ML18039A950

Recommendations for Operator Licensing Process - Part a Final

ML18039A950
Person / Time
Issue date:	03/06/2018
From:	Paul Krohn, Mark Miller Human Performance, Operator Licensing & ITAAC Branch, Division of Reactor Safety II
To:	Frederick Brown, Catherine Haney Office of New Reactors, Region 2 Administrator
Scheetz M
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ML17039A945	List: ML18039A949 ML18039A950
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Download: ML18039A950 (19)

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Charter: Operator Licensing Process for Cold Plants Tasks and Recommendations Following Administration of the First AP1000 Examinations Date of Report: March 6, 2018 UNITED STATES NUCLEAR REGULATORY COMMISSION

Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations Charter: Operator Licensing Process for Cold Plants Objective The U.S. Nuclear Regulatory Commission (NRC) established a Charter (Agencywide Documents Access and Management System (ADAMS) Accession No. ML17010A081) to create a Task Team (the team) to formulate and develop near- and long-term recommendations to enhance the operator licensing process for plants that are under construction, or cold plants.

The NRC divided the charter into Parts A and B. Part A of the charter pertains to short-term needs associated with incomplete aspects of the operator licensing process at Vogtle Electric Generating Plant (Vogtle), such as deferrals of eligibility criteria, notification to applicants of examination results, inspections or audits required before issuance of an operator license, and license issuance. Part B of the charter pertains to lessons learned during operator licensing examinations administered at Vogtle and Virgil C. Summer Nuclear Station, such as examination development and administration, and areas for long-term generic evaluation and resolution to improve the overall efficiency of the operator licensing process at plants under construction.

Charter Team Activities The team reviewed Title 10 of the Code of Federal Regulations (CFR) Part 50, Domestic Licensing of Production and Utilization Facilities; 10 CFR Part 52, Licenses, Certifications, and Approvals for Nuclear Power Plants; and 10 CFR Part 55, Operators Licenses; NUREG-1021, Operator Licensing Examination Standards for Power Reactors, Revision 10, issued December 2014, and Revision 11, issued February 2017; and Nuclear Energy Institute (NEI)06-13A, Template for an Industry Training Program Description, Revision 2, issued March 2009. The team also reviewed and evaluated previous operator licensing documents related to 10 CFR Part 52, such as reports on interactions, exemptions, inspection reports, examination materials, multiple-office memoranda, and audit reports.

The team met with industry representatives and external stakeholders to solicit feedback. The team engaged industry operator licensing subject matter experts during development and formulation of the recommendations. A public meeting was held on July 6, 2017, to formally communicate and discuss the teams proposed recommendations for Part A. (see the meeting summary at ADAMS Accession No. ML17194A293). The team evaluated each of the recommendations for possible unintended consequences to the existing operating reactor licensing program.

In developing this report, the team summarized conclusions, described each element of the operator licensing process for cold plants, and grouped the recommendations by NUREG-1021 chapter topics. The report also includes the basis and relative importance (high, medium, or low) of each recommendation. High-priority recommendations warrant either (1) prompt action to facilitate the issuance of operator licenses to applicants who have already passed the NRCs examination for Vogtle, Unit 3, or (2) long-term regulatory process improvements before the FINAL, PART A PAGE 2 OF 19

Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations NRC administers examinations at future cold plant sites. Medium-priority recommendations do not warrant prompt action for the issuance of operator licenses at Vogtle, Unit 3, but such recommendations may warrant the issuance of internal and external guidance. The NRC can most likely address low-priority recommendations through its next revision to NUREG-1021 without issuing interim guidance.

The team identified change processes needed for the implementation of charter recommendations, including a revision of NUREG-1021 and the issuance of interim guidance.

Part B of the charter, which the team expects to complete by May 25th, 2018, will present these change processes.

FINAL, PART A PAGE 3 OF 19

Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations Tasks & Recommendations Charter Part A Task A.1.a

1. Assess existing guidance to ensure that the following aspects of the cold licensing process are sufficiently addressed and that compliance with applicable regulatory requirements is maintained. Make recommendations for enhancing guidance, as appropriate.

a. Deferral of license issuance when eligibility requirements have not been met at the time the licensed operator examination is administered.

i. As part of this guidance consider appropriate enhancements to the guidance in NUREG-1021, Examination Standard (ES) 501, [Initial Post-Examination Activities,] Section D.3, NRC Management Review and Licensing Actions, focusing on the issuance of Pass Letters. Address the potential impacts related to 10 CFR 55.51 when exercising Pass Letters, and consider the potential influence of the criteria delineated in NUREG-1021, ES-202, [Preparing and Reviewing Operator License Applications,] Section D.4, Cold License Eligibility.

