a senior operator or generally licensed reactor operator, as appropriate, manipulates the controls of a commercial nuclear plant to load or unload the fuel into, out of, or within the reactor vessel while the reactor is not operating.
Sec. 53.740 Facility licensee requirements--general.
(a) Facility licensees must demonstrate compliance with the requirements of either Sec. Sec. 53.760 through 53.795 for interaction-dependent-mitigation facilities or Sec. Sec. 53.800 through 53.820 for self-reliant-mitigation facilities.
(b) The facility licensee must maintain the staffing complement described under its approved facility staffing plan until such time as the permanent cessation of operations and
permanent removal of fuel from the reactor vessel has been certified as described under Sec. 53.1070. The approved staffing plan is subject to the requirements of Sec. 53.1565.
(c) Except as provided under Sec. 53.735, the facility licensee may not permit the manipulation of the controls of a commercial nuclear plant by anyone who is not an operator or senior operator or generally licensed reactor operator, as appropriate.
(d) Facility licensees for interaction-dependent-mitigation facilities that have not yet certified the permanent cessation of operations and permanent removal of fuel from the reactor vessel as described under Sec. 53.1070 must designate senior operators to be responsible for supervising the licensed activities of operators.
(e) Apparatus and mechanisms other than controls, the operation of which may affect the reactivity or power level of a reactor, must be manipulated only while plant conditions are being monitored by an individual who is an operator or senior operator or a generally licensed reactor operator, as appropriate.
(f)(1) Load following is permitted if at least one of the following is immediately capable of refusing demands when they could challenge the safe operation of the plant or when precluded by the plant equipment conditions:
(i) The actuation of an automatic protection system that utilizes setpoints more conservative than those otherwise credited for the purposes of reactor protection; or
(ii) An automated control system; or
(iii) An operator or senior operator or a generally licensed reactor operator, as appropriate.
(2) The provisions of paragraph (e) of this section do not apply during load following operations.
(g)(1) Facility licensees for interaction-dependent-mitigation facilities must have present during alteration of the core (including fuel loading or transfer) an individual holding a senior operator license, or a senior operator license limited to fuel handling to directly supervise the activity and, during this time, the facility licensee must not assign other duties to this person.
(2) Facility licensees for self-reliant-mitigation facilities must have present during alteration of the core (including fuel loading or transfer) an individual holding a generally licensed reactor operator license to directly supervise the activity and, during this time, the facility licensee must not assign other duties to this person.
(3) The provisions of paragraphs (g)(1) and (2) of this section do not apply to core alterations performed as part of refueling operations while a facility that is capable of online refueling is operating at power.
(h) Facility licensees may take reasonable action that departs from a license condition or a technical specification (contained in a license issued under this part) in an emergency when this action is immediately needed to protect the public health and safety and no action consistent with license conditions and technical specifications that can provide adequate or equivalent protection is immediately apparent. Such facility licensee action must be approved, as a minimum, by a senior operator or a generally licensed reactor operator, as applicable, or, after certifying the permanent cessation of operations and permanent removal of fuel from the reactor vessel as described under Sec. 53.1070 by a certified fuel handler, senior operator, or generally licensed reactor operator, as applicable, prior to taking the action.
Sec. 53.745 Operator license requirements.
A person must be authorized by a license issued by the Commission to perform the function of an operator, senior operator, or generally licensed reactor operator as defined in this part.
Sec. 53.760 Operator licensing.
(a) Applicability. Sections 53.760 through 53.795 address operator and senior operator licensing requirements. The regulations within these sections are applicable to those applicants for or holders of OLs or COLs under this part for interaction-dependent-mitigation facilities that have not yet certified the permanent cessation of operations and permanent removal of fuel from the reactor vessel as described under Sec. 53.1070.
(b) [Reserved]
Sec. 53.765 Medical requirements.
(a) An applicant for an operator or senior operator license must have a medical examination by a physician. An operator or senior operator must have a medical examination by a physician every 2 years.
(b) To certify the medical fitness of an applicant for an operator or senior operator license, an authorized representative of the facility licensee must complete and sign NRC Form 396, “Certification of Medical Examination by Facility Licensee,” which can be obtained by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, by calling 301-415- 7232, or by visiting the NRC's website at https://www.nrc.gov and selecting forms from the index found on the home page, or by other means provided by the NRC.
(1) NRC Form 396 must certify that a physician has conducted the medical examination of the applicant as required in paragraph (a) of this section.
(2) When the medical certification requests a conditional license based on medical evidence, the medical evidence must be submitted on NRC Form 396 to the Commission to enable the Commission to make a determination in accordance with Sec. 53.775(b).
(c) The facility licensee must document and maintain the results of medical qualifications data, test results, and each operator's or senior operator's medical history for the current license period and provide the documentation to the Commission upon request. The facility licensee must retain this documentation while an individual performs the functions of an operator or senior operator.
Sec. 53.770 Incapacitation because of disability or illness.
If, during the term of the operator or senior operator license, the licensee develops a permanent physical or mental condition that causes the licensee to fail to demonstrate compliance with the requirements of Sec. 53.775(b)(1)(i), the facility licensee must notify the Commission within 30 days of learning of the diagnosis. For conditions for which a conditional license (as described in Sec. 53.775(b)) is requested, the facility licensee must provide medical certification on NRC Form 396 to the Commission (as described in Sec. 53.765(b)).
Sec. 53.775 Applications for operators and senior operators.
(a) How to apply. (1) The applicant for an operator or senior operator license must--
(i) Complete NRC Form 398, “Personal Qualification Statement-- Licensee,” which can be obtained by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, by calling 301-415-5877, or by visiting the NRC's website at https://www.nrc.gov and selecting forms from the index found on the home page, or by other means provided by the NRC;
(ii) File an original of NRC Form 398, or an equivalent electronic submittal, together with the information required in paragraphs (a)(1)(iii) and (a)(1)(iv) of this section, with the appropriate Regional Administrator.
(iii) Provide evidence that the applicant, as a trainee, has successfully demonstrated competence in manipulating the controls of either the facility for which a license is sought or a simulation facility that demonstrates compliance with the requirements of Sec. 53.780(e). For operators applying for a senior operator license, certification that the operator has successfully operated the controls of the facility as an operator will be accepted; and
(iv) Provide certification by the facility licensee of medical condition and general health on NRC Form 396, to comply with Sec. 53.765.
(2) The Commission may at any time after the application has been filed, and before the license has expired, require further information under oath or affirmation to enable it to determine whether to grant or deny the application or whether to revoke, modify, or suspend the license.
(3) An applicant whose application has been denied because of a medical condition or their general health may submit a further medical report at any time as a supplement to the application.
(4) Each application and statement must contain complete and accurate disclosure as to all matters required to be disclosed. The applicant must sign statements required by paragraphs (a)(1)(i) and (a)(1)(ii) of this section.
(b) Disposition of an initial application--(1) License approval. The Commission will approve an initial application if it finds that the following criteria are met:
(i) Health. The applicant's medical condition and general health will not adversely affect the performance of assigned operator or senior operator job duties or cause operational errors endangering public health and safety. The Commission will base its finding upon the certification by the facility licensee as detailed in Sec. 53.765(b).
(ii) Examination. The applicant has passed the requisite examination in accordance with Sec. 53.780(b). The examination determines whether the applicant for an operator's or senior 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 supervise the licensed activities of operators competently and safely.
(2) Conditional license. If an applicant's general medical condition does not demonstrate compliance with the minimum standards under Sec. 53.775(b)(1)(i), the Commission may approve the application and include conditions in the license to accommodate the medical condition. The Commission will consider the recommendations and supporting evidence of the facility licensee and of the examining physician (provided on NRC Form 396) in arriving at its decision.
(c) Re-applications. (1) An applicant whose application for a license has been denied because of failure to pass the examination may file a new application. The application must be submitted on NRC Form 398 and include a statement signed by an authorized representative of the facility licensee by whom the applicant will be employed that states in detail the extent of the applicant's additional training and remediation since the denial and certifies that the applicant is ready for re-examination.
(2) An applicant who has passed a portion of the examination and failed another may request in a new application on NRC Form 398 to be excused from re-examination on the portions of the examination that the applicant has passed. The Commission may in its discretion grant the request if it determines that sufficient justification is presented.
Sec. 53.780 Training, examination, and proficiency program.
(a) Operator licensing initial training program. (1) A program that is based upon a systems approach to training, as defined by Sec. 53.725(b), must be utilized for the training of applicants for operator and senior operator licenses. The program must ensure that applicants at the facility will possess the knowledge, skills, and abilities necessary to protect the public health and maintain those plant safety functions specific to the facility design. The program must be approved by the Commission prior to its use for training applicants, as described under Sec. 53.730(g). The approved operator licensing initial training program is subject to the requirements of Sec. 53.1565.
(2) The facility licensee must maintain operator licensing initial training program records documenting the initial operator licensing training administered and completed by each applicant. The facility licensee must retain these records during the period in which any trainees subsequently remain licensed as operators or senior operators at the facility.
(b) Operator licensing initial examination program. (1) The facility licensee must establish and implement an examination program for testing a representative sample of the knowledge, skills, and abilities needed to safely perform operator and senior operator duties, to include both the examination methods and criteria to be used to assess passing performance. The program must provide for valid and reliable examinations and be approved by the Commission prior to its use for examining applicants, as described under Sec. 53.730(g). The approved operator licensing initial examination program is subject to the requirements of Sec. 53.1565.
(2) The facility licensee must submit prepared examinations to the Commission for review and approval in advance of their administration.
(3) The Commission will either administer an approved examination or allow the facility licensee to administer the examination. The facility licensee must ensure that sufficient advance notification is provided to the Commission to either administer the examination or allow for a representative of the Commission to be afforded the opportunity to be present when the facility licensee administers the examination.
(4) Graded examination documentation for each applicant must be provided to the Commission for review in making operator licensing decisions.
