Text

Request for OMB Review & Supporting Statement Re Reactor Operator & Senior Reactor Licensing Training & Requalification Programs.Estimated Respondent Burden Is 28,006 H
	ML20135E258
Person / Time
Issue date:	02/28/1997
From:	Cranford G; NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM)
To:	;
Shared Package
ML20135E256	List: ML20135E253; ML20135E258;
References
	OMB-3150-0101, OMB-3150-101, NUDOCS 9703060384
	Download: ML20135E258 (40)
	v • d • e

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s-6 PAPERWORK REDUCTION ACT SUBMISSION Please read the instructions before completing this form. For additional forms or assistance in completing this form, contact your agency's Paperwork Clearance Officer. Send two copies of this form, the collection instrument to be reviewed, the Supporting Statement, and any additional documentation to: Office of information and Regulatory Affairs, Office of Management and Budget, Docket Library, Room 10102,72517th Street NW, Washington. DC 20503

1. Agency / Subagency originating request

2. OMB control number U.S. Nuclear Regulatory Commission X

a.

3150-0101

b. None 9

3. Type of information collection (check one)

4. Type of review requested (check onel

a. New collection X

a. Regular submission

c. Delegated X

b. Revision of a currently approved collection

b. Emergency - Approval requested by (dateh

c. Extension of a currently approved collection

5. Will this information collection have a 3, y,,

significant economic impact on a

d. Reinstatement, without change, of a previously approved substantial number of small entities?

X b.No collection for which approval has expired

e. Reinstatement, with change, of a previously approved X a. Three years from approval date collection for which approval has expired Requested

f. Existing collection in use without an OMB control number g' expiration date

b. Other (Specify):

7. Title Reactor Operator and Senior Reactor Licensing Training and Requalification Programs B. Agency form number (s) (if applicable)

NA

9. Keywords Nuclear Reactor, Operator Licenses

10. Abstract NRC requests copies of initial and requalification training material and examinations for use in developing operator licensing and requalification examinations and for reviewing licensee prepared examinations.

Examinations are reviewed, modified, and approved by the NRC staff for use in licensing operators and senior operators. The requalification examinations are inspected to verify regulatory compliance.

11. Atfacted pubisc IMara prmary with *P* eM ao others ther apoly with *x*)

12. obligation to respond IMut prwnuy with ~P* aM se others that aWy worb x*)

P

b. Business or other for. profit

d. Farms X

a. Voluntary

a. Individuals or households

e. Federal Govemment

b. Required to obtain or retain benef ts j

c. Not-for-profit institutions

f. state. Local, or Tribal Government P

c. Mandatory

13. Annual reporting and recordkeeping hour burden

14. Annual reportmg ar.d recordkeeping cost surden #n thousaws or dollust d

a. Number of respondents 105

a. Total annualized capital /startup costs o

b. Total annual responses lo2

b. Total annual costs (o&M) 0

1. Percentage of these responses

c. Total annualized cost requested o

collected electronically 25

d. Current OMB Inventory o

c. Total annual hours requested 28.006

e. Difference o

d. Current oMB inventory 1,552

f. Explanation of difference

e. Difference 26,454

1. Program change

f. Explanation of difference

2. Adjustment

1. Program change 22,500

2. Adlustment 3.954

15. Purpose of information collection 16 Frequency of recordkeeping or roportin ICheck s# therapp41 (Mart primary with *P* and eM others that apply with *X*)

X

a. Recordkeeping

b. Third party disclosure

a. Application for benefits

o. Program planning or management X

c. Reporting

b. Program evaluation

f. Research x

1. on occasion

2. Weekly

3. Monthly

c. General purpose statistics p

g. Regulatory or comphance

4. ouarterly

5. semeannually X

6. Annually

d. Audit

7. Biennially

8. other (describel

17. statistical rnethods Agency c ntact Iperson who can best enser guestions reparpa the 18' Content of this submission)

Does this information collection employ statistical methods?

Neme:

Roberta ingram Yen X No phone:

301-415-1219 9703060394 970228 10/"

PDR ORG NIKO PDR

d

19. Certification for Paperwork Reduction Act Submissions On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9.

NOl$:

The text of 5 CFR 1320.9, and the related provisions of 5 CFR 1320.8(b)(3), appear at the end of the i

instructions. The certification is to be made with reference to those regulatory provisions as setforth in the instructions.

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions; (b)

It avoids unnecessary duplication; (c) It reduces burden on small entities; (d)

It uses plain, coherent, and unambiguous terminology that is understandable to respondents; (e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices; (f)

It indicates the retention periods for recordkeeping requirements; (g)

It informs respondents of the information called for under 5 CFR 1320.8(b)(3):

(i) Why the information is being collected; (ii)

Use of information; (iii)

Burden estimate; (iv)

Nature of response (voluntary, required for a benefit, or mandatory);

(v)

Nature and extent of confidentiality; and (vi)

Need to display currently valid OMB control number; (h)

It was developed by an office that has planned and allocated resources for the eflicient and effective management and use of the information to be collected (see note in item 19 of the instructions).

(i)

It uses effective and efficient statistical survey methodology; and (i)

It makes appropriate use ofinformation technology.

of these provisions, identify the item below and explain the reason in If you are unable to certify compliance with ars Item 18 of the Supporting Statement.

f Sign (ture of Senior ciat desi Date kw 2 arm 7 10/95

[

I OMB 83-1 l

i

E l

FINAL SUPPORTING STATEMENT FOR l

COLLECTION OF INFORMATION ON REACTOR OPERATOR AND SENIOR REACTOR OPERATOR i

LICENSING TRAINING AND REQUALIFICATION PROGRAMS

]

l (OMB Clearance No. 3150-0101) l REVISION TO THE EXTENSION 1

l DESCRIPTION OF INFORMATION COLLECTION l

Initial Licensing Program:

i Section 107 of the Atomic Energy Act of 1954 (AEA), as amended, requires the i

Nuclear Regulatory Commission (NRC) to determine the qualifications of individuals applying for an operator license to prescribe uniform conditions for licensing such individuals, and to issue licenses as appropride.

Operator license applicants are required by Part 55 of Title 10 of the Code of Federal Regulations (10 CFR Part 55) to pass a written examination and an-operating test satisfying the basic content requirements specified in the regulation.

The details of the power and non-power reactor examination processes are specified in NUREG-1021. " Operator Licensing Examiner i

i Standards." and NUREG-1478. "Non-Power Reactor Operator Licensing Examiner l

Standards." The NUREGs contain instructions and guidelines for developing.

l administering, and grading the licensing examinations including a written j

examination and an operating test.

l' Although Part 55 does not specify who will write administer, or grade the required examinations and tests, historically, the initial licensing examinations have been developed, administered, and graded exclusively by NRC staff and contract examiners.

In order to ensure that the site-specific i

portions of the licensing examinations accurately reflect the unique I

components, system configurations, operating characteristics, and procedures at the facility for which a license is sought, the NRC requires facility licensees to provide the NRC and contract examiners with the reference materials (e.g., lesson plans, system descriptions, and plant procedures) necessary to prepare and validate the contents of the examination. Although the material required to generate the comprehensive examinations is voluminous, it is readily available at the facility.

The submittal of this information simply requires duplication of existing reference materials with an appropriate index or table of contents: no new information is required.

This information collection is initiated approximately 4 months before the scheduled examination date by issuing a corporate notification letter (Attachments 1 and 2 for power and non-power reactors) confirming the examination arrangements and the reference material requirements.

Beyond providing the required reference material, the role of the facility l

l licensees has historically been limited to reviewing and validating the initial licensing examinations prepared by the NRC before they are administered. and to providing administrative and logistical support to the NRC and contract examiners while the examinations are in progress.

t

[

The NRC is now planning to implement a change to the operator licensing program.that will permit power reactor facility licensees to prepare proposed

4 a

2 site-specific written examinations and operating tests and submit them to the NRC for review and approval.

This new information collection will be initiated approximately 4 months before the scheduled examination date by issuing a corporate notification letter (Attachment 1) confirming the examination arrangements.

The facility licensee must develop new and unique examinations and tests based on the guidelines in NUREG-1021 in addition to duplicating existing reference materials sufficient for the NRC to validate the proposed examinations. The NRC has permitted facility licensees to review and validate the draft examinations for several years, so they are generally familiar with the instructions in NUREG-1021.

The added burden of generating the examinations will be partially offset by a reduction in the amount of raw reference material that would have to be submitted if the NRC were to prepare the examinations internally.