Task A.1.a Discussion: Under 10 CFR 50.34(b)(6)(i), the NRC requires applicants for a license to operate a nuclear power plant to include information on organizational structure, personnel qualifications, and related matters in their applications. Section 55.31, How to Apply, lists the specific requirements for applicants seeking an operator license. In 10 CFR 55.31(a)(4), the NRC requires, in part, that applicants for operator licenses do the following:

Provide evidence that the applicant has successfully completed the facility licensees requirements to be licensed as an operator or senior operator and of the facility licensees need for an operator or a senior operator to perform assigned duties. An authorized representative of the facility licensee shall certify this evidence on Form NRC-398. This certification must include details of the applicant's qualifications, and details on courses of instruction administered by the facility licensee, and describe the nature of the training received at the facility, and the startup and shutdown experience received. In lieu of these details, the Commission may accept certification that the applicant has successfully completed a Commission-approved training program that is based on a systems approach to training and that uses a simulation facility acceptable to the Commission under § 55.45(b) of this part.

In general, facility licensees opt to have operator training programs accredited by the National Nuclear Accrediting Board, which is an acceptable substitute for a Commission-approved training program (see Volume 50 of the Federal Register, page 11147, titled Commission Policy Statement on Training and Qualification of Nuclear Power Plant Personnel FINAL, PART A PAGE 4 OF 19

Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations (50 FR 11147; March 20, 1985). Accredited training programs follow guidelines issued by the National Academy for Nuclear Training for eligibility.

Regulatory Guide (RG) 1.8, Qualification and Training of Personnel for Nuclear Power Plants, Revision 3, issued May 2000, also provides guidance acceptable to the NRC staff regarding qualifications and training for nuclear power plant personnel. RG 1.8 endorses the guidelines in American National Standards Institute/American Nuclear Society (ANSI/ANS) 3.1-1993, Selection, Qualification, and Training of Personnel for Nuclear Power Plants, issued 1993; however, RG 1.8, Section C, notes specific clarifications, additions, and exceptions.

NUREG-1021, ES-202, Section D, NRC License Eligibility Guidelines, restates the license eligibility guidelines in RG 1.8, Revision 3, and ANSI/ANS 3.1-1993 and separates them into three specific categories: (1) experience, (2) training, and (3) education.

NUREG-1021, ES-202, also states that, if a facility licensees licensed operator training program description or licensing-basis documents contain education and experience requirements that are more restrictive than those of either RG 1.8, Revision 3, or the current National Academy for Nuclear Training guidelines, the more restrictive documents apply.

Because of the plant construction timeline, applicants at cold plants may not be able to complete some of the experience items listed in this eligibility guidance. For example, applicants may not be able to complete 6 months on site performing duties as a nonlicensed operator because the NRC may administer the examination before completion of the plant structures and systems. As a result, ES-202 contains specific guidance on cold license eligibility for cold plant applicants. This guidance, located in Appendix A, Cold License Training Plan, of NEI-06-13A, Template for an Industry Training Program Description, Revision 2, provides cold license eligibility guidance that the NRC finds acceptable. The NRCs approval of this generic template guidance is documented in a Safety Evaluation Report dated September 5, 2007 and included as Appendix B of NEI-06-13A, Revision 2. The NRC approved Appendix A, Cold License Training Plan, in a Safety Evaluation Report dated December 5, 2008 and included the safety evaluation as Appendix C of NEI-06-13A, Revision 2.

NUREG-1021, Appendix F, Glossary, defines the term defer as follows:

To postpone completion of a license application requirement(s) until a later date, typically after the applicant passes an initial NRC licensing examination. An applicants request to defer a requirement(s) is documented as a deferral on NRC Form 398. The applicant shall complete the deferred item(s) before the NRC issues a license.

In addition to 10 CFR 55.31(a)(4) discussed above, the NRC requires, under 10 CFR 55.31(a)(5), that new applicants complete at least five significant control manipulations on the facility for which the license is sought or on a plant-referenced simulator. For plants under construction, the main control room and plant-referenced simulator may not be available at the time the applicants apply for a license. ES-204, Processing Excusals and Waivers Requested by Reactor Operator and Senior Reactor Operator Applicants, states that the regional office may grant a deferral to accommodate situations in which an applicant cannot meet the requirements in 10 CFR 55.31(a)(5) before the NRC administers the examination. Furthermore NUREG-1021(a)(5) specifies that the regional office will not issue the license until the facility FINAL, PART A PAGE 5 OF 19

Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations licensee supplies evidence that the applicant has successfully completed the control manipulations.

For operating reactors, NUREG-1021, ES-605, License Maintenance, License Renewal Applications, and Requests for Administrative Reviews and Hearings, Section C.1.b, directs newly licensed operators to promptly enter a requalification training and exam program upon receiving a license in order to maintain a level of knowledge, skill, and ability for the protection of public health and safety. For operating plants, the NRC issues licenses within 30 days of completion of the agencys examination. Within approximately 8 weeks, the newly licensed operators are enrolled and participating in an accredited requalification training program.