(5) The facility licensee must maintain operator licensing initial examination program records documenting the participation of each operator and senior operator applicant in the initial examination. The records must contain copies of examinations administered, the answers given by the applicant, documentation of the grading of examinations, and documentation of any additional training administered in areas in which an applicant exhibited deficiencies. The facility licensee must retain these records during the period in which the associated operators or senior operators remain licensed at the facility.
(c) Operator licensing requalification program. (1) A program based upon a systems approach to training, as defined by Sec. 53.725(b), must be utilized for the continuing training of operators and senior operators.
(i) The program must ensure that operators and senior operators at the facility maintain the knowledge, skills, and abilities necessary to protect the public health and maintain those plant safety functions specific to the facility design. The program must be conducted for a continuous period not to exceed 24 months in duration.
(ii) The program must be approved by the Commission prior to its use for continuing training, as described under Sec. 53.730(g). The approved operator licensing requalification program is subject to the requirements of Sec. 53.1565.
(2) The following requirements apply to operator licensing requalification programs:
(i) The facility licensee must propose a requalification examination program for testing, for each requalification period, a sample of the topics included under the systems approach to training, to include both the examination methods and criteria to be used to assess passing performance. The program must provide for valid and reliable examinations and be approved by the Commission prior to its use for examining operators and senior operators, as described under Sec. 53.730(g). The approved requalification examination program is subject to the requirements of Sec. 53.1565.
(ii) The following requirements apply to the requalification examination program:
(A) The facility licensee must make prepared requalification examinations available to the Commission for review.
(B) The facility licensee must ensure that a representative of the Commission is afforded the opportunity to be present during requalification examination administration.
(C) The facility licensee must ensure that each operator and senior operator is administered a complete requalification examination on a periodicity not to exceed 24 months. Additionally, the facility licensee must ensure that any licensed operator or senior licensed operator who either demonstrates unsatisfactory performance on, or fails to complete, this biennial requalification examination is removed from the performance of licensed operator and senior licensed operator duties until any necessary remedial training has been completed and a retake examination has been passed.
(D) The facility licensee must promptly provide a summary of examination results to the NRC for each operator and senior operator following the completion of the requalification examination.
(3) The facility licensee must maintain operator licensing requalification program records documenting the participation of each operator and senior operator in the requalification program. The records must contain copies of examinations administered, the answers given by the operator or senior operator, documentation of the grading of examinations, and documentation of any additional training administered in areas in which an operator or senior operator exhibited deficiencies. The facility licensee must retain these records until the operator's or senior operator's license is renewed.
(d) Examination integrity. Applicants, operators and senior operators, and facility licensees must not engage in any activity that compromises the integrity of any application or examination required by Sec. Sec. 53.760 through 53.795. The integrity of an examination is considered compromised if any activity, regardless of intent, affected, or, but for detection, could have affected the consistent administration of the examination. This includes activities related to the preparation and certification of applications and all activities related to the preparation, administration, and grading of examinations required by Sec. Sec. 53.760 through 53.795.
(e) Simulation facilities. (1) This section addresses the use of a simulation facility for the administration of examinations, for training, or to demonstrate compliance with experience requirements for applicants for operator and senior operator licenses.
(2) Simulation facilities used for training purposes, for demonstrating compliance with experience requirements, or for the conduct of examinations under Sec. 53.780(b) and (c) must demonstrate compliance with the following criteria as they relate to the facility licensee's reference plant:
(i) The simulation facility must be of sufficient scope and fidelity for individuals to acquire and demonstrate the necessary knowledge, skills, and abilities to safely perform operator and senior operator duties.
(ii) The simulation facility must utilize models relating to nuclear, thermal-hydraulic, and other applicable design-specific characteristics that either replicate the most recent fuel load in the reference commercial nuclear plant or, prior to initial fuel load (or, for a fueled manufactured reactor, prior to initiating the removal of the features to prevent criticality required under Sec. 53.620(d)(1)), replicate the intended initial fuel load for the reference commercial nuclear plant, with the exception of those portions of the simulation facility that utilize the reference plant itself.
(iii) Simulation facility fidelity must be demonstrated so that significant control manipulations are completed without procedural exceptions, simulator performance exceptions, or deviation from the approved training scenario sequence.
(3) Facility licensees that maintain a simulation facility that has been approved by the Commission for training purposes, demonstrating compliance with experience requirements, or the conduct of examinations under Sec. 53.780(b) and (c) for the facility licensee's reference plant must:
(i) Conduct performance testing throughout the life of the simulation facility in a manner sufficient to ensure that paragraph (e)(2) of this section is met;
(ii) Retain the results of performance testing for 4 years after the completion of each performance test or until superseded by updated test results;
(iii) Promptly correct modeling and hardware discrepancies and discrepancies identified from scenario validation and from performance testing or provide justification as to why the presence of such discrepancies will not adversely affect simulator performance with respect to the criteria of paragraph (e)(2) of this section;
(iv) Make the results of any uncorrected performance test failures that may exist at the time of the initial license examination or requalification examination available for NRC review, prior to or concurrent with preparations for each initial license examination or requalification examination; and
(v) Maintain the provisions for license application and examination integrity consistent with Sec. 53.780(d).
(4) A simulation facility must demonstrate compliance with the requirements of paragraphs (e)(2) and (e)(3) of this section for the Commission to accept the simulation facility for conducting initial examinations as described in Sec. 53.780(b), requalification training as described in Sec. 53.780(c), or performing control manipulations that affect reactivity to establish eligibility for an operator or senior operator license as described in Sec. 53.775(a).
(f) Waiver of examination requirement. On application, the Commission may waive any or all of the requirements for an initial licensing examination if it finds that the applicant has demonstrated the required knowledge, skills, and abilities to safely operate the plant, and is capable of continuing to do so. The Commission may make such a finding based on demonstration of the following:
(1) Recent operating experience at a comparable facility;
(2) Proof of the applicant's past competent and safe performance; and
(3) Proof of the applicant's current qualifications.
(g) Proficiency. The facility licensee must develop, implement, and maintain a proficiency program to ensure that operators and senior operators will actively perform the functions of an operator or senior operator, respectively, as needed to maintain proficiency with on-shift duties and familiarity with
plant status. This program must include those steps that will be taken to re-establish proficiency when it cannot be maintained. This program must be approved by the Commission as part of its approval of the OL or COL for the plant. The approved proficiency program is subject to the requirements of Sec. 53.1565.
(h) Records. Each record required by this section must be legible throughout the retention period specified by each Commission regulation. The record may be the original, a reproduced copy, or an electronic copy provided that the copy is authenticated by authorized personnel.
Sec. 53.785 Conditions of operator and senior operator licenses.
Each operator and senior operator license contains and is subject to the following conditions whether stated in the license or not:
(a) Neither the license nor any right under the license may be assigned or otherwise transferred.
(b) The license is limited to the facility or facilities for which it is issued.
(c) The license is limited to those controls of the facility or facilities specified in the license.
(d) The license is subject to, and the licensee must observe, all applicable rules, regulations, and orders of the Commission.
(e) The licensee must maintain or re-establish proficiency in accordance with the facility licensee's Commission-approved proficiency program required under Sec. 53.780(g).
(f) The licensee must be subject to the facility's Commission- approved operator licensing requalification and requalification examination programs required under Sec. 53.780(c).
(g) The licensee must have a biennial medical examination as described by Sec. 53.765.
(h) The licensee must notify the Commission within 30 days about a conviction for a felony.
(i) The licensee must not consume or ingest alcoholic beverages within the protected area of commercial nuclear plants. The licensee must not use, possess, or sell any illegal drugs. The licensee must not perform activities authorized by a license issued under this part while under the influence of alcohol or any prescription, over-the-counter, or illegal substance that could adversely affect his or her ability to safely and competently perform his or her licensed duties. For the purpose of this paragraph (i), with respect to alcoholic beverages and drugs, the term “under the influence” means the licensee exceeded, as evidenced by a confirmed test result, the lower of the cutoff levels for drugs or alcohol contained in 10 CFR part 26, or as established by the facility licensee. The term “under the influence” also means the licensee could be mentally or physically impaired as a result of substance use including prescription and over-the-counter drugs, as determined under the provisions, policies, and procedures established by the facility licensee for its fitness-for-duty program, in such a manner as to adversely affect his or her ability to safely and competently perform licensed duties.
(j) Each licensee must participate in the drug and alcohol testing programs as required under 10 CFR part 26.
(k) The licensee must comply with any other conditions that the Commission may impose to protect health or to minimize danger to life or property.
Sec. 53.790 Issuance, modification, and revocation of operator and senior operator licenses.
(a) Issuance of operator and senior operator licenses. If the Commission determines that an applicant for an operator license or a senior operator license demonstrates compliance with the requirements of the Atomic Energy Act of 1954, as amended, (the Act) and its regulations, it will issue a license in the form and containing any conditions and limitations it considers appropriate and necessary.
(b) Modification and revocation of operator and senior operator licenses. (1) The terms and conditions of all operator and senior operator licenses are subject to amendment, revision, or modification by reason of rules, regulations, or orders issued in accordance with the Act or any amendments thereto.
(2) Any license may be revoked, suspended, or modified, in whole or in part--
(i) For any material false statement in the application or in any statement of fact required under section 182 of the Act;
(ii) Because of conditions revealed by the application or statement of fact or any report, record, inspection, or other means that would warrant the Commission to refuse to grant a license on an original application;
(iii) For willful violation of, or failure to observe, any of the terms and conditions of the Act or the license, or of any rule, regulation, or order of the Commission;
(iv) For any conduct determined by the Commission to be a hazard to safe operation of the facility; or
(v) For the sale, use, or possession of illegal drugs, or refusal to participate in the facility drug and alcohol testing program, or a confirmed positive test for drugs, drug metabolites, or alcohol in violation of the conditions and cutoff levels established by Sec. 53.785(i) or the consumption of alcoholic beverages within the protected area of commercial nuclear plants, or a determination of unfitness for scheduled work as a result of the consumption of alcoholic beverages.