The NRC will continue to write the operator licensing examinations for non-power reactors in accordance with NUREG-1478.

j The change is made possible by the general improvements in the training and performance of licensed operators at power reactor facilities.

Since the mid-to late-1980s, the nuclear industry has 'significantly increased its emphasis in the training area, and all power reactor licensees have established formal training programs that have been accredited by the National Academy for Nuclear. Training. Those improvements were also evident in the licensed operator requalification )rogram and previously prompted the NRC to reduce its level of involvement in tlat area.

The NRC currently intends to implement the change on a voluntary basis because 10 CFR Part 55 does not s]ecify who will write. administer, or grade the licensing examinations.

lowever, the staff believes that maintaining an elective program over the long term will be unworkable because the elimination of contractor support will leave the NRC staff with insufficient examiner resources to write all examinations consistent with the scheduling needs of facility licensees.

This resource problem is further compounded by the unpredictable nature of the examination workload. Therefore, the staff is planning to amend Part 55 to make the revised process mandatory for all power reactor facility licensees.

l Requalification Program i

Section 306 of the Nuclear Waste Policy Act of 1992 requires the NRC to l

promulgate regulations or other appropriate guidance governing, among other i

things, the NRC administration of requalification examinations to nuclear power plant operators.

10 CFR Part 50 requires each facility licensee to have in effect an operator requalification program that meets the requirements of 10 CFR Part 55.

Part 55 requires facility licensees to submit upon request copies of each annual operating test or comprehensive written examination used for operator re ualification to the Commission for review.

The submittal of this in ormation simply requires duplication of the tests and examinations that the i

facility licensees are required to develop and administer to their operators licensed pursuant to Part 55: no new information is required.

This information collection is initiated approximately one month before the scheduled NRC inspect 1m date by issuing a corporate notification letter (Attachment 3) confirm 1W the arrangements.

j.

3

-Part 55 also authorizes the NRC to conduct comprehensive requalification written examinations-and operating tests 'in lieu of accepting certification by the facility licensee that-its operator licensees have passed written examinations and operating tests administered by the facility licensee within its Commission-approved requalification program.

In order for the NRC to prepare the required examinations and tests, the facility licensee must submit detailed site-specific reference materials similar in scope to those required for the development of the initial licensing examinations described above. as well as the proposed tests and examinations that the facility licensee is required to develop and administer to its operators-licensed Jursuant to Part 55. The submittal of this information simply requires t1e duplication of existing materials; no new information is required. This information collection is initiated approximately four months before the scheduled NRC examination date by issuing a corporate notification letter (Attachments 4 and 5 for power and non-power. reactors) confirming tne arrangements and the reference material requirements.

j A.

JUSTIFICATION 1

1.

Need For and Practical Utility of the Collection of Information l

Initial Licensing Program:

The information on initial operator training is required for the NRC to make licensing' decisions pursuant to Part 55.

In accordance with i

6 55.33. the NRC will approve an initial application for a license i

if it finds, among other things, that the applicant has passed the 4

requisite written examination and operating test in accordance with SS 55.41 and 55.45 or 55.43 and 55.45. These examinations and tests determine whether an applicant for an operator's license has learned i

to operate a facility competently and safely, and additionally, in i

the case of a senior operator, whether the applicant has learned to direct the licensed activities of licensed operators competently cnd safely.

Requalification Program:

The information on licensed operator requalification training and examinations is required in certain cases for the NRC to effectively oversee the facility licensees' requalification programs required by Part 50. Although the NRC's oversight program consists primarily of periodic on-site inspections of each facility licensee's training and testing activities, the NRC may, in selective cases pursuant to S 55.59(c). require'a facility licensee to submit to the NRC for review the comprehensive requalification written examinations or annual o)erating tests conducted pursuant to S 55.59(a).

In other cases, t1e NRC may conduct the required requalification examinations, pursuant to S 55.59(a)(2)(iii) if it loses confidence in the facility licensee's ability to conduct its own examinations or when the staff determines that the inspection process will not provide the neeaed insight, e-A

e 4

2.

Aaency Use of Information j

Initial Licensing Program:

The information will be submitted to the Office of Nuclear Reactor Regulation (NRR) or the appropriate Regional Office of the NRC.

The information will bE.2 sed to develop or to review the initial licensing examinations for reactor operators and senior reactor operators.

The fact that these examinations establish the primary basis for the NRC's licensing decisions mandates high levels of technical accuracy and validity that can only be achieved with access to the necessary reference materials.

The reference materials will be returned to the facility licensee after the examination process is completed.

If the requested information is not collected, examinations could not be developed as required by 10 CFR Part 55.

1 Requalification Program:

l The information will be submitted to NRR or the appropriate Regional Office of the NRC. The submitted examinations will be reviewed to determine if the facility licensee's requalification examinations conform with Section 55.59(a)(2)(1) and (ii) and to determine the i

scope of the on-site inspection of the facility licensee's requalification program.

The NRC holds the facility licensee i

responsible for the technical accuracy of the examinations:

therefore the facility licensee is not required to submit the reference materials from which the examinations were developed.

If an NRC inspector has doubts regarding the validity of a particular test item, the ap)licable reference materials can be revlewed at the facility during t1e on-site inspection, j

If the NRC conducts the requalification examinations, the staff will use the reference materials to develop the examinations in lieu of accepting certification by the facility licensee that its licensees have passed written examinations and operating tests administered by the facility licensee within its Commission-approved requalification program. The NRC sssumes )artial responsibility for the technical accuracy and validity of t1ese examinations before they are given:

therefore, access to the associated reference materials is crucial, l

l The reference materials will be returned to the facility licensee j

after the examination process is completed.

I 3.

Reduction of Burden Throuah Information Technoloav

~

There is no legal obstacle to the use of information technology.

Moreover, the NRC encourages its use.

However, at the current time, fewer than 25 percent of the responses are submitted electronically.

4.

Effort to Identify Duolication anc Use Similar Information This information is available only from the facility licensee and does not duplicate or overlap other information collections made by 4

5 the NRC or other government agencies.

The information requested is unique to the organization and is of importance only to the NRC.

The Information Requirements Control Automated System (IRCAS) was searched for duplication, and none was found.

5.

Effort to Reduce Small Business Burden This information collection affects 44 non-power reactor licensees.

The burden for non-power reactor licensees is significantly less than that for power reactor licensees.

It is not possible to reduce 1

this burden without significantly impairing the NRC's ability to i

implement its reactor operator licensing and requalification program oversight responsibilities.

6.

Conseauences to Federal Prooram or Policy Activities if the Collection is Not Conducted or is Conducted Less Frecuently Initial Licensing Program:

This information collection is conducted as necessary for the NRC to determine the qualifications of and to license individuals as 4

operators of nuclear reactor facilities pursuant to the AEA. The frequency of the collection is determined by each facility licensee's demand for new licensed operators to replace those who no longer desire or need to maintain a license.

Because of budget and staffing limitations, the NRC has already taken measures to reduce the frequency at which each power reactor facility licensee can request the NRC to administer licensing examinations.

Moreover, because most of the examination cost (i.e..

the preparation time) does not vary with the number of examinees, the NRC has also tried to limit the number of power reactor examinations that are prepared for very small groups of applicants.

If the collection of reference material were eliminated, it would make it impossible for the NRC to conduct the examinations required to license operators under the AEA and 10 CFR Part 55. Operator attrition would increase the amount of overtime worked by the remaining licensees and could eventually force facility licensees to shut down their reactors when they can no longer maintain the staffing levels required by 10 CFR Part 50.

Requalification Program:

These information collections are conducted as necessary for the NRC to oversee the facility licensees' activities with regard to licensed operator requalification training and testing pursuant to 10 CFR Part 55.

Decreasing the frequency of or eliminating these information collections could result in a gradual decline in the quality of the facility licensees' requalification programs, which would likely be reflected in their licensed operators' ability to safely operate the facility

i 6

7.

Circumstances Which Justify Variations From OMB Guidelines This request does not vary from OMB guidelines.

8.

Consultations Outside the NRC The NRC staff has communicated regularly with the Nuclear Energy Institute (NEI) and power reactor facility licensees to exchange information and viewpoints regarding the proposed changes in the initial licensing examination development process.

The staff conducted a public workshop in September 1995 before beginning a voluntary pilot program to evaluate the proposed changes, attended a public progress meeting with NEI and various power reactor facility representatives midway through the pilot program in January 1996, held a public meeting in April 1996 after the last pilot examination was administered to discuss the lessons learned during the pilot program, and, in October 1996, assisted NEI with a public workshop to share lessons learned during the pilot examinations with other facility licensees who would be preparing their examinations prior to July 1997.