However, for cold plants, when applicants cannot complete experience requirements until the plant has been constructed and therefore seek deferrals of the experience requirements in § 55.31(a)(4) and (5), the NRC may not issue operator licenses in the same timeframe as for operating plants. NEI-06-13A outlines specific meaningful experience activities that applicants must complete to be eligible to receive an operator license. In some cases, because of plant construction schedules, several months or years may pass after the NRC examination before the licensee can complete these experience items and before the NRC can issue the license.

Operator license and senior operator license applicants are not required to be enrolled in a training program in the period between completion of the operator licensing examination and issuance of the license to maintain operator knowledge, skills, and abilities. An unintended consequence of initiating the operator licensing examination process while deferring the completion of experience requirements in § 55.31(a)(4) and (5), is the possible decline in an applicants level of knowledge, skill, and ability to safely operate the plant during the period of time up until the operator licensing process is complete.

Under 10 CFR 50.54(i-1), the NRC requires facility licensees to have an operator requalification program in effect within 3 months of either the issuance of a facility operating license or the date that the Commission makes the finding under 10 CFR 52.103(g) for a combined license (COL).

An operator license applicant is not required to enroll in a requalification training program until the NRC issues him or her an operator license; when the operator licensing process is initiated and completion of the experience requirements is deferred, the regulations do not require enrollment in a training program in the period between completion of the operator licensing examination and issuance of a license. Consequently, there is no requirement that the applicant participate in training to maintain the knowledge, skill, and ability to safely operator the plant during this period. Neither 10 CFR Part 50, 10 CFR Part 55, nor NUREG-1021 guidance considers nuances in the cold plant operator licensing process in which exams are administered before the plant has been built and completion of experience requirements is deferred.

Team Recommendations for Charter Part A, Task 1.a All of the recommendations described below target Task A.1.a, which involves deferral of eligibility criteria and NUREG-1021 notification letters for applicants who have passed the NRC examination.

A.1.a-1 (High Priority): Evaluate rulemaking for changes to 10 CFR Part 50 and/or 10 CFR Part 55. Staff will evaluate a rulemaking to require COL facility license holders to maintain the knowledge and skills of operator and senior operator license applicants during the period after the NRC examination until issuance of the operator license.

FINAL, PART A PAGE 6 OF 19

Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations Propose changes to either 10 CFR 50.54(i-1) or 10 CFR 55.33, Disposition of an Initial Application:

• For 10 CFR 50.54(i-1), consider changing the provision for when requalification programs are required to be operational and attended by licensed operators. Consider requiring training program enrollment for applicants who have passed the NRC examination but have yet to complete deferred items and must maintain their knowledge, skills and abilities until a decision is made on their license applications. Alternatively, for 10 CFR 50.54(i-1), consider adding a requirement that cold plants must have a systems approach to training (SAT)-based training program for license applicants from the time the NRC administers the examination until the agency completes the licensing process.

• For 10 CFR 55.33, consider enhancements for dispositioning an initial application.

Specifically, consider adding a new section, 10 CFR 55.33(a)(3), that applies only to a cold plant and that requires the NRC to review an applicants satisfactory completion of a SAT-based continuing training program when completion of the licensing process is delayed to allow the applicant to complete deferred items, such as experience requirements.

Basis: The team recognized that a regulatory requirement for applicants who defer completion of experience requirements to attend or participate in established training programs between completion of the licensing examination and completion of the licensing process does not exist.

The team considered it appropriate and necessary for an applicant who defers the experience requirements in § 55.31(a)(4) and (5), but otherwise meets all statutory and regulatory requirements necessary for an operator or senior operator under Part 55 to maintain knowledge and proficiency of plant operations during the period after the NRC administers the examination until the issuance date of the operator license under 10 CFR 55.51, Issuance of Licenses.

NUREG-1021, ES-202, Section C.1, ResponsibilitiesApplicant/Facility Licensee, provides guidance for the operator license application process, which includes the use of NRC Form 398, Personal Qualification Statement Licensee. For every Advanced Plant 1000 (AP1000) examination administered by the NRC to date, facility licensees have documented their commitment, on NRC Form 398, to enroll the applicant in a SAT-based continuing training program within 90 days after passing the exam administered by the NRC. The SAT-based continuing training programs, which are currently being administered to Vogtle applicants who passed the NRC examination, closely model the Commission-approved licensed operator requalification (LOR) programs as required by 10 CFR 55.59, Requalification (e.g., continuous 24-month cycle and a testing process to ensure retention of required skills, knowledge, and abilities). The NRC staffs approval of Southern Nuclear Operating Companys proposed alternative method (ADAMS Accession No. ML16174A447) documents the basis for this commitment. In the absence of a SAT-based continuing training program, the Commission, as provided in 10 CFR 55.51, may find it necessary to issue licenses with any conditions or limitations that may be necessary to ensure that the applicants who defer experience requirements in § 55.31(a)(4) and (5), but otherwise meet all statutory and regulatory requirements necessary for an operator or senior operator under 10 CFR Part 55 have retained knowledge and have learned new operationally important topics during the time between completion of the operator licensing examination and issuance of the license.