Sec. 53.795 Expiration and renewal of operator and senior operator licenses.
(a) Expiration. (1) Each operator license and senior operator license expires 6 years after the date of issuance, upon termination of employment with the facility licensee, or upon determination by the facility licensee that the licensed individual no longer needs to maintain a license.
(2) If a licensee files an application for renewal or an upgrade of an existing license on NRC Form 398 at least 30 days before the expiration of the existing license, it does not expire until disposition of the application for renewal or for an upgraded license has been finally determined by the Commission. Filing by mail will be deemed to be complete at the time the application is postmarked
(b) Renewal. (1) The applicant for renewal of an operator license or senior operator license must--
(i) Complete and sign NRC Form 398 and include the number of the license for which renewal is sought.
(ii) File an original of NRC Form 398 as specified in Sec. 53.775.
(iii) Provide written evidence of the applicant's experience under the existing license and the approximate number of hours that the licensee has operated the facility.
(iv) Provide a statement by an authorized representative of the facility licensee that during the effective term of the current license the applicant has satisfactorily completed the requalification program for the facility for which operator or senior operator license renewal is sought.
(v) Provide evidence that the applicant has discharged the license responsibilities competently and safely. The Commission may accept as evidence of the applicant's having met this requirement a certificate of an authorized representative of the facility licensee or holder of an authorization by which the licensee has been employed.
(vi) Provide certification by the facility licensee of medical condition and general health on NRC Form 396, to comply with Sec. 53.765.
(2) The license will be renewed if the Commission finds that--
(i) The medical condition and the general health of the licensee continue to be such as not to cause operational errors that endanger public health and safety. The Commission will base this finding upon the certification by the facility licensee as described in Sec. 53.765(b).
(ii) The licensee--
(A) Is capable of continuing to competently and safely assume licensed duties;
(B) Has successfully completed a requalification program that has been approved by the Commission as required by Sec. 53.780(c); and
(C) Has passed the requalification examinations as required by Sec. 53.780(c).
(iii) There is a continued need for an operator to operate or for a senior operator to supervise operators at the facility designated in the application.
(iv) The past performance of the licensee has been satisfactory to the Commission. In making its finding, the Commission will include in its evaluation information such as notices of violations or letters of reprimand in the licensee's docket.
Sec. 53.800 Facility licensees for self-reliant-mitigation facilities.
(a) A commercial nuclear plant is a self-reliant-mitigation facility if the NRC determined as part of its approval of the OL or COL for that plant that its design demonstrates compliance with the criteria in paragraphs (a)(1) though (a)(5) of this section. A self- reliant-mitigation facility is of a class, based upon the similarity of operating and technical characteristics of the plants in the class, such that its licensee must comply with the requirements of Sec. Sec. 53.800 through 53.820 in lieu of those in Sec. Sec. 53.760 through 53.795.
(1) The safety performance criteria of Sec. Sec. 53.210 and 53.220 must be met without reliance upon human action for credited event mitigation.
(2) The results of the probabilistic risk assessment (PRA), other systematic risk evaluations, or a combination thereof required by Sec. 53.450(a) must demonstrate that the evaluation criteria for the events analyzed in accordance with Sec. 53.450 will be met without reliance on human actions to achieve acceptable event mitigation.
(3) The functional requirements analysis and function allocation performed under Sec. 53.730(d) must demonstrate that functions required for safety are not reliant upon credited human action.
(4) The plant response to events analyzed under Sec. 53.450 must rely exclusively on safety features and characteristics that will neither be rendered unavailable by credible human errors of commission or omission nor credibly require manual human operation in response to equipment failures. Compliance with this paragraph (a)(4) may be achieved through the use of SSCs that function through inherent characteristics or that have engineered protections against human failures.
(5) Assessments of credited human actions within the analysis of design-basis accidents (DBAs) and across the range of LBEs other than DBAs do not identify important human actions needed to ensure appropriate defense in depth is provided, as required by Sec. 53.250.
(b) [Reserved]
Sec. 53.805 Facility licensee requirements related to generally licensed reactor operators.
(a) Licensees for self-reliant-mitigation facilities that have not yet certified the permanent cessation of operations and permanent removal of fuel from the reactor vessel as described under Sec. 53.1070 must demonstrate compliance with the following requirements:
(1) Ensure that, in addition to being qualified to perform those items identified by the facility-specific systems approach to training conducted under Sec. 53.815, generally licensed reactor operators are qualified to safely and competently--
(i) Perform administrative tasks, including compliance with technical specifications, and perform operability determinations;
(ii) Implement maintenance and configuration controls;
(iii) Comply with radioactive release limitations;
(iv) Understand plant operating data, including reactor parameters, and evaluate emergency conditions;
(v) Initiate a reactor shutdown from necessary locations;
(vi) Dispatch and direct operations and maintenance personnel;
(vii) Implement any applicable responsibilities under the facility emergency plan; and
(viii) Make required notifications to local, State, participating Tribal, and Federal authorities.
(2) Develop, implement, and maintain facility technical specifications that provide the necessary administrative controls to ensure the implementation of the requirements in this section.
(3) Develop, implement, and maintain the generally licensed reactor operator training, examination, and proficiency programs required under Sec. 53.815.
(4) Ensure that generally licensed reactor operators are subject to the facility's generally licensed reactor operator training, examination, and proficiency programs required under Sec. 53.815. Ensure that generally licensed reactor operators are subject to and comply with the applicable programmatic requirements for personnel required under 10 CFR parts 26 and 73. An individual that is not in compliance with any of these programs is not qualified to be in a position that may involve the manipulation of the controls of the commercial nuclear plant.
(5) Report annually to the NRC the identity of all generally licensed reactor operators at the commercial nuclear plant, including all additions and deletions since the previous report.
(6) Ensure that the facility design continues to meet the criteria of Sec. 53.800.
(b) [Reserved]
Sec. 53.810 Generally licensed reactor operators.
(a) A general license to manipulate the controls of a self-reliant- mitigation facility and to direct the licensed activities of generally licensed reactor operators is hereby issued to any individual employed in a position that may involve the manipulation of the controls of that self-reliant-mitigation facility and who observes the restrictions of this section.
(b) A generally licensed reactor operator must comply with the operating procedures and other conditions specified in the license authorizing operation of the facility.
(c) The general license is limited to the facility or facilities at which the operator is employed.
(d) The Commission will suspend the general license on an individual operator basis for violations of any provision of the Act or any rule or regulation issued thereunder whenever the Commission deems such suspension desirable, including--
(1) For willful violation of, or failure to observe, any of the terms and conditions of the Act or the general license, or of any rule, regulation, or order of the Commission;
(2) For any conduct determined by the Commission to be a hazard to safe operation of the facility; or
(3) For the sale, use, or possession of illegal drugs, or refusal to participate in the facility drug and alcohol testing program, or a confirmed positive test for
drugs, drug metabolites, or alcohol in violation of the conditions and cutoff levels established by Sec. 53.810(f) or the consumption of alcoholic beverages within the protected area of commercial nuclear plants, or a determination of unfitness for scheduled work as a result of the consumption of alcoholic beverages.
(e) The Commission may require information from a generally licensed reactor operator to determine whether a general license should be revoked or suspended with respect to that operator.
(f) The generally licensed reactor operator must not consume or ingest alcoholic beverages within the protected area of commercial nuclear plants. The generally licensed reactor operator must not use, possess, or sell any illegal drugs. The generally licensed reactor operator must not perform activities requiring a general license while under the influence of alcohol or any prescription, over-the-counter, or illegal substance that could adversely affect his or her ability to safely and competently perform these activities. For the purpose of this paragraph (f), with respect to alcoholic beverages and drugs, the term “under the influence” means the generally licensed reactor operator exceeded, as evidenced by a confirmed test result, the lower of the cutoff levels for drugs or alcohol contained in 10 CFR part 26, or as established by the facility licensee. The term “under the influence” also means the generally licensed reactor operator could be mentally or physically impaired as a result of substance use including prescription and over-the-counter drugs, as determined under the provisions, policies, and procedures established by the facility licensee for its fitness-for-duty program, in such a manner as to adversely affect his or her ability to safely and competently perform generally licensed reactor operator duties.
(g) The generally licensed reactor operator must notify the Commission within 30 days about a conviction for a felony.
Sec. 53.815 Generally licensed reactor operator training, examination, and proficiency programs.
(a) Applicability. The requirements of this section apply to each licensee of a self-reliant-mitigation facility that has not yet certified the permanent cessation of operations and permanent removal of fuel from the reactor vessel as described under Sec. 53.1070.
(b) Requirements. (1) The facility licensee must develop, implement, and maintain training and examination programs that demonstrate compliance with the requirements of paragraphs (b)(2) through (b)(3) of this section.
(2) The training program must provide for both the initial and continuing training of generally licensed reactor operators and be derived from a systems approach to training as defined in this part.
(3)(i) The training program must incorporate the instructional requirements necessary to provide qualified generally licensed reactor operators to operate and maintain the facility in a safe manner in all modes of operation. The training program must comply with the facility license, including all technical specifications and applicable regulations. The facility licensee must periodically evaluate and revise the training program as appropriate to reflect industry experience and relevant changes, including changes to the facility, procedures, regulations, and quality assurance (QA) requirements. Facility licensee management must periodically review the training program for effectiveness.
(ii) The training program must ensure that generally licensed reactor operators have and maintain the necessary knowledge, skills, and abilities.
(iii) The training program must include the generally licensed reactor operator manipulating the controls of either the facility or a simulation facility that demonstrates compliance with the requirements of Sec. 53.815(e).
(iv) The training program must include an initial examination program for testing a representative sample of the knowledge, skills, and abilities needed to safely perform generally licensed reactor operator duties, to include both the examination methods and criteria to be used to assess passing performance. The facility licensee must provide the opportunity for a representative of the Commission to be present during initial examination administration.