The April 1996 public meeting also afforded the NRC and the industry an opportunity to discuss a draft revision of NUREG-1021 that incorporated the new power reactor examination process.

The draft revision had been sent to the NRC's Pubic Document Room (PDR) and placed on the NRC's home page on the World-Wide Web in February 1996: the staff also published a Federal Register notice (FRN) on February 22, 1996, requesting industry and public comments on the draft NUREG. including an estimate of the burden that assuming responsibility for writing the initial licensing examinations would place on power reactor facility licensees.

NEI submitted comments and recommendations on behalf of the nuclear power industry, and two facility licensees provided additional suggestions; no other )ublic comments were received. The industry generally agreed with tie proposed changes to allow power reactor facility licensees to prepare the initial licensing examinations. The industry's burden estimates were considered in preparing this statement.

4 On December 10. 1996. the NRC published a notice in the Federal Register (61 FR 65083) of pending NRC action to submit an information collection request to OMB and solicitation of public comment.

No comments were received.

9.

Payment or Gift to Resoondents Not applicable.

10. Confidentiality of Information Initial Licensing Program:

Tne reference material that is coilected for the NRC's use in writing the site-specific examinations is not available for public

w t

7 l

l i

inspection; some of the information is proprietary in nature.

Under l

the proposed change, some of the information (i.e., the draft-t i

examinations written by the power reactor facility licensees and the l

as-given examinations a) proved by the NRC) will be available for public inspection (in tie PDR) after the examinations have been i

administered.

t Requalification Program:

l The examinations that facility licensees prepare and administer l

under their Commission-approved requalification programs are not.

l available for public inspection.

l' The reference material that is collected for the NRC's use in writing the requalification examinations is not available for public inspection: some of the information is proprietary in nature. The as-given written examinations will be available for public l

inspection (in the PDR) if necessary to support their discussion in l

l the NRC examination report:.

1 l

11. Justification for Sensitive Questions

+

l No sensitive information is requested.

l

12. Estimated Industry Burden and Burden Hour Cost Initial Examinations at Power Reactors:

1 Pending a revision of 10 CFR Part 55 that will require power' reactor-facility licensees to 3repare the licensing examinations. the l

proposed revision to tie initial operator licensing program will l

allow facility licensees to choose the method by which the licensing examinations at the facility are developed.

Each facility licensee I

will.be given the option of writing the licensing examinations t

(including the written examinations and operating tests) based on the guidance in NUREG-1021. " Operator Licensing Examiner Standards."

and submitting the proposed examinations to the NRC for review and a) proval or having the NRC write the examinations in accordance with tie same NUREG based on reference materials supplied by the facility licensee.

l-Feedback from the industry in response to the FRN discussed in l

Section 8 above and the NRC examiners who worked with the facility l

employees in preparing the pilot examinations indicated that the l-average time spent on writing, reviewing, and documenting the i

examinations was approximately 500 staff-hours.

(This does not include time spent assisting the NRC during the examination administration.) During the NEI workshop in October 1996. facility l

licensees who had previously partici)ated in pilot examinations estimated that they could prepare su) sequent examinations in about 400 hours0.00463 days 0.111 hours 6.613757e-4 weeks 1.522e-4 months . the same amount of time that the NRC currently allows its F

-contractors to prepare the examinations (refer to Section 14).

i.

y 8

The number of facility licensees that request examination services varies from year to year some facility licensees request multiple examinations per year, while others go extended periods between examinations. The current demand for examination services is approximately 60 per fiscal year. This is a decrease from the estimate in the previous OMB submittal, which assumed 88 initial licensing examinations per year.

Those power reactor facility licensees that prefer to do so may continue with the current examination process under which the NRC writes the initial operator licensing examinations based on site-

' specific reference materials provided by.the facility licensees.

It is expected that about 25 percent of the 60 power reactor facility licensees that require examination services per year will request the NRC to write the examinations. The volume of material submitted for that purpose is typically about 8,000 3 ages per examination.

l This estimate is twice that indicated in tie previous OMB submittal:

i the increase is a reevaluation based on recent examination experience.

Usually only one copy of the information will be required; however, additional copies may be necessary if examiners j

from different locations are involved in the examination. The copy requirements reflect a decrease from the previous OMB submittal i

(which assumed that two or three copies of the information would i

typically be required) because contract examiners will no longer be used to develo) the examinations. The copy requirements will be i

specified in tie letter to the facility licensee.

It is estimated that it will take approximately 50 hours5.787037e-4 days 0.0139 hours 8.267196e-5 weeks 1.9025e-5 months for the licensee to collect, reproduce, and organize the required information. The estimate has been raised from the previous OMB submittal in response to industry feedback that the estimate was too low. The revised estimate also takes into consideration the reduction in the number of copies required for the typical examination.

After the NRC prepares the written examinations and operating tests using the facility-provided reference materials and before it administers the examinations and tests to the license applicants, the facility licensee is given an opportunity to review, validate, and comment on the proposed examinations and tests.

It is estimated that this voluntary activity, which was not addressed in the 3revious OMB submittal takes the average facility licensee about 80 lours to perform.

The estimated annual burden for power reactor facility licensees to support the initial operator licensing examination program is summarized as follows:

1

9 I

l Licensees Affected Hours oer Total Licensee Cost l

Licensee Burden at $128/Hr s

Facility Write: 45 500 22.500_

$2.880.000_

i NRC Write:

15 130 1.950

$ 249.600 TOTAL:

60 24.450

$3.129.600

' Although this appears to be a significant increase in the burden on i

facility licensees the staff views this change as resource neutral I

and possibly resulting in a resource savings to licensees over time.

NRC contractors, who expend an average of 400 hours0.00463 days 0.111 hours 6.613757e-4 weeks 1.522e-4 months preparing each examination, will not be used to prepare the examinations. License fees that the NRC charges the facility licensees for examination i

services pursuant to 10 CFR 170.12(1) include this contractor cost (refer to Section 14).

In addition, the licensee-expends an additional 80 hours9.259259e-4 days 0.0222 hours 1.322751e-4 weeks 3.044e-5 months to review the contractor-prepared examination.

for a total effort of approximately 480 hours0.00556 days 0.133 hours 7.936508e-4 weeks 1.8264e-4 months .

The final cost is l

therefore about the same as the 500 hours0.00579 days 0.139 hours 8.267196e-4 weeks 1.9025e-4 months estimated for licensees to i

prepare the examinations.

The staff believes:(and the industry agrees) that additional cost reductions will be realized as facility i

licensees gain experience with the NRC's examination expectations and the quality of the draft examinations improves. The staff expects that facility licensees will eventually be able to draft quality examinations in the same time as or in less time than the NRC or a contractor because the facility employees have more detailed knowledge of their facility and easier access to the reference materials required to 3repare the examinations.

~

Furthermore, as the quality of t1e examinations improves, the NRC's l

effort to review and approve the examinations should also decrease:

the resulting savings would be reflected in lower fees billed to the i

facility licensees.

l 1

Facility licensees that are not adequately staffed to draft the i

examinations may choose to hire a contractor to write them (as the NRC has typically done) or they may enter into cooperative arrangements with other facility licensees. The NRC's examination contractors have already expressed an interest in providing their

. services to facility licensees directly. The staff believes that the cost of using this option would be comparable to the contrauor service fees that the NRC currently passes on to facility licensees.

Requalification Inspections and Examinations at Power Reactors:

The burden on power reactor licensees to assemble and reproduce the j

information required for the requalification program is as follows.

It is expected that u) to eight facility licensees per year could be requested to submit t1eir annual requalification operating tests and l

comprehensive written examinations to the NRC for review.

It is estimated that the burden to collect and reproduce the required L

information will be no more than four hours per facility. This is unchanged from the previous OMB submittal.

I 10 l

Furthermore, it is expected that the NRC could administer up to four i

recualification examinations for-cause per year. This is a l

recuction from the previous.0MB submittal (13), which assumed that the NRC would periodically conduct a requalification examination at i

each facility. The volume of reference material required for the NRC to prepare the examinations is estimated at 4,000 pages per i

submittal; the time to collect, reproduce, and organize the material for the information collection is estimated at 25 hours2.893519e-4 days 0.00694 hours 4.133598e-5 weeks 9.5125e-6 months .