FINAL, PART A PAGE 7 OF 19

Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations For the operating fleet, ES-605, Section C.1.b, states that newly licensed operators must promptly enter the requalification training and examination program upon receiving their licenses. Under 10 CFR 50.54(i-1), the NRC requires each facility licensee to have an operator requalification program in effect within 3 months after either the issuance of an operating license or the date the Commission makes the 10 CFR 52.103(g) finding. For an applicant who passed an NRC examination at a cold plant but deferred experience items because of plant construction status, months or years could elapse before the NRC completes the licensing process and reaches a decision as to whether to issue the applicant an operator license. Participation in preoperational testing, in particular, requires plant construction to be substantially complete.

The team determined that deferral of experience items to facilitate early exam administration (i.e., several exams in succession) for newly licensed plants under construction is both desirable and necessary given the following:

• The increased potential for untimely overlap between the applicant examination window and the need for these same applicants to perform and support preoperational testing activities before fuel load.

• Exam throughput results (i.e., the number of applicants that passed) from the administration of a single exam may not be sufficient to load fuel, which could result in delays that were reasonably foreseeable and preventable.

• Administering several exams in succession verses a single exam provides more opportunities for improving the training program based on applicant examination results.

Enhancing training programs based on the results obtained in previous exams promotes better trained operators and enhances safety.

• From a resource perspective, the NRCs ability to administer a single exam for the large number of new reactor applicants necessary to sufficiently staff a single unit (40-50 operators) in time for fuel load while also conducting exams and inspections at operating reactor sites would be significantly challenged.

If an accredited LOR training program already exists at a cold plant, applicants who defer the experience requirements in § 55.31(a)(4) and (5), but otherwise meet all statutory and regulatory requirements necessary for an operator or senior operator under 10 CFR Part 55, could enroll in the existing LOR training program. In any case, the team recommends that future requirements should be written to ensure that facility licensees at cold plants will provide a SAT-based continuing training program and operator license applicants at those plants will be required to enroll.

A.1.a-2 (Low Priority): In ES-202, Section D, page 10 of 16, consider renaming the title of Section D to NRC License Eligibility GuidelinesHot Plants.

Basis: ES-202 contains eligibility information for applicants at both hot and cold plants based on NEI-06-13A, Table 1, Comparison of Hot and Cold License Guidance. This title change for Section D clearly labels guidelines applicable for applicants at hot plants. This distinction is necessary because some of these guidelines, such as three months on-shift as an extra operator, are not possible for cold plant applicants to achieve with a plant under construction.

The addition of a subsequent Section E (see Recommendation A.1.a-3 below), provides the FINAL, PART A PAGE 8 OF 19

Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations eligibility guidelines for applicants at cold plants which apply until the first refueling outage occurs.

A.1.a-3 (Low Priority): In ES-202, Section D.4, page 13 of 16, consider renaming the existing Section D.4 as a new Section E, NRC License Eligibility GuidelinesCold Plants.

Basis: This change clearly labels the eligibility guidelines applicable for cold plant applicants only and complements the change in Recommendation A.1.a-2 above.

A.1.a-4 (Low Priority): In ES-204, pages 1 and 4, consider revising the existing ES-204 title as follows:

Processing Deferrals, Excusals, and Waivers Requested by Reactor Operator and Senior Reactor Operator Applicants Consider revising the existing Section D.1 title as Deferrals/Excusals/Waivers Approved by the Regions.

Basis: The team determined that the word deferral should be added to the title of ES-204 to enhance the title of this section. The definition of defer in accordance with NUREG-1021 Appendix F is:

To postpone completion of a license application requirement(s) until a later date, typically after the applicant passes an initial NRC licensing examination. An applicants request to defer a requirement(s) is documented as a deferral on NRC Form 398. The applicant shall complete the deferred item(s) before the NRC issues a license.

The team determined that, because ES-204, Section D.1, includes information about deferrals (e.g., Section D.1.i) that can be approved by the regional office, the term deferral should be included in the overall title of ES-204.

A.1.a-5 (Low Priority): In ES-204, Section D.1, page 6 of 9, consider deleting the statement in paragraph e that 10 startups on an operating reactor are typically required for cold plant license training programs.

Basis: For operating reactors, the facility licensee SAT-based training programs delineate the specific start-up training for licensed operator applicants. The team determined that start-up training for cold plant applicants should also be determined through their facility licensees SAT-based training program. The Vogtle Units 3&4 Updated Final Safety Analysis Report incorporates NEI-06-13A which delineates eligibility criteria for the operator licensing process at cold plants and was accepted by the NRC in a safety evaluation report, dated December 5, 2008. NEI-06-13A does not direct the completion of 10 startups on an operating reactor. The team concluded that the guidance in ES-204 was left over from earlier versions of NUREG-1021 and should be removed. (Note that through Revision 9 to NUREG-1021, cold license applicants had to complete 10 reactor startups on a research reactor, although they could meet this requirement by completing a plant-referenced simulator training program accredited by the Institute of Nuclear Power Operations (INPO).)