(v) The training program must include a requalification examination program for testing a sample of the topics included under the systems approach to training, to include the examination methods and criteria to be used to assess passing performance. The requalification examination program must specify an appropriate periodicity for administering a complete requalification examination to each generally licensed reactor operator, and the facility licensee must provide the opportunity for a representative of the Commission to be present during requalification examination administration.
(A) The facility licensee must ensure that any generally licensed reactor operator who either demonstrates unsatisfactory performance on, or fails to complete, the requalification examination is removed from the performance of generally licensed reactor operator duties until such time that any necessary remedial training has been completed and a retake examination has been passed.
(B) [Reserved]
(vi) The training program must be approved by the Commission prior to its use, as described under Sec. 53.730(g). The examination program must provide for valid and reliable examinations and must be approved by the Commission prior to their use, as described under Sec. 53.730(g). The approved programs are subject to the requirements of Sec. 53.1565.
(c) Records. The following is required regarding the documentation of the generally licensed reactor operator training and examination programs:
(1) Sufficient records must be maintained by the facility licensee to maintain the integrity of the programs and kept available for NRC inspection to verify the adequacy of the programs.
(2) The facility licensee must maintain records documenting the participation of each generally licensed reactor operator in the training and examination programs. The records must contain copies of examinations administered, the answers given by the generally licensed reactor operator, documentation of the grading of examinations, and documentation of any additional training administered in areas in which a generally licensed reactor operator exhibited deficiencies. The facility licensee must retain these records while the associated generally licensed reactor operators remain employed at the facility.
(3) Each record required by this part must be legible throughout the retention period. The record may be the original, a reproduced copy, or an electronic copy provided that the copy is authenticated by authorized personnel.
(d) Examination integrity. Generally licensed reactor operators and facility licensees must not engage in any activity that compromises the integrity of any examination conducted under the generally licensed reactor operator training and examination programs. The integrity of an examination is considered compromised if any activity, regardless of intent, affected, or, but for detection, could have affected the consistent administration of the examination. This includes all activities related to the preparation, administration, and grading of examinations.
(e) Simulation facilities. (1) Simulation facilities used for training
purposes, for maintaining proficiency, or for the conduct of examinations must demonstrate compliance with the following criteria as they relate to the facility licensee's reference plant:
(i) The simulation facility must be of sufficient scope and fidelity for individuals to acquire and demonstrate the necessary knowledge, skills, and abilities to safely perform generally licensed reactor operator duties.
(ii) The simulation facility must utilize models relating to nuclear, thermal-hydraulic, and other applicable design-specific characteristics that either replicate the most recent fuel load in the reference commercial nuclear plant or, prior to initial fuel load (or, for a fueled manufactured reactor, prior to initiating the removal of the features to prevent criticality required under Sec. 53.620(d)(1)), replicate the intended initial fuel load for the reference commercial nuclear plant, with the exception of those portions of the simulation facility that utilize the reference plant itself.
(iii) Simulator fidelity must be demonstrated so that significant control manipulations are completed without procedural exceptions, simulator performance exceptions, or deviation from the approved training scenario sequence.
(2) Facility licensees that maintain a simulation facility for training purposes, for maintaining proficiency, or for the conduct of examinations must--
(i) Conduct performance testing throughout the life of the simulation facility in a manner sufficient to ensure that paragraph (e)(1) of this section is met;
(ii) Retain the results of performance testing for 4 years after the completion of each performance test or until superseded by updated test results;
(iii) Promptly correct modeling and hardware discrepancies and discrepancies identified from scenario validation and from performance testing or provide justification for why the presence of such discrepancies will not adversely affect the criteria of paragraph (e)(1) of this section;
(iv) Make the results of any uncorrected performance test failures that may exist at the time of an inspection available for NRC review; and
(v) Maintain the provisions for examination integrity consistent with Sec. 53.815(d).
(f) Waiver of examination requirement. The facility licensee may waive any or all of the requirements for an examination in accordance with the facility licensee's Commission-approved generally licensed reactor operator training and examination programs.
(g) Proficiency. The facility licensee must develop, implement, and maintain a proficiency program to allow generally licensed reactor operators to maintain proficiency regarding position functions and familiarity with plant status. This program must include those steps that will be taken in order to re-establish proficiency when it cannot be maintained.
Sec. 53.820 Cessation of individual applicability.
The general license ceases to be applicable on an individual basis once a generally licensed reactor operator is no longer being employed in a position that may involve the manipulation of the controls of the self-reliant mitigation facility.
Sec. 53.830 Training and qualification of commercial nuclear personnel.
(a) This section addresses personnel training requirements. The regulations within this section are applicable to all applicants for or holders of OLs or COLs under this part.
(b) Prior to initial fuel load (or, for a fueled manufactured reactor, prior to initiating the removal of the features to prevent criticality required under Sec. 53.620(d)(1)), each holder of an operating or COL under this part must, with sufficient time to provide trained and qualified personnel to operate the facility, establish, implement, and maintain a training program that demonstrates compliance with the requirements of paragraphs (c) and (d) of this section.
(c) The training program must be derived from a systems approach to training as defined in this part and must provide, at a minimum, for the training and qualification of the following categories of commercial nuclear personnel:
(1) Supervisors (e.g., shift supervisors);
(2) Technicians (e.g., maintenance, chemistry, and radiological); and
(3) Other appropriate operating personnel (e.g., auxiliary operators, certified fuel handlers, and individuals who provide engineering expertise to on-shift operating personnel).
(d) The training program must incorporate the instructional requirements necessary to provide qualified personnel to operate components of a commercial nuclear plant and maintain the facility in a safe manner in all modes of operation. The training program must be developed to be in compliance with the facility license, including all technical specifications and applicable regulations.
(1) The training program must be periodically evaluated and revised as appropriate to reflect industry experience and relevant changes, including changes to the facility, procedures, regulations, and QA requirements. The training program must be periodically reviewed by facility licensee management for effectiveness.
(2) Sufficient records must be maintained by the facility licensee to maintain program integrity and kept available for NRC inspection to verify the adequacy of the training program.
Sec. 53.845 Programs.
(a) The required plant programs under this part must include but are not necessarily limited to the programs described in the following sections of this subpart. Licensees may combine, separate, and otherwise organize programs and related documents as appropriate for the technologies and organizations associated with the commercial nuclear plant.
(b) In addition to the programs described in the following sections, programs must be provided for each commercial nuclear plant, if necessary, to ensure that the performance of design features and human actions are consistent with the analyses performed under Sec. Sec. 53.450 and 53.730 and that the plant will demonstrate compliance with the safety criteria defined in Sec. Sec. 53.210 and 53.220.
Sec. 53.850 Radiation protection.
(a) Each holder of an OL or COL under this part must develop, implement, and maintain a Radiation Protection Program for operations that is commensurate with the scope and extent of licensed activities under this part and includes measures for limiting and monitoring radioactive plant effluents and limiting and monitoring the dose to individuals working with radioactive materials in accordance with 10 CFR part 20.
(b) Each holder of an OL or COL under this part must develop, implement, and maintain a program for the control of radioactive effluents and for environmental monitoring. The program must be contained in an Offsite Dose Calculations Manual, must be implemented by procedures, and must include remedial actions to be taken whenever the program limits are exceeded. The Offsite Dose Calculations Manual must--
(1) Contain the methodology and parameters used in the calculation of offsite doses resulting from radioactive
gaseous and liquid effluents, in the calculation of gaseous and liquid effluent monitoring alarm and trip setpoints, and in the conduct of the radiological environmental monitoring program; and
(2) Contain the radioactive effluent controls and radiological environmental monitoring activities, and descriptions of the information that should be included in the Annual Radiological Environmental Operating and Radioactive Effluent Release Reports required by Sec. 53.1645.
(c) Each holder of an OL or COL under this part must develop, implement, and maintain a Process Control Program that identifies the administrative and operational controls for solid radioactive waste processing, process parameters, and surveillance requirements sufficient to ensure compliance with the requirements of 10 CFR part 20, 10 CFR part 61, and 10 CFR part 71.
Sec. 53.855 Emergency preparedness.
(a) Each holder of an OL or COL under this part must have an emergency response plan that must contain information needed to demonstrate compliance with either the requirements in Sec. 50.160 of this chapter or the requirements in appendix E to part 50 and the planning standards of Sec. 50.47(b) of this chapter.
(b) No initial OL, initial COL, or early site permit that includes complete and integrated emergency plans will be issued under this part unless a finding is made by the NRC, in accordance with Sec. 50.47 of this chapter, that there is reasonable assurance that adequate protective measures can and will be taken in the event of a radiological emergency.
Sec. 53.860 Security programs.
(a) Physical protection program. Each holder of an OL or COL under this part must develop, implement, and maintain a physical protection program under the following requirements:
(1) The licensee must implement security requirements for the protection of special nuclear material based on the type, enrichment, and quantity in accordance with 10 CFR part 73, as applicable, and implement security requirements for the protection of Category 1 and Category 2 quantities of radioactive material in accordance with 10 CFR part 37, as applicable; and
(2) The licensee must demonstrate compliance with the provisions set forth in either Sec. 73.55 or Sec. 73.100 of this chapter.
(b) Fitness-for-duty. Each holder of an OL or COL under this part must develop, implement, and maintain a fitness-for-duty program under 10 CFR part 26.
(c) Access authorization. Each holder of an OL or COL under this part must develop, implement, and maintain an access authorization program under Sec. 73.56 or Sec. 73.120 of this chapter, as applicable.
(d) Cybersecurity. Each holder of an OL or COL under this part must develop, implement, and maintain a cybersecurity program under Sec. 73.54 or Sec. 73.110 of this chapter.