This is an increase from the previous OMB clearance estimate (2,000 pages and eight hours) in response to an industry comment (referenced in i

Section 8 above) regarding the initial examination burden estimate, i

It is estimated that NRC participation in the facility licensee's requalification examination process.will add about 75 hours8.680556e-4 days 0.0208 hours 1.240079e-4 weeks 2.85375e-5 months 'to the time that the facility staff would normally spend preparing and i

administering the examination. This effort would include the time to attend meetings, resolve NRC questions, and perform other examination team activities, The burden to maintain an examination bank containing written questions, job )erformance measures, and simulator scenarios for use in developing tie requalification examinations is estimated at 40 hours4.62963e-4 days 0.0111 hours 6.613757e-5 weeks 1.522e-5 months per year for each power reactor facility licensee.

The examination bank must be maintained until the license is terminated.

i The total annual requalification program burden hour estimate for

)

power reactor licensees is summarized as follows Licensees Affected Hours cer.

Total Licensee Cost Licensee Burden at $128/Hr

)

Reoortina i

Exams for Review:

8 4

32

$ 4,096 NRC Requal Exams:

4 100 401

$ 51.200 Total Reporting Burden 432 Recordkeeoina Maintain Exam Bank: 75 40 3,000

$384,000 TOTAL REPORTING BURDEN:

24,882

$3,184,896 TOTAL RECORDKEEPING BURDEN:

3,000

$384,000 TOTAL POWER REACTOR LICENSEE BURDEN HOUR COST:

$3,568.896 Initial Examinations at Non Power Reactors:

It is expected that approximately 25 non-power reactor facility licensees per year will request initial operator licensing examination services by the NRC; this represents an increase of five from the previous OMB submittal. The volume of material submitted to support each examination is typically less than 750 pages.

Usually only one copy of the information will be required; however, additional copies may be necessary if examiners from different

i 11 locations are involved in the examination.

The copy requirements will be specified in the letter to the facility licensee.

It is estimated that it will take approximately fear hours to collect, reproduce, and organize the required infornation.

Requalification Inspections and Examinations at Non Power Reactors:

The burden on non-power reactor licensees to assemble and reproduce the examinations for the requalification program is unchanged from the previous OMB submittal.

It is expected that up to four facility i

licensees per year could be requested to submit their annual requalification o)erating tests and comprehensive written i

examinations to tie NRC for review.

It is estimated that the burden 1

to collect, reproduce, and organize the required information will be no more than 0.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months per facility.

4 Furthermore. it is expected that the NRC could administer one requalification examination for-cause per year.

This is a reduction from the previous'OMB submittal (seven), which assumed that the NRC would periodically conduct a requalification examination at each facility. The volume of reference material required for the NRC to prepare the examination is generally less than 400 pages, and the time to collect, reproduce, and organize the material for the information collection is estimated at two hours.

It is estimated that NRC participation in the facility licensee's requalification examination process will add about 20 hours2.314815e-4 days 0.00556 hours 3.306878e-5 weeks 7.61e-6 months to the time that the facility staff would normally spend preparing and administering the examination.

This effort would include the time to attend meetings, resolve NRC questions, and perform other examination team activities.

Licensees Affected Hours oer Total Licensee cgst Licensee Burden at $128/Hr Initial Exams:

25 4

100

$12.800 Requal for Review:

4 0.5 2

256 NRC Requal Exams:

1 22 22

$ 2.816 TOTAL:

30 124

$15.872

13. Estimate of Other Additional Costs Initial Examinations at Power Reactors:

The annual cost to reproduce and transmit the material for the initial operator licensing program is estimated to be $9.750.

This is a decrease from the previous OMB submittal.

The estimate includes $2.250 (45 licensees x 500 pages per examination x $.05 per page for reproduction costs plus $25 per examination for packaging and shipping) for those facility licensees that write their own examinations and $7.500 (15 licensees x 8.000 pages of reference material per examination x $.05 per page for reproduction costs plus

$100 to package and ship the reference material) for those facility

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licensees that request the NRC to write the examinations.

Requalification Inspections and Examinations at Power Reactors:

I The annual cost to reproduce and transmit the material for the requalification program is estimated to be $1.500.

The estimate include'; $400 (8 licensees x 500 pages per examination x $.05 per page for reproduction costs plus $25 per examination for packaging l

and-ship)ing) for those facility licensees that are requested to submit t1eir examinations for inspection and $1.100 (4 licensees x j

4000 pages of reference material per examination x 5.05 per page for reproduction costs plus $75 to package and shi) the reference material) for those facility licensees at whic1 the NRC decides to conduct requalification examinations for cause.

TOTAL POWER REACTOR FACILITY ADDITIONAL COST: $11.250 Initial Examinations at Non Power Reactors:

The annual cost to reproduce and transmit the material for the initial operator licensing program is estimated to be $1.560.

This is a decrease from the previous OMB submittal because only one copy of the material will be required. The estimate is arrived at by-approximating 750 pages of reference material for each of the 25 l

licensees x $.05 per page for reproduction costs plus $25 to package and ship the reference material.

j.

Requalification Inspections and Examinations at Non Power Reactors:

The annual cost to reproduce and transmit the material for the l

requalification program is estimated to be 590. The estimate includes $60 (4 licensees x 100 pages per examination x $.05 per page for reproduction costs plus $10 per examination for packaging and ship)ing) for those facility licensees that are requested to submit t1eir examinations for inspection and $30 (one licensee's reference material consisting of 400 pages x 5.05 per page for j

reproduction costs )lus $10 for packaging and shipping) for the i

facility at which t1e NRC decides to conduct a requalification examination for cause.

l i

TOTAL NON-POWER REACTOR FACILITY ADDITIONAL COST:

$1.650 i

The industry total annualized additional cost for copying and mailing the information required for this collection is $12.900

($11.250 + $1.650). This is a decrease from previous OMB submittals. The decrease is attributed to reductions in both the i

number of examinations (initial and requalification) to be prepared by the NRC and in the number of copies of material required for the NRC to prepare the examinations.

i l -

i

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l 13 14.. Estimated Annualized Cost to The Federal Government j

Initial Examinations at Power Reactors:

As noted above, it is estimated that approximately 60 power reactor facility licensees per year will request initial licensing examination services.

It is ex)ected that about 45 of those facility licensees will write tie examinations and submit them to i

the NRC for review and approval in accordance with the revised examination process. thsed on data from a series of pilot examinations that were conducted to evaluate the revised process, it 1s estimated that NRC examiners will spend an average of approximately 130 hours0.0015 days 0.0361 hours 2.149471e-4 weeks 4.9465e-5 months to review and approve the examinations before they are given.

The estimate includes time to review both the reactor operator and senior reactor operator written examinations and the operating tests.

It is expected that approximately 15 facility licensees will request i

i the NRC to write the initial operator licensing examinations in accordance with existing procedures based on the reference material submitted by the facility licen.see.

The NRC will spend about 400 hours0.00463 days 0.111 hours 6.613757e-4 weeks 1.522e-4 months using the material to develop the reactor operator and senior reactor operator written examinations and operating tests. This estimate is 100 hours0.00116 days 0.0278 hours 1.653439e-4 weeks 3.805e-5 months higher than the 3revious OMB submittal and is consistent with the time allowed for tiose tasks in accordance with i

the NRC's technical assistance contracts for examination services.

The overall initial examination burden is as follows:

Examinations Hours Der Total Government Cost f1q!g Burden at $128/Hr Facility-Written:

45 130 5.850

$ 748.800 NRC-Written:

15 400 6.000

$ 768.000 TOTAL:

60 11.850

$1,516.800 The annualized government burden for the initial examination program at power reactor facilities is significantly lower than the previous OMB clearance (26.400 staff hours: $3.247.200). The reduction is attributed to a decrease in the demand for initial operator 1

licensing examinations and the proposed change in the way the examinations will be written. The savings realized as a result of the revised arocess will be reflected in lower Part 55 review fees charged to tie participating facility licensees.

If the NRC were to write all of the examinations as it has in the past, it would require approximately 270 additional hours of NRC (or contractor) effort per examination than if the facility licensees pre)are the examinations.

The aggregate savings in license fees to t1e facility licensees would total $1.555.200 (270 hours0.00313 days 0.075 hours 4.464286e-4 weeks 1.02735e-4 months per examination x 45 examinations x $128 per hour).