FINAL, PART A PAGE 9 OF 19

Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations A.1.a-6 (Low Priority): In ES-204, Section D.1, page 7 of 9, consider including the following sentence at the end of paragraph h:

In the case of plants under construction (i.e., cold plants), the five significant control manipulations can be deferred until a plant-referenced simulator is declared.

Basis: The team recommends that delaying the five significant reactivity control manipulations for performance on a PRS is a best practice to meet the requirement in 10 CFR 55.31(a)(5).

Adding this language to NUREG-1021 explains that deferrals of this nature will be considered by the NRC staff. The team recognizes that a facility licensee can propose an alternative method to meet this regulation for the NRC staff to consider via an exemption request.

A.1.a-7 (High Priority): In ES-204, Section D.1, page 7 of 9, consider revising paragraph i to include another numbered item (4) that states the following:

a portion (or all) of the 6 months of practical and meaningful work assignments for applicants at cold plants under construction Basis: ES-204, Section D.1, identifies the excusals and waivers that the regional office may grant without obtaining concurrence from the Office of Nuclear Reactor Regulation/Office of New Reactors (NRR/NRO) operator licensing program office. The NRC approved deferrals of a portion (or all) of the 6 months of practical and meaningful work assignments for every AP1000 applicant who has taken the NRC examination to date because these meaningful work assignments include preoperational testing, which was not in progress at the time the NRC administered the examination.

The team evaluated the deferral action as it pertained to the 6 months of practical and meaningful work assignments experience requirement and determined that inclusion of this requirement as deferral criteria in ES-204, Section D.1, is appropriate and justifiable.

Accordingly, the regional office no longer has to first obtain NRR/NRO program office concurrence for deferral of this specific experience requirement based on the following:

• The deferral does not have any reasonable alternatives given that the state of plant construction necessary to support preoperational testing (a required component of the 6-month work experience) significantly lags the examination administration schedule.

• The deferral will not result in alteration or customization of any part of the NRC examination.

• The deferral will not result in an advantage or disadvantage to any applicant.

• The deferral will require compensatory measures. Specifically, facility licensees will need to provide evidence that the 6 months of practical and meaningful work assignments have been completed before the regional office will issue licenses.

• The deferral will not result in unintended consequences for the operating reactor licensing program.

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Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations

• The program office, as part of the annual regional office review, will audit this deferral activity for newly licensed plants under construction.

Task A.1.b

1. Assess existing guidance to ensure that the following aspects of the cold licensing process are sufficiently addressed and that compliance with applicable regulatory requirements is maintained. Make recommendations for enhancing guidance, as appropriate.

b. The denial of licenses when examination failures occur and eligibility requirements have not been met at the time the licensed operator examination is administered.

i. As part of this guidance, provide recommendations for a regulatory-based path forward for how to properly process license and/or application denials in accordance with 10 CFR 2.103(b)(1) and (2), Action on applications foroperator licenses, when failures of portions of the operating examination occur. This part of the recommendation should also consider application of the requirements in 10 CFR 55.31, 55.33, and 55.51 when applicant examination failures occur and eligibility requirements are not yet met.

Task A.1.b Discussion: Charter Task A.1.b involved assessing existing guidance for denying a license to an applicant that was granted an eligibility deferral but then subsequently failed the NRC examination.

In accordance with 10 CFR 2.103 (b):

If the Director, Office of Nuclear Reactor Regulation, Director, Office of New Reactors, or Director, Office of Nuclear Material Safety and Safeguards, as appropriate, finds that an application does not comply with the requirements of the Act and this chapter he may issue a notice of proposed denial or a notice of denial of the application and inform the applicant in writing of:

(1) The nature of any deficiencies or the reason for the proposed denial or the denial, and (2) The right of the applicant to demand a hearing within twenty (20) days from the date of the notice or such longer period as may be specified in the notice.

NUREG-1021, ES-501, Initial Post-Examination Activities, Section D.3.e (page 7 of 34) states:

A Preliminary Results Letter is issued when the regions grading results indicate that the applicant failed any portion of the initial license examination. This letter gives the applicant the option to provide further information to be used in an informal NRC staff review. The applicant should respond to the 10 CFR 55.31 (b) request (i.e., the FINAL, PART A PAGE 11 OF 19

Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations Preliminary Results Letter) within twenty (20) days from the date of the request, or within such other time as may be specified in the letter.