(e) Information security. Each holder of an OL or COL under this part must develop, implement, and maintain an information protection system under Sec. Sec. 73.21, 73.22, and 73.23 of this chapter, as applicable.
Sec. 53.865 Quality assurance.
Each holder of an OL or COL under this part must develop, implement, and maintain a quality assurance program in accordance with appendix B of part 50 of this chapter. A written quality assurance program manual must be developed and used to guide the conduct of the program.
Sec. 53.870 Integrity assessment programs.
Each holder of an OL or COL under this part must develop, implement, and maintain an integrity assessment program to monitor, evaluate, and manage--
(a) The effects of plant aging on SR and NSRSS SSCs. The program may refer to surveillances, tests, and inspections conducted for specific SSCs in accordance with other requirements in this part or conducted in accordance with applicable consensus codes and standards endorsed or otherwise found acceptable by the NRC;
(b) Cyclic or transient load limits to ensure that SR and NSRSS SSCs are maintained within the applicable design limits; and
(c) Degradation mechanisms related to chemical interactions, operating temperatures, effects of irradiation, and other environmental factors to ensure that the capabilities, availability, and reliability of SR and NSRSS SSCs demonstrate compliance with the functional design criteria of Sec. Sec. 53.410 and 53.420.
Sec. 53.875 Fire protection.
(a)(1) Each holder of an OL or COL under this part must have a fire protection plan that describes the overall fire protection program for the facility; identifies the various positions within the licensee's organization that are responsible for the program; states the authorities that are delegated to each of these positions to implement those responsibilities; and outlines the plans for fire protection, fire detection and suppression capability; and limitation of fire damage.
(2) The fire protection plan must also describe specific features necessary to implement the program described in paragraph (a)(1) of this section such as the following: administrative controls and personnel requirements for fire prevention and manual fire suppression activities; automatic and manually operated fire detection and suppression systems; and the means to limit fire damage to SSCs so that the capability to demonstrate compliance with the requirements of Sec. 53.210 is ensured.
(b)(1) Each holder of an OL or COL under this part must develop a performance-based or deterministic fire protection program that demonstrates compliance with the safety criteria outlined in Sec. Sec. 53.210 and 53.220, related safety functions outlined in Sec. 53.230, and defense in depth as outlined in Sec. 53.250 with specific fire protection measures related to fire prevention, fire detection, and fire suppression.
(2) The fire protection program must comply with the following:
(i) Safety-related and, where appropriate, NSRSS SSCs must be designed, located, and maintained to minimize, consistent with other safety requirements, the probability and effect of fires and explosions.
(ii) Noncombustible and fire-resistant materials must be used wherever practical throughout the facility, particularly in locations with SR and NSRSS SSCs.
(iii) Fire detection and fire suppression systems of appropriate capacity and capability must be provided and designed and maintained to minimize the adverse effects of fires on SR and NSRSS SSCs.
(iv) Fire suppression systems must be designed and maintained to ensure that their rupture or inadvertent operation does not significantly impair the ability of SR and NSRSS SSCs to perform their safety functions to satisfy Sec. 53.230.
Sec. 53.880 Inservice inspection and inservice testing.
(a) Each holder of an OL or COL under this part must develop, implement, and maintain a program for inservice inspection (ISI) and inservice testing (IST) prior to receiving an OL or COL. The ISI/IST programs must, wherever applicable, be in accordance with generally accepted consensus codes and standards that have been endorsed or otherwise found acceptable by the NRC. The ISI/IST program must
include all inspections and tests required by the codes and standards used in the design and be supplemented by risk insights that identify the most important SSCs to plant safety. The types of testing and inspections and their frequency should be informed by risk insights to maintain the reliability and performance of SSCs consistent with the associated design and analyses activities involving those SSCs. Risk insights must also be used to determine when to conduct the inspections and tests (e.g., full power, shutdown, refueling) to minimize risk to the plant workers and the public. The ISI/IST program must be documented in a written manual and managed by qualified personnel reporting to the director, responsible officer, or designated person.
(b) Prior to plant operation, baseline inspections and testing must be performed using the same techniques as will be used for future inspections and testing. The results of these inspections and testing must be used as benchmarks for evaluating the results of future inspections and testing. Sufficient room and support must be provided to accommodate the personnel, ISI/IST equipment, and shielding necessary to perform the inspections and testing. Acceptance criteria for determining whether corrective action is needed must be developed (or taken from the codes and standards used in the design) for evaluating the results of the inspections and testing. The results of the inspections and testing must be provided to the director, responsible officer, or designated person who is responsible for determining what, if any, corrective action is needed and when it should be taken. The ISI/IST results and corrective actions must be documented and the documentation retained for the life of the plant.
Sec. 53.910 Procedures and guidelines.
(a) Each holder of an OL or COL under this part must have a program for developing, implementing, and maintaining an integrated set of procedures, guidelines, and related supporting activities to support normal operations and respond to possible unplanned events.
(b) The program required by paragraph (a) of this section must include but is not limited to development, implementation, maintenance, and supporting activities of procedures and guidelines for the following:
(1) Plant operations;
(2) Maintenance activities under Sec. 53.715;
(3) Program requirements under this subpart;
(4) Emergency operating procedures, if developed to address the role of human actions in responding to LBEs;
(5) Accident management guidelines, if developed to address the role of human actions in responding to LBEs;
(6) Procedures for each area in which licensed special nuclear material is handled, used, or stored to protect personnel upon the sounding of a criticality alarm required by Sec. 53.440(m); and
(7) Procedures that describe how the licensee will address the following areas if the licensee is notified of a potential aircraft threat:
(i) Verification of the authenticity of threat notifications;
(ii) Maintenance of continuous communication with threat notification sources;
(iii) Contacting all onsite personnel and applicable offsite response organizations;
(iv) Onsite actions necessary to enhance the capability of the facility to mitigate the consequences of an aircraft impact;
(v) Measures to reduce visual discrimination of the site relative to its surroundings or individual buildings within the protected area;
(vi) Dispersal of equipment and personnel, as well as rapid entry into site protected areas for essential onsite personnel and offsite responders who are necessary to mitigate the event; and
(vii) Recall of site personnel.

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Subpart G--Decommissioning Requirements

Sec. 53.1000 Scope and purpose.
This subpart defines the requirements related to decommissioning for applicants for, or holders of, an operating license (OL) or combined license (COL). The requirements related to maintaining financial assurance for decommissioning are in Sec. Sec. 53.1010 through 53.1060. The requirements for transitioning from operations to decommissioning and for the release of property and termination of the license are in Sec. Sec. 53.1070 through 53.1080.
Sec. 53.1010 Financial assurance for decommissioning.
(a) This section establishes requirements for indicating to the U.S. Nuclear Regulatory Commission (NRC) how an applicant for or holder of an OL or COL under this part will provide reasonable assurance that funds will be available for the decommissioning process. Reasonable assurance consists of a series of steps as provided in paragraph (b) of this section and Sec. Sec. 53.1020, 53.1030 and 53.1040. Funding for the decommissioning of commercial nuclear plants may also be subject to the regulation of Federal or State government agencies (e.g., Federal Energy Regulatory Commission (FERC) and State Public Utility Commissions) that have jurisdiction over rate regulation. The requirements of this subpart, in particular Sec. 53.1020, are in addition to, and not a substitution for, other requirements, and are not intended to be used by themselves or by other agencies to establish rates.
(b) Each applicant for an OL or COL under this part must prepare a plan and an associated decommissioning report that ensures and documents that adequate funding will be available to decommission the facility. Each holder of an OL or COL must implement and maintain the plan.
(1)(i) Before the Commission issues an OL under this part, the applicant must update the decommissioning report to certify that it has provided financial assurance for decommissioning in the amount proposed in the application and approved by the NRC under Sec. 53.1020.
(ii) No later than 30 days after the Commission issues the notice of intended operation under Sec. 53.1452 for a COL under this part, the licensee must update the decommissioning report to certify that it has provided financial assurance for decommissioning in the amount proposed in the application and approved by the NRC under Sec. 53.1020.
(2) The amount of financial assurance for decommissioning to be provided must be based on a site-specific cost estimate for decommissioning the facility under Sec. 53.1020.
(3) The amount of financial assurance for decommissioning to be provided must be adjusted annually using a rate at least equal to that stated in Sec. 53.1030.
(4) The amount of financial assurance for decommissioning to be provided must be covered by one or more of the methods described in Sec. 53.1040 as acceptable to the NRC. A copy of the financial instrument obtained to satisfy the requirements of Sec. 53.1040 must be submitted to the NRC as part of the application for an OL under this part; however, an applicant for or holder of a COL need not obtain such financial instrument or submit a copy to the Commission except as provided in Sec. 53.1060(b).
Sec. 53.1020 Cost estimates for decommissioning.
Cost estimates for decommissioning must be site-specific. Site- specific decommissioning cost estimates (DCEs) must account for the engineering, labor,
equipment, transportation, disposal, and related charges needed to support termination of the license. They must include the costs for decontaminating structures, systems, and components and the site environs; removal of contaminated components and materials from the plant and the site environs; disposal of removed components and materials in appropriate facilities; and any other activities supporting the release of the property and termination of the license. They must also address the approach to annual adjustments required by Sec. 53.1030. Finally, site-specific DCEs must include plans for adjusting levels of funds assured for decommissioning to demonstrate that a reasonable level of assurance will be provided that funds will be available when needed to cover the cost of decommissioning.
Sec. 53.1030 Annual adjustments to cost estimates for decommissioning.
Each holder of an OL or COL under this part must annually adjust the cost estimate for decommissioning to account for escalation in labor, energy, and waste burial costs. Licensees may elect to use either a site-specific adjustment factor, approved as part of the plan and associated decommissioning report required by Sec. 53.1010, in paragraph (a) of this section or the generic adjustment factor in paragraph (b) of this section.