14 Requr,lification Inspections and Exa91 nations at Power Reactors:

As prt of the NRC's requalification program oversight activities, it is estimated that eight facility licensees will be requested to submit their annual requalification operating tests and comprehensive written examinations to the NRC for review. NRC examiners will spend an average of approximately 32 hours3.703704e-4 days 0.00889 hours 5.291005e-5 weeks 1.2176e-5 months reviewing each examination submittal. This burden estimate is unchanged from the previous OMB submittal Additionally, it is estimated that the NRC may develop and conduct four requalification examinations based on the information submitted by the facility licensees. This is a reduction from a previous OMB submittal that assumed the NRC would conduct requalification examinations on a periodic basis at each facility, rather than for l

cause.

NRC examiners will spend an average of about 160 hours0.00185 days 0.0444 hours 2.645503e-4 weeks 6.088e-5 months using the information to develop each examination.

l The overall requalification program burden is as follows:

Examinations Hours Der Total Government Cost Ex 31 Byrden at $128/Hr j

Review:

8 32 256

$ 32.768 Develop:

4 160 640

$ 81.920 1

TOTAL:

12 896

$114.688 l

Initial Examinations at Non Power Reactors:

As noted above, it is estimated that approximately 25 non-power reactor facility licensees per year will request initial licensing examination services; this is slightly higher than the previous OMB submittal (20).

For each examination. the NRC will spend about 200 hours0.00231 days 0.0556 hours 3.306878e-4 weeks 7.61e-5 months using the information submitted by the facility licensee to develop the reactor operator and senior reactor operator written examinations and operating tests.

Requalification Inspections and Examinations at Non Power Reactors:

As part of the NRC's requalification program oversight activities.

it is estimated that four facility licensees will be requested to submit their annual requalification operating tests and comprehensive written examinations-to the NRC for review.

NRC examiners will spend an average of approximately 16 hours1.851852e-4 days 0.00444 hours 2.645503e-5 weeks 6.088e-6 months reviewing each examination submittal. This burden estimate is unchanged from the previous OMB submittal.

Additionally, it is estimated that the NRC may develop and conduct one requalification examination based on the information submitted by the facility licensees. This is a reduction from a previous OMB submittal that assumed the NRC would conduct requalification i

examinations on a periodic basis at each facility. rather than for

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NRC examiners will spend an average of about 120 hours0.00139 days 0.0333 hours 1.984127e-4 weeks 4.566e-5 months using the information to develop each examination.

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Examinations Hours oer Total Government Cost Exam

- Burden at $128/Hr Initial Exams:

25 200 5,000

$640,000 Requal for Review:

4 16 64

$ 8,192 Requal Material:

1 120 120

$ 15.360 i

TOTAL:

30 5,184

$663,552 1

15. Reasons for Chanaes in Burden or Cost i

The previous three-year clearance given by OMB was for a rulemaking that only considered changes in the requalification program.

Consequently, none of the burden for initial licensing and non-power reactors programs were included ir. that package.

This burden has been reinstated in this renewal package.

Initial Licensing Program:

The changes in burden for the initial operator licensing program are the results of the increasing role that power reactor facility licensees are playing in the examination development process.

With the licensees' increased efficiency in maintaining this program.

overall costs are expected to decrease for the licensees. The NRC i

believes that facility licensees-will eventually be able to write the examinations more efficiently than NRC or contract examiners, resulting in a cost savings to the industry.

j The nuclear power industry generally agrees with the changes that the staff has proposed to make in the examination process. The i

industry had informally suggested the changes prior to the current NRC initiative, and one facility licensee had previously submitted a j

cost beneficial licensing action requesting permission to wr.ite its i

own examinations. The responses to the FRN that solicited comments on the proposed changes were generally favorable: a number of the industry s recommendations have been incorporated.

None'of the respondents suggested that the burden was excessive or that the NRC's plan to implement the changes should not proceed.

Other changes in the initial licensing examination burden estimates include adjustments in the expected numbers of power and non-power examinations to be given each year (based on experience), a decrease in the required number of copies of the reference material (contract examiners will no longer be used), and an increase in the time required to assemble and reproduce the information (industry recommendation),

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16 Requalification Program:

9

.The requalification burden estimates have been revised (based on

. experience) to more accurately reflect the number of requalification i'

examinations that the NRC expects to prepare and administer in response to concerns that a facility licensee is. incapable of i

adecuately evaluating the competence of its licensed operators. The burcen has also been adjusted to include the additional effort that facility licensees will spend performing NRC examination team activities and the time that power reactor facility licensees will spend maintaining their requalification examination question banks.

16. Publication for Statistical Use This information is not published for statistical use.

17. Reason for Not Disolavina the Exoiration Date The expiration date is displayed in the requests for information sent to the facility licensees, j

18. Exceotions to the Certification Statement None.

B.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS 4

Not applicable.

Attachments:

1.

Sample Power Reactor Initial Examination Information Request

.2.

' Sample Non-Power Reactor-Initial Examination Information Request 3.

Sample Requalification Examination Request Letter 4.. Sample Power Reactor Requalification Examination Information Request 5.

Sample Non-Power Reactor Requalification Examination-Information Request l

l l

l

I 1

9 5

Sample Power Reactor Initial Examination Information Request 4

I 1

(Name. title)

(Acdress)-

S

Dear (Name):

In a telephone conversation on (date) between Mr./Ms. (Name. title) and Mr./Ms 1NEg title), arrangements were made for the administration of licensing examinations at (facility name) during the week (s) of (date).

[Your staff]((The NRC)) will prepare the aroposed examinations in accordance with the guidelines in Revision 8. of NUREG-1021. " Operator Licensing Examination Standards for Power Reactors."[ The NRC regional office will discuss with your staff any changes that might be necessary before the examinations are administered.]((

In accordance with the guidelines in of ES-201 your staff will be given the opportunity to review the examinations during the week of (date).))

To meet the above schedule, it will be necessary for your staff to furnish the

[ proposed examination outlines by (date).

The proposed written examinations, operating tests, and the supporting] reference materials identified in of ES-201 [will be due] by (date). Any delay in receiving the required [ examination and] reference materials. or the submittal of inadequate or incomplete materials, may cause the examinations to be rescheduled.

In order to conduct the requested written examinations and operating tests. it will be necessary for your staff to arovide adequate space and accommodations

-in accordance with ES-402, and to mace the simulation facility available on the dates noted above.

in accordance with ES-302. your staff should retain the original simulator performance data (e.g.. system pressures. temperatures, and levels) generated during the dynamic operating tests until the examination results are final.

Appendix E of NUREG-1021 contains a number of NRC policies and guidelines that-will be in effect while the written examinations and operating tests are being administered.

To permit timely NRC review and evaluation, your staff should submit reliminary reactor operator and senior reactor operator license applications p(Office of Management and Budget (0MB) approval number 3150-0090). medical certifications (OMB approval number 3150-0024), and waiver requests (if any)

(OMB approval number 3150-0090) at least 30 days.before the first examination date.

If the applications are not received at least 30 days before the examination date, a postponement may be necessary.

Signed a)plications certifying that all training has been completed should be su)mitted at least 14 days before the first examination date.

1

c..

This letter contains information collections that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.)..These information collections were ap3 roved by the Office of Management and Budget, approval number 3150-

"J101, w1ich expires on (date).

The public reporting burden for this collection of information is estimated to average (number) hours per response, including the time for reviewing instructions, gathering and maintaining the data needed. [ writing the examinations.]-and completing and reviewing the collection of information.

Send comments on any aspect of this collection of information, including suggestions for reducing the burden, to the Information and Records Management Branch (T-6 F33), U.S. Nuclear Regulatory Commission Washington, DC 20555-0001, or by Internet electronic mail at BJSl@NRC. GOV; and to the Desk Officer.

Office of Information and Regulatory Affairs. NE0B-10202 (3150-0101), Office of Management and Budget. Washington, DC 20503.

The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.

Thank you for your cooperation in this matter.

(Name) has been advised of the policies and guidelines referenced in this letter.

If you.have any questions regarding the NRC's examination procedures and guidelines, please contact (name of reaional contact) at (teleohone number), or (name of resoonsible reaional suoervisor) at (teleohone number).

Sincerely (Acorooriate reaional i

reoresentative. title)

Docket No.:

50-(Number)

[]

Include only for examinations to be prepared by the facility licensee.

((-)) Include only for examinations to be prepared by the NRC.

I 2

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Reference Material Guidelines For Initial Ooerator Licensina Examinations (Excerpted from NUREG-1021)

This attachment discusses the reference materials that facility licensees are expected to provide for each NRC initial licensing examination.