A Denial Letter is issued when the Commission is unable to make the findings in 10 CFR 55.33 (a) (addressing health and passing the written examination and operating test) or, if applicable, the Commission is unable to approve a conditional license under 10 CFR 55.33(b). As a prerequisite to a denial letter, the staff typically will wait until, as applicable, an applicant does not request an informal NRC staff review within 20 days or within such other time as may be specified, or the NRC staff upholds the preliminary results following an informal NRC staff review.

NUREG-1021, Appendix F, Glossary, states:

Defer: To postpone completion of a license application requirement(s) until a later date, typically after the applicant passes an initial NRC licensing examination. An applicants request to defer a requirement(s) is documented as a deferral on NRC Form 398. The applicant shall complete the deferred item(s) before the NRC issues a license.

Team Recommendations for Charter Part A, Task 1.b The following recommendation targets Charter Task A.1.b:

A.1.b-1 (Medium Priority): Maintain the existing license denial process in NUREG-1021, Revision 11. Specifically, the team does not recommend augmenting the ES-501, Attachment 4, Sample Denial Letter, to address cases when a deferral of outstanding eligibility criteria exists.

Basis: The team reviewed cases in which AP1000 applicants were granted deferrals for completion of the 6-month practical and meaningful work assignment activity and approved to take the NRC licensing examination but subsequently failed the examination. The team reviewed the Sample Preliminary Results Letter and the Sample Denial Letter (ES-501 ) to verify compliance with 10 CFR 2.103 (b)(1) and (2).

The team recognizes that in one case, the Denial Letter issued to one applicant was supplemented with a statement informing the applicant that a deferred experience item remained outstanding. The team determined that the purpose of the Sample Denial Letter is to inform the applicant in writing of the natures of the deficiencies in his or her application and the right to demand a hearing, as required by 10 CFR 2.103(b), and that supplementing the template in NUREG-1021 to specifically call out eligibility deferrals is unnecessary.

Task A.1.c

1. Assess existing guidance to ensure that the following aspects of the cold licensing process are sufficiently addressed and that compliance with applicable regulatory requirements is maintained. Make recommendations for enhancing guidance, as appropriate.

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Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations

c. How the NRC will determine (via inspections, audits, verifications, etc.),

that all requirements necessary to issue an operator license in accordance with 10 CFR 55.51 have been met, including consideration of when the licenses should be formally issued.

Task A.1.c Discussion: The purpose of Task A.1.c was for the team to identify subsequent NRC activities necessary when months or years pass between the time the applicant passes the NRC examination, the applicant completes any deferred experience requirements, and completion of the licensing process resulting in the issuance of an operator license. The required NRC activities could include inspections, audits, verifications, and other such activities to verify completion of a 6-month practical and meaningful work assignment activity, maintenance of applicant knowledge, and other potential operator licensing constraints imposed by regulations. Considerations for Task A.1.c include the following:

• All of the AP1000 applicants who passed the NRC examination were granted deferrals for the 6-month practical and meaningful work assignment activity, including preoperational testing.

• The team determined that NEI-06-13A allowed applicants to complete on-the-job training (OJT) using alternate methods such as discussion or simulation. NEI-06-13A directs licensees to refine OJT items and include actual in-plant training and experience as the construction of plant structures, systems, and components progresses.

• Licensees must implement technical specifications on the date that the Commission makes the finding under 10 CFR 52.103(g), including the control room staffing requirements in 10 CFR 50.54(m).

• Reactor operator and senior reactor operator licensees are required to maintain active operating licenses in accordance with 10 CFR 55.53, Conditions of Licenses, upon their issuance.

• Under 10 CFR 50.54(i-1), the NRC requires the facility licensee to have an operator requalification program in effect that meets the requirements in 10 CFR 55.59(c), within 3 months after the date that the Commission makes the finding under 10 CFR 52.103(g).

NUREG-1021 Section ES-204, Processing Excusals and Waivers Requested by Reactor Operator and Senior Reactor Operator Applicants, Section D.2, Examination Waivers for Operators Previously Licensed at Comparable Facilities, states:

Depending on the justification provided by the applicant and the facility licensee, NRR/NRO will consider examination waivers for operators who were previously licensed at a comparable facility. Under 10 CFR 55.47, the Commission may waive any or all of the requirements for a written examination and operating test.

Section 55.47, Wavier of Examination and Test Requirements, states, in part, that:

(a) On application, the Commission may waive any or all of the requirements for a written examination and operating test, if it finds that the applicant -

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Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations (1) Has had extensive actual operating experience at a comparable facility, as determined by the Commission, within two years before the date of application; (2) Has discharged his or her responsibilities competently and safely and is capable of continuing to do so; and (3) Has learned the operating procedures for and is qualified to operate competently and safely the facility designated in the application.