(a) A site-specific adjustment factor must address the estimated contributions and escalation of costs for the following aspects of decommissioning:
(1) Labor, materials, and services;
(2) Energy and waste transportation; and
(3) Radioactive waste burial or other disposition.
(b) A generic adjustment factor must be at least equal to 0.65 L + 0.13 E + 0.22 B, where L and E are escalation factors for labor and energy, respectively, and are to be taken from regional data of U.S. Department of Labor Bureau of Labor Statistics and B is an escalation factor for waste burial and is to be taken from NRC report NUREG-1307, “Report on Waste Burial Charges.”
Sec. 53.1040 Methods for providing financial assurance for decommissioning.
Financial assurance for decommissioning is to be provided by the following methods.
(a) Prepayment. Prepayment is the deposit made preceding the start of operation or the transfer of a license under Sec. 53.1570 into an account segregated from licensee assets and outside the administrative control of the licensee and its subsidiaries or affiliates of cash or liquid assets such that the amount of funds would be sufficient to pay decommissioning costs. Prepayment may be in the form of a trust, escrow account, or Government fund with payment by certificate of deposit, deposit of government or other securities, or other method acceptable to the NRC. This trust, escrow account, Government fund, or other type of agreement must be established in writing and maintained at all times in the United States with an entity that is an appropriate State or Federal government agency, or an entity whose operations in which the prepayment deposit is managed are regulated and examined by a Federal or State agency. A licensee that has prepaid funds based on a site- specific cost estimate under Sec. 53.1020 may take credit for projected earnings on the prepaid decommissioning trust funds, using up to a 2 percent annual real rate of return through the time of termination of the license. A licensee may use a credit of greater than 2 percent if the licensee's rate-setting authority has specifically authorized a higher rate. Actual earnings on existing funds may be used to calculate future fund needs.
(b) External sinking fund. An external sinking fund is a fund established and maintained by setting funds aside periodically in an account segregated from licensee assets and outside the administrative control of the licensee and its subsidiaries or affiliates in which the total amount of funds would be sufficient to pay decommissioning costs. An external sinking fund may be in the form of a trust, escrow account, or Government fund, with payment by certificate of deposit, deposit of government or other securities, or other method acceptable to the NRC. This trust, escrow account, Government fund, or other type of agreement must be established in writing and maintained at all times in the United States with an entity that is an appropriate State or Federal government agency, or an entity whose operations in which the external sinking fund is managed are regulated and examined by a Federal or State agency. A licensee that has collected funds based on a site- specific cost estimate under Sec. 53.1020 may take credit for projected earnings on the external sinking funds using up to a 2 percent annual real rate of return from the time of future funds' collection through the time of termination of the license. A licensee may use a credit of greater than 2 percent if the licensee's rate- setting authority has specifically authorized a higher rate. Actual earnings on existing funds may be used to calculate future fund needs. A licensee whose rates for decommissioning costs cover only a portion of these costs may make use of this method only for the portion of these costs that are collected in one of the manners described in this paragraph (b). This method may be used as the exclusive mechanism relied upon for providing financial assurance for decommissioning in the following circumstances:
(1) By a licensee that recovers, either directly or indirectly, the estimated total cost of decommissioning through rates established by “cost of service” or similar ratemaking regulation. Public utility districts, municipalities, rural electric cooperatives, and State and Federal agencies, including associations of any of the foregoing, that establish their own rates and are able to recover their cost of service allocable to decommissioning, are deemed to satisfy this condition.
(2) By a licensee whose source of revenues for its external sinking fund is a “non-bypassable charge,” the total amount of which will provide funds estimated to be needed for decommissioning pursuant to Sec. 53.1020, Sec. 53.1060, or Sec. 53.1575.
(c) A surety method, insurance, or other guarantee method. (1) These methods guarantee that decommissioning costs will be paid. A surety method may be in the form of a surety bond, or letter of credit. Any surety method or insurance used to provide financial assurance for decommissioning must contain the following conditions:
(i) The surety method or insurance must be open-ended, or, if written for a specified term, such as 5 years, must be renewed automatically, unless 90 days or more prior to the renewal day the issuer notifies the NRC, the beneficiary, and the licensee of its intention not to renew. The surety or insurance must also provide that the full-face amount be paid to the beneficiary automatically prior to the expiration without proof of forfeiture if the licensee fails to provide a replacement acceptable to the NRC within 30 days after receipt of notification of cancellation.
(ii) The surety or insurance must be payable to a trust established for decommissioning costs. The trustee and trust must be acceptable to the NRC. An acceptable trustee includes an appropriate State or Federal government agency or an entity that has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or State agency.
(2) A parent company guarantee of funds for decommissioning costs based on a financial test may be used if the guarantee and test are as contained in appendix A to 10 CFR part 30.
(3) For commercial companies that issue bonds, a guarantee of funds by the applicant or licensee for decommissioning costs based on a financial test may be used if the guarantee and test are as contained in appendix C to 10 CFR part 30. For commercial companies that do not issue bonds, a guarantee of funds by the applicant or licensee for decommissioning costs may be used if the guarantee and test are as contained in appendix D to 10 CFR part 30. A guarantee by the applicant or licensee may not be used in any situation in which the applicant or licensee has a parent company holding majority control of voting stock of the company.
(d) Funding method for Federal licensees. For a Federal licensee, a statement of intent containing a cost estimate for decommissioning and indicating that funds for decommissioning will be obtained when necessary.
(e) Contractual funding method. Contractual obligation(s) on the part of a licensee's customer(s), the total amount of which over the duration of the contract(s) will provide the licensee's total share of uncollected funds estimated to be needed for decommissioning pursuant to Sec. 53.1020, Sec. 53.1060, or Sec. 53.1575. To be acceptable to the NRC as a method of decommissioning funding assurance, the terms of the contract(s) must include provisions that the buyer(s) of electricity or other products will pay for the decommissioning obligations specified in the contract(s), notwithstanding the operational status either of the licensed plant to which the contract(s) pertains or force majeure provisions. All proceeds from the contract(s) for decommissioning funding will be deposited to the external sinking fund. The NRC reserves the right to evaluate the terms of any contract(s) and the financial qualifications of the contracting entity or entities offered as assurance for decommissioning funding.
(f) Other funding mechanisms. Any other mechanism, or combination of mechanisms, that provides, as determined by the NRC upon its evaluation of the specific circumstances of each licensee submittal, assurance of decommissioning funding equivalent to that provided by the mechanisms specified in paragraphs (a) through (e) of this section. Licensees who do not have sources of funding described in paragraph (b) of this section may use an external sinking fund in combination with a guarantee mechanism, as specified in paragraph (c) of this section, provided that the total amount of funds estimated to be necessary for decommissioning is assured.
Sec. 53.1045 Limitations on the use of decommissioning trust funds.
(a)(1) Decommissioning trust funds may be used by licensees if--
(i) The withdrawals are for expenses for decommissioning activities consistent with the definition of decommission or decommissioning in Sec. 53.020;
(ii) The expenditure would not reduce the value of the decommissioning trust below an amount necessary to place and maintain the reactor in a safe storage condition if unforeseen conditions or expenses arise; and
(iii) The withdrawals would not inhibit the ability of the licensee to complete funding of any shortfalls in the decommissioning trust needed to ensure the availability of funds to ultimately release the site and terminate the license.
(2) Initially, 3 percent of the amount determined in accordance with Sec. 53.1020 may be used for decommissioning planning. For licensees that have submitted the certifications required under Sec. 53.1070 and commencing 90 days after the NRC has received the post- shutdown decommissioning activities report (PSDAR) required by Sec. 53.1060, an additional 20 percent may be used. An updated site-specific DCE must be submitted to the NRC prior to the licensee using any funding in excess of these amounts.
(b) Licensees that are not “electric utilities” as defined in Sec. 53.020 that use prepayment or an external sinking fund to provide financial assurance must provide in the terms of the arrangements governing the trust, escrow account, or Government fund, used to segregate and manage the funds that--
(1) The trustee, manager, investment advisor, or other person directing investment of the funds--
(i) Is prohibited from investing the funds in securities or other obligations of the licensee or any other owner or operator of any commercial nuclear plant or their affiliates, subsidiaries, successors or assigns, or in a mutual fund in which at least 50 percent of the fund is invested in the securities of a licensee or parent company whose subsidiary is an owner or operator of a foreign or domestic commercial nuclear plant. However, the funds may be invested in securities tied to market indices or other non-nuclear sector collective, commingled, or mutual funds, provided that no more than 10 percent of trust assets may be indirectly invested in securities of any entity owning or operating one or more commercial nuclear plants.
(ii) Is obligated at all times to adhere to a standard of care set forth in the trust, which either shall be the standard of care, whether in investing or otherwise, required by State or Federal law or one or more State or Federal regulatory agencies with jurisdiction over the trust funds, or, in the absence of any such standard of care, whether in investing or otherwise, that a prudent investor would use in the same circumstances. The term “prudent investor,” shall have the same meaning as set forth in FERC's “Regulations Governing Nuclear Plant Decommissioning Trust Funds” at 18 CFR 35.32(a)(3), or any successor regulation.
(2) The licensee, its affiliates, and its subsidiaries are prohibited from being engaged as investment manager for the funds or from giving day-to-day management direction of the funds' investments or direction on individual investments by the funds, except in the case of passive fund management of trust funds where management is limited to investments tracking market indices.
(3) The trust, escrow account, Government fund, or other account used to segregate and manage the funds may not be amended in any material respect without written notification to the Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as applicable, at least 30 working days before the proposed effective date of the amendment. The licensee must provide the text of the proposed amendment and a statement of the reason for the proposed amendment. The trust, escrow account, Government fund, or other account may not be amended if the person responsible for managing the trust, escrow account, Government fund, or other account receives written notice of objection from the Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as applicable, within the notice period.