The regional office will customize the list of reference materials as required to support the specific examination assignment; additional materials may be requested at a later time if necessary to ensure the accuracy and validity of the examinations.

In determining the need for reference materials, the regional office will consider the facility licensee's level of participation in the examination development process.

If the facility licensee will be preparing the examinations, it may be sufficient to obtain only those references necessary to review and validate the items that appear on the examir,ation, plus a set of key procedures and other documents required to prepare for the operating tests. The regional office will duly consider the administrative burden it places on facility licensees and request only those materials that are actually necessary for the NRC examiners to prepare for the examinations.

1 All reference materials provided for the license examinations should be approved, final issues and should be so marked.

If any of the material is expected to change before the scheduled examination date, the facility licensee should reach agreement with the NRC chief examiner regarding changes before the examinations are administerea.

The reference materials may be submitted on computer diskettes (in a format com)atible with the NRC's word processing software), as hard copy. or a com)ination as arranged with the NRC chief examiner.

If the facility licensee prepares the examinations, the hard-copy references should normally be limited to those materials required to validate the selected test items.

All procedures and reference materials should be bound with appropriate indices or tables of contents so that they can be used efficiently; a master table of contents should be ]rovided for all materials sent.

Failure to provide complete, properly aound, and indexed reference material may prompt the NRC to return the material to the person at the highest level of corporate management responsible for plant operations The returned reference materials will be accompanied by a cover letter explaining the deficiencies in the material and the basis for postponing or cancelling the examinations.

Unless otherwise instructed by the NRC regional office, the facility licensee is expected to provide the following reference materials for each NRC initial licensing examination:

1.

Materials used by the facility licensee to ensure operator competency a.

The following types of materials used to train applicants for initial R0 and SR0 licensing, as necessary to support examination development:

1

Learning objectives, student handouts, and lesson plans j

System descriptions of all operationally relevant flow e

paths.. components, controls, and instrumentation I

Material used to clarify and strengthen understanding of e

normal, abnormal, and emergency operating procedures i

Complete, operationally useful descri)tions of all safety e

system interactions'and, where availa)le, balance-of-plant system interactions under emergency and abnormal conditions.

including consequences of anticipated operator errors, maintenance err ~s. and equipment failures, as well as plant-specific r',sk insights based on a probabilistic risk analysis (PRA) and individual plant examination (IPE)

These materials should be complete. comprehensive, and of sufficient 1

detail.to support the development of accur;te and valid examinations without being redundant.

l b.

Questions and answers specific to the facility training program that may be used in the written examinations or operating tests c.

Copies of facility-generated simulator scenarios that expose the

')

applicants to abnormal and emergency conditions, including degraded l

pressure control, degraded heat removal capability, and containment challenges, during all modes of operation. including low-power conditions (A description of the scenarios used for the training class may also be provided.)

d.

All JPMs used to ascertain the competence of the operatt.rs in performing tasks within the control room complex and outside the control room (i.e.

local operations) as identified-in the facility's job task analysis (JTA) (JPMs should evaluate operator i

responsibilities during normal, abnormal, and emergency conditions and events, and during all modes of operation including cold i

shutdown, low power, and full power.)

2.

Complete index of procedures (including all categories sent)

-l 3.

All administrative procedures applicable to reactor operation or safety 4.

All integrated plant procedures (normal or general operating procedures)

=5.

All emergency procedures (emergency instructions, abnormal or special procedures) 6.

Standing orders (important orders that are safety-related and may modify the regular procedures) i 2

7.

Surveillance procedures that are run frequently (i.e.. weekly) or that can be run on the simulator S.

Fuel handling and core loading procedures (if SRO applicants will be i

examined) 9.

All annunciator and alarm procedures 10.

Radiation protection manual (radiation control manual or procedures) 11.

Emergency plan implementing procedures 12.

Technical S)ecifications (and interpretations, if available) for all units for w1ich licenses are sought 13.

System operating procedures 14.

Technical data book and plant curve.information used by operators as well as the facility precautions. limitations, and set points document 15.

The following information pertaining to the simulation facility:

a.

List of all initial conditions b.

List of all malfunctions with identification numbers and cause and effect information, including a concise description of the expected result or range of results that will occur upon initiation and an indication of which annunciators will be actuated as a result of the malfunction c.

A description of the simulator's failure capabilities for valves, breakers, indicators, and alarms d.

The range of severity of each variable malfunction (e.g., the size of a reactor coolant or steam leak, or the rate of a component failure such as a feed pump, turbine generator or major valve) d.

A list of modeling conditions (e.g.. simplifications, assumptions, and limits) and problems that may affect the examination f.

A list of any known performance test discrepancies not yet corrected g.

A list of differences between the simulator and the reference plant's control room h.

Simulator instructor's manual 16.

Any additional plant-specific material that has been recuested by the NRC examiners to develop examinations that meet the guicelines of these standards and the regulations 3

(.

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t l

i Sample Non-Power Reactor Initial Examination Information Request l

l 1

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l-Docket'No. 50-l

)

l Dear 3

In a telephone conversation between and j

arrangements were made for the administration of operator i

licensing examinations at the The written and 1

L operating examinations are scheduled for tne week of In order for us' to meet this schedule, please furnish the reference material.

l as a)plicable for your facility, listed in Enclosure 1. " Reference Material for Reactor / Senior Reactor Operator Licensing Examinations" at least 60 days prior to the examination date to the following address:

U. S. Nuclear Regulatory Commission Washington, D.C.

20555 ATTN:

(Chief Examiner)

You are responsible for providing adequate space and accommodations in order j

to properly conduct the written examinations.. " Administration of Written Examinations." describes our process for conducting these examinations. contains the Rules and Guidelines that will be in effect during i

l the administration of the written examination.

Please ensure that all applicants are aware of these rules.

Your review of the written examination will be conducted in accordance with j

the procedures specified in Enclosure 4. " Facility Review of Written Examinations."

l Preliminary reactor operator and senior reactor operator license ap)lications (Office of Management and Budget (OMB) approval number 3150-0090) s1ould be submitted at least 30 days before the first examination dates so that we will be able to review the training and experience of the candidates, process the l

medical certifications (OMB aporoval number 3150-0024), and prepare final examiner assignments after aps icant eligibility has been determined.

Final signed applications certifying that all training has been completed must be.

submitted at least 14 days before the examination date in order to process the license application.

If our review cannot'be completed in time to make a l

determination of applicant eligibility the candidate may not be permitted to sit for the examination.

Therefore. it is recommended that license applications be provided as soon as possible to ensure an appropriate level of review.

i 1

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This letter contains information collections that are subject to the Paperwork i

Reduction Act of 1995 (44 U.S.C. 3501 et seq.).

These information collections pere ap3 roved by the Office of Management and Budget, approval number 3150-U101, w1ich expires on The public reporting burden for this collection of information is estimated to average hours per response, including the time for reviewing instructions, gathering and maintaining the data needed, and completing and I

reviewing the collection of information.

Send comments on any aspect of this collection of information, including suggestions for reducing the burden, to the Information and Records Management Branch (T-6 F33). U.S. Nuclear Regulatory Commission. Washington. DC 20555-0001. or by Internet electronic mail at BJSl@NRC. GOV; and to the Desk Officer. Office of Information and Regulatory Affairs. NE0B-10202. (3150-0101). Office of Management and Budget.

Washington, DC 20503.

The NRC may not conduct or sponsor, and a person is not required to resaond to, a collection of information unless it displays a currently valid OM3 control number.

If you have any questions regarding the examination procedures and requirements please contact (Chief Examiner) at (

) xxx-xxxx.

i Sincerely.

]

Chief Examiner Operator Licensing Branch Division of Reactor Controls and Human Factors Office of Nuclear Reactor Regulation

Enclosures:

1.

Reference Material for Reactor / Senior Reactor Operator Licensing Examinations 2.

Administration of Written Examinations (not included) 3.

Procedures for Administration of Written Examinations (not included) 4.

Facility Review of Written Examinations (not included) cc w/encls:

Reactor Supervisor 2

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1~

i Reference Material for Reactor / Senior Reactor Ooerator Licensina Examinations 4

I

~ 1.

Existing learning objectives, students handouts a-d lesson plans (including training manuals, facility orientation manual, system descriptions, reactor theory, thermodynamics, etc.)

Training materials should include all substantive written material used for preparing applicants for initial R0 and SR0 licensing. The written material should include learning objectives if available and the details presented during lectures, rather than outlines. Training naterials should be identified, bound, and indexed. Training materials which include the following should be provided:

J System descriptions including descriptions of all operationally relevant flow paths. components, controls and instrumentation.