Recommendations for Charter Part A, Task 1.c All of the following recommendations focus on Charter Task A.1.c, which involves establishing how the NRC will determine that ALL requirements and criteria necessary to issue an operator license to an operator or senior operator license applicant at a plant under construction are met, including consideration of when the operator or senior operator license should be issued with respect to construction milestones and the Commissions finding under 10 CFR 52.103 (g):

A.1.c-1 (Medium Priority): In NUREG-1021, ES-202, consider adding the following new attachment:

Attachment 2, Operator Licensing Milestones for 10 CFR Part 52 Plants under Construction Basis: Figure 1 overlays important NRC, construction, and facility licensee operator training program milestones in a graphic representation that is easy to understand. The team determined that marking key milestones for 10 CFR Part 52 plants as they pertain to operator licensing was best accomplished in NUREG-1021. NUREG-1021, ES-202, includes guidance for cold license applicants and is a convenient location for Figure 1.

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Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations Figure 1 NRC, construction, and facility licensee training program timelines and milestones A.1.c-2 (High Priority): In ES-501, Section D.3, page 7 of 34, consider adding the following new paragraph to paragraph d:

For cold plant construction projects, where unit completion may be staggered over time, the regional office shall only issue the operator licenses for applicants who meet all statutory and regulatory requirements necessary for an operator or senior operator under 10 CFR Part 55, for the completed unit(s). To add additional units to an operators license, the operator must meet the requirements in 10 CFR 55.31, which includes submitting an NRC Form 398 requesting an amendment to his or her license to include the additional unit(s). The operator may also request a waiver of the written examination and operating test in accordance with 10 CFR 55.47. Refer to ES-204, Section D.2, Examination Waivers for Operators Previously Licensed at Comparable Facilities, and Section D.3, Multiunit Examination Waivers, for additional information about this type of waiver. If the requirements of 10 CFR 55.31 and 10 CFR 55.47 are met, then the regional office may amend the operators license to add the subsequent FINAL, PART A PAGE 15 OF 19

Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations unit(s) without administering the written examination and/or operating test for the subsequent unit(s).

And in ES-204, Section D.3, page 9 of 9, consider revising paragraph b. as follows:

With regard to examination requirements for identical comparable second or subsequent units at the same site, NRR/NRO may waive any or all of the requirements for a written examination and operating test if the staff finds that the applicant meets the criteria specified in 10 CFR 55.47, as noted in section D.2 above. The facility licensee will identify, analyze, and incorporate differences between the first unit and comparable second or subsequent units at the same site in its Commission-approved SAT-based training program. As part of meeting the requirements in 10 CFR 55.31, the applicant and facility licensee will complete NRC Form 398, describing the applicants qualifications and training or certify that the applicant has successfully completed the facility licensees SAT-based training program, as required by 10 CFR 55.31(a)(4). The NRC staff will review the differences between subsequent units and how differences were analyzed and incorporated in the facility licensees SAT-based training program, to determine whether or not examination requirements can be waived. If the situation warrants, the Commission may impose other examination requirements such as NRC-administered operating tests and written examinations concerning the plant differences.

Basis: The team recognized that it is possible for differences to exist between the first and subsequent unit(s) especially when long delays exist from completion of one unit to the next.

Technology advancements, operating experience, or other circumstances may warrant license amendments to the Part 52 license. The team recommends that, as part of its review of the facility licensees SAT-based training program, the NRC staff evaluate how the facility licensee identified, analyzed and incorporated differences between units into its SAT-based training program prior to approving waives request under 10 CFR 55.47 or amending the operators license to include the second unit or subsequent unit(s). As part of this evaluation, the NRC staff should review how the facility licensees SAT-based training program, including simulator configuration, incorporates unit-to-unit differences.

The team evaluated the 10 CFR 55.47(a)(1) phrase extensive actual operating experience and determined that the NRC staff should evaluate each applicants justification for meeting 10 CFR 55.47 (a)(1) for waiver of examination requirements on a case-by-case basis. This determination is based on regulatory requirements for licenses and past practice.

A.1.c-3 (High Priority): In ES-501, Section D.3, page 7 of 34, consider adding the following new paragraph to paragraph d:

For cold plant construction projects, operator licenses should be issued to applicants who meet all statutory and regulatory requirements necessary for an operator or senior operator under 10 CFR Part 55, after the facility licensee has staffed the main control room. Refer to ES-202, Attachment 2, and Operator Licensing Milestones for 10 CFR Part 52 Plants under Construction.

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Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations Basis: The team determined that this guidance for issuing operator licenses is prudent for two reasons. First, Vogtle, Unit 3, COL License Condition No. 9 requires the facility licensee to implement technical specifications when the Commission makes the finding under 10 CFR 52.103(g). Technical Specification Section 5.0, Administrative Controls, requires licensed operators and senior operators on shift, in accordance with 10 CFR 50.54(m), when the reactor is being operated in Modes 1 through 6, which includes fuel loading. Secondly, 10 CFR 55.53(e) states that, to maintain active status, the operator shall actively perform the functions of an operator or senior operator on a minimum of seven 8-hour or five 12-hour shifts per calendar quarter. The team determined that, for a operator or senior operator licensee to maintain an active license by performing the minimum quarterly licensed operator functions, the facility licensee must ensure that the main control room is staffed. Furthermore, the team determined that the capability to reactivate an inactive license, in accordance with 10 CFR 55.53(f), may not be possible for plants under construction where all operator licenses become inactive.