(4) Except for withdrawals being made under paragraph (a) of this section or for payments of ordinary administrative costs (including taxes) and other incidental expenses of the fund (including legal, accounting, actuarial, and trustee expenses) in connection with the operation of the fund, no disbursement or payment may be made from the trust, escrow account,
Government fund, or other account used to segregate and manage the funds until written notice of the intention to make a disbursement or payment has been given to the Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as applicable, at least 30 working days before the date of the intended disbursement or payment. The disbursement or payment from the trust, escrow account, Government fund or other account may be made following the 30 working day notice period if the person responsible for managing the trust, escrow account, Government fund, or other account does not receive written notice of objection from the Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as applicable, within the notice period. Disbursements or payments from the trust, escrow account, Government fund, or other account used to segregate and manage the funds, other than for payment of ordinary administrative costs (including taxes) and other incidental expenses of the fund (including legal, accounting, actuarial, and trustee expenses) in connection with the operation of the fund, are restricted to decommissioning expenses or transfer to another financial assurance method acceptable under Sec. 53.1040 until final decommissioning has been completed. After decommissioning has begun and withdrawals from the decommissioning fund are made under paragraph (a) of this section, no further notification need be made to the NRC.
(c) Licensees that are “electric utilities” under Sec. 53.020 that use prepayment or an external sinking fund to provide financial assurance must include a provision in the terms of the trust, escrow account, Government fund, or other account used to segregate and manage funds that except for withdrawals being made under paragraph (a) of this section or for payments of ordinary administrative costs (including taxes) and other incidental expenses of the fund (including legal, accounting, actuarial, and trustee expenses) in connection with the operation of the fund, no disbursement or payment may be made from the trust, escrow account, Government fund, or other account used to segregate and manage the funds until written notice of the intention to make a disbursement or payment has been given the Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as applicable, at least 30 working days before the date of the intended disbursement or payment. The disbursement or payment from the trust, escrow account, Government fund or other account may be made following the 30 working day notice period if the person responsible for managing the trust, escrow account, Government fund, or other account does not receive written notice of objection from the Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as applicable, within the notice period. Disbursements or payments from the trust, escrow account, Government fund, or other account used to segregate and manage the funds, other than for payment of ordinary administrative costs (including taxes) and other incidental expenses of the fund (including legal, accounting, actuarial, and trustee expenses) in connection with the operation of the fund, are restricted to decommissioning expenses or transfer to another financial assurance method acceptable under Sec. 53.1040 until final decommissioning has been completed. After decommissioning has begun and withdrawals from the decommissioning fund are made under paragraph (a) of this section, no further notification need be made to the NRC.
(d) A licensee that is not an “electric utility” under Sec. 53.020 and using a surety method, insurance, or other guarantee method to provide financial assurance must provide that the trust established for decommissioning costs to which the surety or insurance is payable contains in its terms the requirements in Sec. 53.1045(b)(1) through (b)(4).
Sec. 53.1050 NRC oversight.
The NRC reserves the right to take the following steps in order to ensure a licensee's adequate accumulation of decommissioning funds: review, as needed, the rate of accumulation of decommissioning funds and, either independently or in cooperation with FERC and the licensee's State Public Utility Commission, take additional actions as appropriate on a case-by-case basis, including modification of a licensee's schedule for the accumulation of decommissioning funds.
Sec. 53.1060 Reporting and recordkeeping requirements.
(a) Each holder of an OL under this part or holder of a COL under this part after the date that the Commission has made the finding under Sec. 53.1452(g) must report, at least once every 2 years, by March 31, on the status of its certification of decommissioning funding for each commercial nuclear reactor or part of a commercial nuclear reactor that it owns. The information in this report must include, at a minimum, the amount of decommissioning funds estimated to be required under Sec. Sec. 53.1020 and 53.1030; the amount of decommissioning funds accumulated to the end of the calendar year preceding the date of the report; a schedule of the annual amounts remaining to be collected; the assumptions used regarding rates of escalation in decommissioning costs, rates of earnings on decommissioning funds, and rates of other factors used in funding projections; any contracts upon which the licensee is relying under Sec. 53.1040(e); any modifications occurring to a licensee's method of providing financial assurance since the last submitted report; and any material changes to trust agreements. If any of the preceding items is not applicable, the licensee should so state in its report. Any licensee for a plant that is within 5 years of the projected end of its operation, or where conditions have changed such that it will close within 5 years (before the end of its licensed life), or that has already closed (before the end of its licensed life), or that is involved in a merger or an acquisition must submit this report annually.
(b) Each holder of a COL under this part must, 2 years before and 1 year before the scheduled date for initial loading of fuel (or, for a fueled manufactured reactor, 2 years before and 1 year before the scheduled date for initiating the removal of the features to prevent criticality required under Sec. 53.620(d)(1)) submit a report to the NRC containing a certification updating the DCEs and a copy of the financial instrument to be used to satisfy Sec. 53.1040. No later than 30 days after the Commission publishes notice in the Federal Register under Sec. 53.1452(a), the licensee must submit an updated decommissioning report required under Sec. 53.1010(b)(1)(ii), including a copy of the financial instrument obtained to satisfy Sec. 53.1040.
(c) Each licensee must keep records of information important to the safe and effective decommissioning of the facility in an identified location until the license is terminated by the Commission. If records of relevant information are kept for other purposes, reference to these records and their locations may be used. Information the Commission considers important to decommissioning consists of--
(1) Records of spills or other unusual occurrences involving the spread of contamination in and around the facility, equipment, or site. These
records may be limited to instances when significant contamination remains after any cleanup procedures or when there is reasonable likelihood that contaminants may have spread to inaccessible areas as in the case of possible seepage into porous materials such as concrete. These records must include any known information on identification of involved nuclides, quantities, forms, and concentrations.
(2) As-built drawings and modifications of structures and equipment in restricted areas where radioactive materials are used and/or stored and of locations of possible inaccessible contamination such as buried pipes that may be subject to contamination. If required drawings are referenced, each relevant document need not be indexed individually. If drawings are not available, the licensee must substitute appropriate records of available information concerning these areas and locations.
(3) Records of the cost estimate performed for the decommissioning funding plan or of the amount certified for decommissioning, and records of the funding method used for assuring funds if either a funding plan or certification is used.
(4) Records of--
(i) The licensed site area, as originally licensed and any revisions, which must include a site map and any acquisition or use of property outside the originally licensed site area for the purpose of receiving, possessing, or using licensed materials;
(ii) The licensed activities carried out on the acquired or used property; and
(iii) The release and final disposition of any property recorded in paragraph (c)(4)(i) of this section, the historical site assessment performed for the release, radiation surveys performed to support release of the property, submittals to the NRC made under Sec. 53.1070, and the methods employed to ensure that the property met the radiological criteria of subpart E of 10 CFR part 20 at the time the property was released.
(d) Each holder of an OL or COL under this part must at or about 5 years prior to the projected end of operations submit a preliminary DCE which includes an up-to-date assessment of the major factors that could affect the cost to decommission.
(e) Prior to or within 2 years following permanent cessation of operations, the licensee must submit a PSDAR to the NRC, and a copy to the affected State(s). The PSDAR must contain a description of the planned decommissioning activities along with a schedule for their accomplishment, a discussion that provides the reasons for concluding that the environmental impacts associated with site-specific decommissioning activities will be bounded by appropriate previously issued environmental impact statements, and a site-specific DCE, including the projected cost of managing irradiated fuel.
(f) For decommissioning activities that delay completion of decommissioning by including a period of storage or surveillance, the licensee must provide a means of adjusting cost estimates and associated funding levels over the storage or surveillance period.
(g) After submitting its site-specific DCE required by paragraph (e) of this section, and until the licensee has completed its final radiation survey and demonstrated that residual radioactivity has been reduced to a level that permits termination of its license, the licensee must annually submit to the NRC, by March 31, a financial assurance status report. The report must include the following information, current through the end of the previous calendar year:
(1) The amount spent on decommissioning, both cumulative and over the previous calendar year, the remaining balance of any decommissioning funds, and the amount provided by other financial assurance methods being relied upon;
(2) An estimate of the costs to complete decommissioning, reflecting any difference between actual and estimated costs for work performed during the year, and the decommissioning criteria upon which the estimate is based;
(3) Any modifications occurring to a licensee's current method of providing financial assurance since the last submitted report; and
(4) Any material changes to trust agreements or financial assurance contracts.
(5) If the sum of the balance of any remaining decommissioning funds, plus earnings on such funds calculated at not greater than a 2 percent real rate of return, together with the amount provided by other financial assurance methods being relied upon, does not cover the estimated cost to complete the decommissioning, the financial assurance status report must include additional financial assurance to cover the estimated cost of completion.
(h) After submitting its site-specific DCE required by paragraph (e) of this section, the licensee must annually submit to the NRC, by March 31, a report on the status of its funding for managing irradiated fuel. The report must include the following information, current through the end of the previous calendar year:
(1) The amount of funds accumulated to cover the cost of managing the irradiated fuel;
(2) The projected cost of managing irradiated fuel until title to the fuel and possession of the fuel is transferred to the Secretary of Energy; and
(3) If the funds accumulated do not cover the projected cost, a plan to obtain additional funds to cover the cost.
Sec. 53.1070 Termination of license.
For each holder of an OL or COL under this part--
(a)(1) When the licensee has determined to permanently cease operations the licensee must, within 30 days, submit a written certification to the NRC, consistent with the requirements of Sec. 53.040(b)(8);
(2) When appropriate to support decommissioning activities and the eventual permanent removal of fuel from the reactor vessel, the licensee must develop defueled technical specifications by reviewing the operational technical specifications and determining which specifications no longer apply during decommissioning and which ones should remain applicable. The licensee must make the appropriate submittals to the NRC in accordance with Sec. 53.1510 to request changes to the technical specifications; and
(3)(i) Once fuel has been permanently removed from the reactor vessel, the licensee must submit a written certification to the NRC that meets the requirements of Sec. 53.040(b)(9); and
(ii) The licensee must establish and maintain staffing consisting of certified fuel handlers, as defined under Sec. 53.020, and other non-licensed personnel with appropriate qualifications, and in sufficient numbers, to ensure support for facility operations and radiological control activities, as required by the facility defueled technical specifications. These personnel must be subject to the training requirements of Sec. 53.830.