System training material should draw parallels to the actual procedures used for operating and applicable system.

Complete and operationally useful descriptions of all safety-system interactions. secondary interactions under emergency and abnormal conditions, including consequences of anticipated operator error.

maintenance error, and equipment failure.

Training material used to clarify and strengthen understanding of emergency operating procedures.

2.

Complete Procedure Index (including temporary procedures).

3.

All administrative procedures as applicable to reactor operation or safety.

4.

All integrated facility procedures, normal or general operating procedures and procedures for experiments.

5.

All emergency procedures, emergency instructions, abnormal or special procedures.

6.

Standing orders or procedures changed by reactor supervision and important orders or changes that are safety related and may supersede the regular procedures.

7.

Applicable procedures (procedures that are run frequently).

8.

Fuel-handling and core-loading orocedures and initial core-loading procedure, when appropriate.

- 9.

Any annunciator / alarm procedures. as applicable.

1

10.

Radiation protection manual, radiation control manual or procedures 11.

Emergency plan implementing procedures.

12.

Safety Analysis Report. Technical Specifications and interpretations, if available.

13.

System operating procedures, including experiments.

14.

Piping and instrumentation diagrams, electrical single-line diagrams, or flow diagrams, as applicable.

15.

Technical Data Book, and/or facility curve information as used by operators and facility precautions, limitations, and set points for the facility.

16.

Questions and answers specific to the facility training program which may be used in the written or operating examinations (voluntary by facility licensee).

17.

Additional material as requested by the examiners to develop examinations that meet the requirements of the Non-power Reactor Examiner Standards and Regulations.

The above reference material should be ap3 roved final issues and so marked.

If a facility has not finalized some of tie material, the Chief Examiner should verify with the facility that the most con )lete, up-to-date material is available and that agreement has been reached wit 1 the licensee for limiting changes before the administration of the examination.

2

l.

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Sample Requalification Examination Request Letter l

l l.

l d

l

o-(Name. title)

(Address)

$UBJECT:

REQUALIFICATION PROGRAM INSPECTION Deae (Name):

In a telephone conversation on (date), (Name. title). and (Name. title). made arrangements'for the NRC to inspect the licensed operator requalification program at the (facility name).

The inspection is planned for the week of (date), which coincides with your regularly scheduled requalification examination cycle.

The staff at your facility should prepare and conduct the requalification examinations in accordance with your NRC-approved requalification program.

In accordance with 10 CFR 55.59(c), the NRC may request facility licensees to submit their comprehensive requalification written examinations or annual operating tests as necessary to support the NRC's inspection program needs.

In order for the NRC to adecuately prepare for this inspection, please furnish the written examinations anc operating tests scheduled for the week of the inspection to the NRC by (date).

(Name) has been advised of this recuest and provided with the name and address of the NRC lead inspector assignec to this inspection.

This letter contains information collections that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). These information collections were ap) roved by.the Office of Management and Budget, approval number 3150-0101. w1ich expires on-(date),

The public reporting burden for this collection of information is estimated to average (number) hours per response, including the time for reviewing ir,structions, gathering and maintaining the data needed and completing and reviewing the collection of information.

Send comments on any aspect of this collection of information, including suggestions for reducing the burden, to the Information and Records Management Branch (T-6 F33)

U.S. Nuclear.

Regulatory Commission, Washington. DC 20555-0001. or by Internet electronic mail at BJSl@NRC.G0V; and to the Desk Officer. Office of Information and Regulatory Affairs. NE0B-10202 (3150-0101). Office of Management and Budget.

Washington, DC 20503.

The NRC may not conduct or sponsor, and a person is not required to res)ond to, a collection of information unless it displays a currently valid OM3 control number.

Thank you for your cooperation in this matter.

If you have any questions regarding this inspection, please contact (Name) at (teleohone number).

Sincerely.

(Appropriate Regional Title)

b i

1 Sample Power Reactor Requalification Examination Information Request

)

1 4

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t i

t (Name. title) i (Address) t

SUBJECT:

REQUALIFICATION PROGRAM EVALUATION

Dear (Name):

i In a telephone conversation on (date). (Name. title) and (Name. title) ersonnel at the-1 arranged to evaluate the requalification program and licensed p(date).

(facility name).

The evaluation is scheduled for the week of NRC i

examiners and evaluators from your facility will conduct requalification examinations, and the NRC will evaluate your requalification program in accordance with Sections ES-601 through ES-604 of NUREG-1021. " Operator Licensing Examination Standards for Power Reactors." Revision 8.

You are encouraged to ensure that your training staff and proposed examinees are l

familiar with these standards, t

For the NRC to adequately prepare for this evaluation. the facility licensee will need to furnish the NRC with the approved items listed in Enclosure 1.

" Reference Material Guidelines." You are also requested to submit, at your option, a proposed examination for use during the examination week. However, i

if you do submit a proposed examination, the personnel participating in. its development will become subject to the security restrictions described in this i

letter.

j Please review the guidance promulgated in Revision 8 of NUREG-1021 concerning I

the content and scope of simulator examination scenarios.

The scenario examination bank should cover the entire spectrum of emerger.cy o)erating procedures (EOPs), including alternative decision paths within tie E0Ps and it should incorporate a range of failures with various degrees of severity for the same type of event.

Each scenario should contain simultaneous events that require the senior reactor operators (SR0s) to prioritize their actions and to assign particular tasks to other crew members.

Each scenario should also require the SR0s to decide when to make the transition between E0Ps and which actions to take within E0Ps.

You are requested to designate at least one employee to be a member of a joint ~

NRC-facility examination team. That employee is expected to be an active SRO (as defined by 10 CFR 55.53(e) or (f)) from the (facility name) operations department.

You are encouraged to designate a second employee from the i

training staff to be a member of the examination team. This employee'should also be a licensed SRO. but may be a certified instructor.

If desired and agreed to by the chief examiner, you may designate one additional employee from the training staff with appropriate qualifications to be a member of the examination team.

In addition to these individuals, you will need to designate a simulator operator for scenario preview and validation during the 4

1 k

on-site examination preparation week.

In some cases, you may need to designate a' simulator o)erator during the test item review period. All of 3

these individuals will ]e subject to the examination security agreement.

5 i

The NRC restricts any facility licensee representatives under the security agreement from knowingly communicating by any means the content or scope of the examination to unauthorized persons and from participating in any facility.

2

. licensee programs such as instruction examination, or tutoring. in which an identified requalification examinee will be present. These restrictions apply from the day that the facility licensee representative signs the examination d -

security. agreement. indicating that the representative understands that he or she has specialized knowledge of the examination. The chief examiner will 2.

determine when a facility licensee representative has received specialized i

knowledge concerning the examination and will execute an examination security agreement.

In most cases, the examination team members will not be required to enter into an examination security agreement more than 60 days before the examination week.

The simulator operator will-normally become subject to the security restrictions during the examination preparation and validation week:

j however, this may occur as much as 45 days before the examination week.

i-Sixty days before the examination administration date. please provide the NRC regional office with a 3roposed list-of' licensees, including crew composition, i

for the examination. T1e list should include at least 12 licensees.

1 comprising three or more crews, and the current mailing address for each proposed licensee, if different from that listed on the most recent Form 398 submitted to the NRC.

Your training staff should send this information directly to the NRC chief examiner, ensuring that each licensee's address is sent in a manner to ensure privacy.

4 The facility licensee may request that the NRC chief examiner or another NRC representative meet with the licensees to be examined and the licensee managers during the examination preparation week, normally two weeks before the examination.

However. if the schedule does not allow them to meet during the preparation week, they may meet at any mutually agreeable time.

The NRC examiner will explain the examination and grading processes and will respond to any questions that licensees may have about the NRC's examination procedures.

If such a meeting is desired. your training staff should schedule it with the NRC chief examiner.

The facility licensee staff is responsible for providing adequate space and accommodations to properly develop and conduct the examinations..

" Administration of Requalification Examinations." describes our requirements for developing and conducting the examinations Also, a facility operations management representative above a shift supervisor level should observe the simulator examination process at the site.

This letter contains information collections that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.).

These information collections were ap3 roved by the Office of Management and Budget, approval number 3150-0101, w1ich expires on (date).