A.1.c-4 (Low Priority): In ES-501, Section D.3, page 7 of 34, consider adding the following sentences after the first two sentences in paragraph d regarding medical health requirements:

Before issuing a license, the regional office shall ensure that the applicant has completed any training or experience requirements that were deferred at the time when the examination was administered.

Basis: The team determined that verifying the completion of deferred training or experience items before issuing a license to an applicant applied to both cold plants and operating plants.

The team determined that this sentence should be added to NUREG-1021, ES-501, Section D.3.d, as a reminder to the regional licensing officials to check the original NRC Form 398 to verify that deferred items are complete before the regional office issues licenses.

The team also determined that before the regional office issues licenses, the regional licensing official should audit NRC Form 396, Certification of Medical Examination by Facility Licensee, to verify that each applicant who previously passed an NRC examination has had, or will have, a medical examination within 2 years of the time when his or her license will be issued.

However, NUREG-1021, Revision 11, ES-501, Section D.3.d, currently directs the licensing official to verify that the applicant meets the health requirements in 10 CFR 55.33.

A.1.c-5 (High Priority): (Note that this recommendation is contingent on the rulemaking proposal in Recommendation A.1.a-1.) In ES-501, Section D.3, page 8, consider adding the following new paragraphs to paragraph d:

For cold plants under construction, verify that each operator or senior operator license applicant who previously passed an NRC written examination and operating test was promptly enrolled and is up to date in the facility licensees SAT-based continuing training program.

For cold plants under construction, before the issuance of operator licenses, the NRC staff will audit the training given by the facility licensee to applicants who passed the NRC examination, as defined in the licensees procedures, using applicable inspection procedures (IPs) (e.g., IP 71111.11, Licensed Operator FINAL, PART A PAGE 17 OF 19

Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations Requalification Program and Licensed Operator Performance, and IP 41500, Training and Qualification Effectiveness) as guidance, and document the results in an NRC report. This audit will verify that the training provided to the applicants who passed the NRC examination followed the facility licensees procedures. The following items should be considered:

• annual operating and biennial written examinations

• training and evaluation on plant modifications

• training and evaluation on programs and procedures developed or revised since the NRC administered the examination

• adjustments made to cold license class training methods and settings to optimize student learning using actual in-plant training and experience opportunities as systems, structures, and components were completed (e.g., locating equipment in the plant for OJT that originally used only the discussion method)

If the audit identifies a discrepancy and if the facility licensee is unable to sufficiently justify that its program has been met, the facility licensee will take the necessary and appropriate measures to ensure discrepancy resolution and operator or senior operator license applicant compliance with established licensee program standards before the NRC issues the individual operator license to ensure that all requirements are met while evaluating 10 CFR 55.51, Issuance of Licenses.

Basis: The team determined that enrollment in either a SAT-based continuing training program or an accredited LOR program ensures that each applicant remains knowledgeable and proficient during the period between when the NRC administered the examination and when, for applicants who meet all statutory and regulatory requirements necessary for an operator or senior operator under 10 CFR Part 55, the regional office issued the operator license. For cold plants under construction, completion of the operator licensing process may encompass months or years.

NRC Form 398 for the Vogtle, Unit 3, applicants contains a commitment to enroll the applicant into a SAT-based continuing training program within 90 days after the NRC examination. The applicable Vogtle plant training program procedures define the facility licensees controls for licensed operator applicants who have passed an NRC examination but have not completed all the necessary requirements and are still awaiting a decision on their license application. NEI-06-13A specifies that each applicant completes 6 months of practical and meaningful work assignments, including preoperational testing. The regulations at 10 CFR 55.51 require the Commission to issue a license if it determines that an applicant meets the requirements of the Atomic Energy Act of 1954, as amended, and its regulations.

The team recognized that there is no regulatory requirement for applicants to attend or participate in established training programs before a license is issued. For this reason, the team has made a separate recommendation for the establishment of a training requirement in NRC regulations (see Recommendation A.1.a-1). The team believes that an applicant must maintain FINAL, PART A PAGE 18 OF 19

Charter: Operator Licensing Process for Cold Plants l Tasks and Recommendations knowledge and proficiency of plant operations when delays occur between the examination and completion of the operator licensing process.

The team considered three aspects of this recommendation:

(1) Did the applicant attend the required training in accordance with facility licensees procedures?

(2) Was the training content sufficient to ensure maintenance of the skills and knowledge that have already been evaluated?

(3) Did the training include relevant new operationally important topics since the training material was frozen before the NRC administered the examination?

The team determined that the facility licensee is responsible for providing the training and addressing any discrepancies identified during the NRC audit.

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