(b) Upon docketing of the certifications for permanent cessation of operations and permanent removal of fuel from the reactor vessel, or when a final legally effective order to permanently cease operations has come into effect, the license issued under this part no longer authorizes operation of the reactor or emplacement or retention of fuel into the reactor vessel.
(c) Decommissioning will be completed within 60 years of permanent cessation of operations. Completion of decommissioning beyond 60 years will be approved by the Commission only when necessary to protect public health and safety. Factors that will be
considered by the Commission in evaluating an alternative that provides for completion of decommissioning beyond 60 years of permanent cessation of operations include unavailability of waste disposal capacity and other site-specific factors affecting the licensee's capability to carry out decommissioning, including presence of other nuclear facilities at the site.
(d)(1) Prior to or within 2 years following permanent cessation of operations, the licensee must submit a PSDAR and site-specific DCE in accordance with Sec. 53.1060(e).
(2) The NRC must notice receipt of the PSDAR and make the PSDAR publicly available and publish notice of its availability for public comment in the Federal Register. The NRC must also schedule a public meeting readily accessible to individuals in the vicinity of the licensee's facility. The NRC must publish a notice in the Federal Register and in a forum, such as local newspapers, that is readily accessible to individuals in the vicinity of the site, announcing the date, time, and location of the meeting, along with a brief description of the purpose of the meeting.
(e) Licensees must not perform any major decommissioning activities, as defined in Sec. 53.020, until 90 days after the NRC has received the licensee's PSDAR submittal and until certifications of permanent cessation of operations and permanent removal of fuel from the reactor vessel, as required under paragraph (a) of this section, have been submitted.
(f) Licensees must not perform any decommissioning activities, as defined in Sec. 53.020, that--
(1) Foreclose release of the site for possible unrestricted use;
(2) Result in significant environmental impacts not previously reviewed; or
(3) Result in there no longer being reasonable assurance that adequate funds will be available for decommissioning.
(g) In taking actions permitted under Sec. 53.1540 following submittal of the PSDAR, the licensee must notify the NRC in writing, and send a copy to the affected State(s), before performing any decommissioning activity inconsistent with, or making any significant schedule change from, those actions and schedules described in the PSDAR, including changes that increase the decommissioning cost by more than 20 percent from the previously provided DCE.
(h) Licensees may use decommissioning trust funds consistent with the limitations of Sec. 53.1045(a). Licensees must report on the status of decommissioning trust funds consistent with the requirements of Sec. 53.1060.
(i) Licensees must submit an application for termination of license in accordance with Sec. 53.1070. The application for termination of license must be accompanied or preceded by a license termination plan to be submitted for NRC approval.
(1) The license termination plan must be a supplement to the Final Safety Analysis Report or equivalent and must be submitted at least 2 years before termination of the license date.
(2) The license termination plan must include--
(i) A site characterization;
(ii) Identification of remaining dismantlement activities;
(iii) Plans for site remediation;
(iv) Detailed plans for the final radiation survey;
(v) A description of the end use of the site, if restricted;
(vi) An updated site-specific estimate of remaining decommissioning costs;
(vii) A supplement to the environmental report, pursuant to Sec. 51.53 of this chapter, describing any new information or significant environmental change associated with the licensee's proposed termination activities; and
(viii) Identification of parts, if any, of the facility or site that were released for use before approval of the license termination plan.
(3) Following receipt of the license termination plan, the NRC must make the license termination plan publicly available and publish notice of its availability for public comment in the Federal Register. The NRC must also schedule a public meeting readily accessible to individuals in the vicinity of the licensee's facility upon receipt of the license termination plan. The NRC must publish a notice in the Federal Register and in a forum, such as local newspapers, that is readily accessible to individuals in the vicinity of the site, announcing the date, time, and location of the meeting, along with a brief description of the purpose of the meeting.
(j) If the license termination plan demonstrates that the remainder of decommissioning activities will be performed in accordance with the regulations in this chapter, will not be inimical to the common defense and security or to the health and safety of the public, and will not have a significant effect on the quality of the environment and after notice to interested persons, the Commission will approve the plan, by license amendment, subject to such conditions and limitations as it deems appropriate and necessary and authorize implementation of the license termination plan.
(k) The Commission will terminate the license if it determines that--
(1) The remaining dismantlement has been performed in accordance with the approved license termination plan; and
(2) The final radiation survey and associated documentation, including an assessment of dose contributions associated with parts released for use before approval of the license termination plan, demonstrate that the facility and site have met the criteria for decommissioning in subpart E of 10 CFR part 20.
Sec. 53.1075 Program requirements during decommissioning.
(a) Licensees that have submitted the certifications required under Sec. 53.1070 must maintain a decommissioning fire protection program to address the potential for fires that could cause the release or spread of radioactive materials.
(1) The objectives of the decommissioning fire protection program are to
(i) Reasonably prevent these fires from occurring;
(ii) Rapidly detect, control, and extinguish those fires that do occur and that could result in a radiological hazard; and
(iii) Ensure that the risk of fire-induced radiological hazards to the public, environment, and plant personnel is minimized.
(2) The licensee must assess the decommissioning fire protection program on a regular basis. The licensee must revise the decommissioning fire protection program documentation as appropriate throughout the various stages of facility decommissioning.
(3) The licensee may make changes to the decommissioning fire protection program without NRC approval if these changes do not reduce the effectiveness of fire protection for structures, systems, and components that could result in a radiological hazard, taking into account the decommissioning plant conditions and activities.
(b) [Reserved]
Sec. 53.1080 Release of part of a commercial nuclear plant or site for unrestricted use.
(a) Prior written NRC approval is required to release part of a commercial nuclear plant or site for unrestricted use at any time before receiving approval of a license termination plan. Section 53.1060 specifies recordkeeping requirements associated with partial release. Holders of an OL or COL under
this part seeking NRC review and approval must--
(1) Evaluate the effect of releasing the property to ensure that--
(i) The dose to individual members of the public does not exceed the limits and standards of subpart D of 10 CFR part 20;
(ii) There is no reduction in the effectiveness of emergency planning or physical security;
(iii) Effluent releases remain within license conditions;
(iv) The environmental monitoring program and offsite dose calculation manual are revised to account for the changes;
(v) The siting criteria of subpart D of this part continue to be met; and
(vi) All other applicable statutory and regulatory requirements continue to be met.
(2) Perform a historical site assessment of the part of the commercial nuclear plant or site to be released; and
(3) Perform surveys adequate to demonstrate compliance with the radiological criteria for unrestricted use specified in Sec. 20.1402 of this chapter for impacted areas.
(b) For release of non-impacted areas, the licensee may submit a written request for NRC review and approval of the release if a license amendment is not otherwise required. The request submittal must include--
(1) The results of the evaluations performed in accordance with paragraphs (a)(1) and (a)(2) of this section;
(2) A description of the part of the commercial nuclear plant or site to be released;
(3) The schedule for release of the property;
(4) The results of the evaluations performed in accordance with Sec. 53.1540; and
(5) A discussion that provides the reasons for concluding that the environmental impacts associated with the licensee's proposed release of the property will be bounded by appropriate previously issued environmental impact statements.
(c) After receiving a request from the licensee for NRC approval of the release of a non-impacted area, the NRC must--
(1) Determine whether the licensee has adequately evaluated the effect of releasing the property as required by paragraph (a)(1) of this section;
(2) Determine whether the licensee's classification of any release areas as non-impacted is adequately justified; and
(3) If determining that the licensee's submittal is adequate, inform the licensee in writing that the release is approved.
(d) For release of impacted areas, the licensee must submit an application for amendment of its license for the release of the property. The application must include--
(1) The information specified in paragraphs (b)(1) through (b)(3) of this section;
(2) The methods used for and results obtained from the radiation surveys required to demonstrate compliance with the radiological criteria for unrestricted use specified in Sec. 20.1402; and
(3) A supplement to the environmental report, under Sec. 51.53 of this chapter.
(e) After receiving a license amendment application from the licensee for the release of an impacted area, the NRC must--
(1) Determine whether the licensee has adequately evaluated the effect of releasing the property as required by paragraph (a)(1) of this section;
(2) Determine whether the licensee's classification of any release areas as non-impacted is adequately justified;
(3) Determine whether the licensee's radiation survey for an impacted area is adequate; and
(4) If determining that the licensee's submittal is adequate, approve the licensee's amendment application.
(f) The NRC must publish notice receipt of the release approval request or license amendment application in the Federal Register and make the approval request or license amendment application available for public comment. Before acting on an approval request or license amendment application submitted in accordance with this section, the NRC must conduct a public meeting readily accessible to individuals in the vicinity of the licensee's facility for the purpose of obtaining public comments on the proposed release of part of the commercial nuclear plant or site. The NRC must publish a document in the Federal Register and in a forum, such as local newspapers, which is readily accessible to individuals in the vicinity of the site, announcing the date, time, and location of the meeting, along with a brief description of the purpose of the meeting.

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How to cite this

The rule itself
Nuclear Regulatory Commission, “Risk-Informed, Technology-Inclusive Regulatory Framework for Advanced Reactors,” 91 FR 15696 (March 30, 2026). Effective April 29, 2026.
https://www.federalregister.gov/documents/2026/03/30/2026-06048/risk-informed-technology-inclusive-regulatory-framework-for-advanced-reactors
This page
“Risk-Informed, Technology-Inclusive Regulatory Framework for Advanced Reactors,” the text from “Subpart F--Requirements for Operation” to “Subpart G--Decommissioning Requirements.” Read the Mandate, https://readthemandate.org/rules/rule-2026-06048/text-9/ (retrieved August 27, 2026).

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