2

The public reporting burden for this collection of information is estimated to average (number) hours per response. including the time for reviewing instructions. gathering and maintaining the data needed, and completing and

+ reviewing the collection of information Send comments on any aspect of this collection of information. including su gestions for reducing the burden, to the Information and Records Management ranch (T-6 F33). U.S. Nuclear Regulatory Commission. Washington D.C.

20555-0001. or b Internet electronic

-mail at BJSl@NRC. GOV: and to the Desk Officer. Office of nformation and Regulatory Affairs. NE0B-10202. (3150-0101). Office of Management and Budget.

Washington D.C.

20503.

The NRC may not conduct or sponsor, and a person is not required to respond to. a collection of information unless it displays a currently valid OMB control number.

Thank you for your cooperation in this matter (Name) has been advised of the NRC guidelines and policies addressed in this letter.

If you have any questions on the evaluation process. please contact (Name. recional section chief) at (telechone number)

Sincerely.

Docket No.: 50-(Number)

Enclosures:

1.

Reference Material Guidelines 2.

Administration of Requalification Examinations (not included) 3

Reference Material Guidelines 51.

Sixty days before the examination date, the facility licensee should provide test items to support all aspects of the requalification examination to the NRC 2.

The facility licensee is expected to submit the following reference materials for all NRC-conducted requalification examinations:

An examination sample plan that meets the requirements of ES-601.

The facility's examination banks (written, simulator, and JPM) and associated reference materials (including. at a minimum, technical specifications, abnormal and emergency operating procedures, and emergency plan procedures utilized in requalification training)

Additional reference materials requested by the NRC chief examiner 3.

The facility licensee's examination banks are expected to contain the following information:

A minimum of 700 test items equally divided for use in the two sections of the written examination and covering all safety-related

)

elements of the facility job-task analysis (JTA).

The facility licensee is expected to maintain a dynamic bank by reviewing, revising, or generating at least 150 questions a year.

New ques-i tions should cover equipment and system modifications, as well as i

1 recent industry and licensee events and procedural changes.

JPMs that meet the criteria in ES-603 for evaluating each reactor operator (RO) and senior reactor o)erator (SRO) safety-related task identified in the facility JTA.

T1e JPM bank should expand at a rate of at least ten JPMs per year until this goal is reached.

It is estimated that 125 to 150 JPMs will be the final result.

A bank of at least 30 simulator scenarios reflecting all abnormal and emergency situations to which a licensee is expected to respond or control.

At least five scenarios per year should be generated until all aspects of the emergency operating procedures are covered with sufficient variation in the type and scope of initiating events and level of degradation.

Emphasis should be placed on scenarios that include applicable industry events.

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f i

4 Sample Non-Power Reactor Requalification Examination Information Request i

1 1

I t

i I

i 2

I r

i

i*

h 4

Docket No. 50-I

?

T

==Dear

==

In a telephone conversation between

'and i

arrangements were made for the performance of requalification examinations at the

. The examination visit, which is scheduled for

, Ell be performed in accordance with Operator Licensing Standard E5-60lN.

You should have a copy of this standard.

]

For the examiners to adequately prepare for this visit it will be necessary for the facility to furnish the approved items listed in Enclosure 1.

" Reference Material Requirements." at least 60 days before the examination date to the following address:

1 U.S. Nuclear Regulatory Commission Washington..D.C. 20555 l

ATTN: (Chief Examiner). Mail Stop ( )

Failure to supply the reference material as required by Enclosure 1 may. result

)

in postponement of the examination. The chief examiner may request that the.

-facility submit a proposed examination for use during the examination week in l

addition to the material requirements of Enclosure 1. ' Submission of a proposed examination even if requested, is optional.

However. if a proposed examination is submitted, those personnel participating in its development may.

become subject to the security restrictions described below.

It is requested that the facility provide an em)1oyee to complete the i

. examination. team. The; employee is expected to 3e a licensed or previously i

licensed SR0 at your facility or similar facility.

If desired by the facility, and agreed to by the chief examiner, an additional employee may be a member of the examination team.

These individuals must not be scheduled. for an NRC-administered examination during this visit.

Before commencement of NRC

' review of the examination, the facility representative will be required to i

sign a security agreement (Enclosure 4).

j The facility re)resentative may continue to train operators with the understanding t1at he or she will not describe details of the examination, either in scope or content.

Should questions arise that are on the examination..these questions may_be answered provided no indication is given that the question is on the examination.

4 1

1

)

/.

The facility management is responsible for providing adequate space and accommodations to properly develop and conduct the. examinations..

" Administration of Requalification Examinations." describes our requirements

for developing and conducting the examinations. contains the "NRC Rules and Guidance for Examinees" that will be in effect during the administration of the written examination. The facility management is responsible for ensuring that all operators are aware of these rules.

This letter contains information collections that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501'et seq.)

These information collections were approved by the Office of Management and Budget, approval number 3150-0101. which expires on (date)..

The public reporting burden for this collection of information is estimated to average (number) hours per response, including the time for reviewing instructions, gathering and maintaining the data needed, and completing and reviewing the collection of-information.

Send comments on any aspect of this collection of information, including suggestions for reducing the burden, to the Information and Records Management Branch (T-6 F33)

U.S. Nuclear Regulatory Commission. Washington. D.C. -20555-0001, or by Internet electronic mail at BJSl@NRC.G0V: and to the Desk Officer. Office of Information and Regulatory Affairs. NE0B-10202. (3150-0101). Office of Management and Budget.

Washington. D.C.

20503.

The NRC may not conduct or sponsor, and a person is not required to respond

.to, a collection of information unless it displays a currently valid OMB control number.

Thank you for your consioeration in this matter.

If you have any questions on the evaluation process please contact me at (telephone)

Sincerely.

Chief Examiner Operator Licensing Branch Division of Reactor Controls and Human Factors-Office of Nuclear Reactor Regulation

Enclosures:

1.

Reference Material Requirements 2.

Administration of Requalification Examinations (not included) 3.

NRC Rules and Guidance for Examinees (not included) 4.

Security Agreements (not. included) cc w/encls:

. Reactor Supervisor 2

Reference Material Reauirements 5

Test items to support all as)ects of the requalification examination must be i

provided to the NRC 60 days aefore the examination date.

i 1.

Existing learning objectives, students handouts, and lesson plans (including' training manuals, facility orientation manual, system descriptions, reactor theory. thermodynamics, etc.).

Training materials should include all substantive written material used for' preparing applicants for initial R0 and SR0 licensing. The written material should include learning objectives, if available, and the details presented during lectures, rather than outlines. Training materials should be identified, bound, and indexed. Training materials l

that include the following should be provided:

(

System descriptions including descriptions of all operationally relevant flow paths, components. controls, and instrumentation.

System training material should draw parallels to the actual procedures used for operating and to the applicable system.

1 L

i l

Complete and operationally useful descriptions of all safety-system j

interactions, secondary interactions under. emergency and abnormal i

conditions, including consequences of anticipated operator error.

maintenance error, and equipment failure.

Training material used to clarify and strengthen understanding of emergency operating procedures.

2.

Complete Procedure Index (including temporary procedures).

j 3.

All administrative procedures as applicable to reactor operation or safety.

4.

All integrated facility procedures, normal or general operating procedures and procedures for experiments.

5.

All emergency procedures, emergency instructions, abnormal or special procedures.

6.

Standing orders or. procedures changed by reactor supervision and important orders or changes that are safety related and may supersede the regular procedures.

7.

Applicable procedures (procedures that are run frequently).

t i-l 8.

Fuelrhandling and core-loading procedures and initial core-loading 1

~

procedures, when appropriate.

j

(

1 l

. _. ~.

9.

Any annunciator / alarm procedures, as applicable.

10.

Radiation protection manual radiation control manual or procedures.

5 11.

Emergency plan implementing procedures.

12.

Technical specifications and interpretations, if available.

13.

System operating procedures, including experiments.

l 14.

Piping and instrumentation diagrams. electrical single-line diagrams, or flow diagrams, as applicable.

15.

Technical data book, and/or facility curve information as used by operators and facility _ precautions, limitations, and set points for the facility.

16.

Questions and answers specific to'the facility training program, which may be used in the written or operating examinations (voluntary by facility licensee).

17.

Additional material as requested by the examiners-to develop l

examinations that meet the requirements of the Non-Power Reactor Examiner Standards and Regulations.

The above reference material should be ap3 roved final issues and so marked.

If a facility has not finalized some of t1e material, the NRC chief examiner should verify with the facility that the most com)lete, up-to-date material is available and that agreement has been reached wit 1 the licensee for limiting changes before the administration of the examination.

2

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ML20135E258

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