ML20141H879

Request for OMB Review & Supporting Statement Re Reactor Operator & Senior Reactor Operator Licensing Training & Requalification Programs.Estimated Respondent Burden 1,552 H

ML20141H879
Person / Time
Issue date:	05/01/1997
From:	Levin A NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM)
To:
Shared Package
ML20141H866	List: ML20141H861 ML20141H879
References
OMB-3150-0101, OMB-3150-101, NUDOCS 9708010250
Download: ML20141H879 (36)

Text

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l 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, j

Office of Management and Budget. Docket Library, Room 10102,72517th Street NW, Washington, DC 20503 1, Agency / Subagency originating recuest J OMB control number U.S. Nuclear Regulatory Commission X

a.

3150-0101

b. None

3. Type of information collection (check onel

4. Type of review requested (check one/

a. New collection X

a. Regular submission

c. Delegated r

J X

b. Revision of a currently approved collection

b. Emergency - Approval requested by (date):

c. Extension of a currently approved collection

5. Will this information collection have a e, yes significant economic impact on a i

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

X b.No l

collection for which approval has expired l

e. Reinstatement, with change, of a previously approved l

X a. Three years from approval date collection fnr which approval has expired Requested

f. Existing collection in use without an OMB control number 6' expiration date

b. Other (Specify):

7. Title Reactor Operator and Senior Reactor Operator Licensing Traning and Requalification Programs

8. Agency form number (s) (if applicable)

Not applicable

9. Keywords Nuclear power plants and reactors, Reporting and recordkeeping requirements

10. Abstract In lieu of the NRC preparing the initial operator licensing exams, the NRC is proposing to revise 10 CFR 55 to require power reactor facility licensees to prepare the written exams and and operating tests and submit them to NRC for review.

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3 Affected public AWM pr* nary wM *P,,* aW af others ther a#V wM *x*/

t 2. obligation to respond (Arw prhary wara *r* eM er others that anv4 wirA x*/

P

b. ausiness or other for-profit

d. rarms

s. voluntary

e. IndMduals or households

e. Federal oovemment b_ Required to obtain or retain benefits

c. Not for-profit 6nstitutions

f. State. Local, or Tribal Government P

c. Mandatory

13. Annual reponeng and recordkeeping hour burden

14. Annual reporting and recordkeeping cost burden Are thousses orabsarat

a. Number of respondents 109

a. Total annualized capital /startup costa O

b. Total annual responses 120

b. Total annual costs lo&M) 0

1. Percentage of these responses

c. Total annuallzed cost requested 0

collected electronically o

d. Current OMB inventory o

c. Total annual hours requested 1.552

e. Ditterence o

d. Current OMS inventory 1,552

f. Explanation of difference

e. Ostforence 0

1. Program change l

f. Explanation of difference

2. Adjustment l

1. Program change 0

2. Adjustment

16. Purpose of.nformation conection 3 Frequency of recordkeeping or reportin rCheck a# that app &/

(Mert primary with *P* and a# others that appy with *X*J

a. Recordkeeping

b. Third-party disclosure

e. Application for benefits

e. Program planning or management x

c. Reportmg

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. semi-annually

6. Annually

d. Audit I 7. Biennially

8. other Idesenbel

17. statnetical methods

,g' Agency contact tverson who can best answer questions regarding the content of this submission)

Does this information collection employ statistical methods?

Name:

Debra McCain Yes X No Phone:

301 415-1065 10/95 OMB 83-1 9708010250 970730 PDR ORG EUSOMB PDR

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

NOTE:

The text of 5 CFR 1320.9, and the related provisions of 5 CFR 1320.8(b)(3), appear at the end of the instructions. The certification is to be made with reference to those regulatoryprovisions ar setforth in the

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intructionr.

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

(a)

It is nar*===ry for the proper performance of agency functions; (b)- It avoids nanarwanary duplication; (c)

It reduces burden on small entities; (d)

It uses plain, coherent, and unamhiguous terminology that is understan/Inhie to respondents; (c)

Its implementation willbe 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 ofinformation; (iii)

Burden estimate; (iv)

Nature of respon e (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 reraurces for the efficient and effective management and use of the information to be collected (see note in item 19 of the instructions).

j (i)

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

It makes appropriate use ofinformation technology.

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

j Date Sig ure of Senior Official or designee

. u.A f;! f C

'Y9 was oss saa

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L L-i DRAFT SUPPORTIM STATEMENT FOR '

COLLECTION OF INFORMATION ON REACTOR OPERATOR AM SENIOR REACTOR OPERATOR LICENSIM TRAINI M AM REQUALIFICATION PROGRANS 4

s (0MB Clearance No. 3150-0101)'

PROPOSED RULE - LICENSED OPERATOR EXAMINATION REQUIREMENTS l'

DESCRIPTION OF INFORMATION COLLECTION l

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

l Operator license applicants are required by Part 55 of Title 10 of the Code of 1

l-Federal Regulations (10 CFR Part 55) to pass a written examination and an i

operating test satisfying the basic content requirements specified in the regulation. The details of the power reactor examination processes are l

specified in NUREG-1021, " Operator Licensing Examination Standards for Power i

Reactors," which contains instructions and guidelines for developing, administering, and grading the licensing examinations, including a written examination and an operating test.

i Part 55 does not specify who will write, administer, or grade the required examinations and tests; however, historically, the initial licensing-examinations have been developed, administered, and graded exclusively by NRC l

staff and contract examiners.

In order to ensure that the site-specific portions of the licensing examinations accurately reflect the unique

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l 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 l

the material required to generate the comprehensive examinations is l

voluminous, it is readily available at the facility. The submittal of this information simply requires duplication of existing reference materials with l

an appropriate index or table of contents; no new information is required.

l This information collection is initiated approximately 4 months before the L

scheduled examination date by issuing the attached corporate notification letter confirming the examination arrangements and the reference material l

requirements.

Beyond providing the required reference material, the role of the facility licensees has historically been limited to reviewing and validating the initial licensing examinations prepared by the NRC before they are 1

administered, and to providing administrative and logistical support to the NRC and contract examiners while the examinations are in progress.

The NRC is now planning to amend Part 55 to require power reactor facility licensees to prepare the site-specific written examinations and operating tests and submit them to.the NRC for review and approval. ' Specifically, _

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r-.,

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i 955.40(a) is being added to require power reactor facility licensees to prepare the written examinations and operating tests, to submit them to the NRC for review and approval, and to proctor and grade the written examinations. Also, 655.40(b) is being added to allow the NRC to perform those tasks if it chooses to do so.

[If the Commission approves the regulatory amendment, this new information collection will be captured in the next extension / revision request for DMB Clearance No. 3150-0018, "10 CFR Part 55 - Operators' Licenses."]

This new information collection will be initiated approximately 4 months l

before the scheduled examination date by issuing the attached corporate notification letter 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 l

NRC has permitted facility licensees to review and validate the draft l.

examinations for several years, so they are generally familiar with the instructions in NUREG-1021. The added burden of generating the examination l

will be partially offset by a reduction in the amount of raw reference l

material that would have to be submitted if the NRC were to prepare the examinations internally.

The NRC will continue to write a small number of power reactor licensing examinations to maintain NRC examiner proficiency and will prepare all of the operator licensing examinations for non-power reactors.

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

Since the mid-l to late-1980s, the nuclear industry has significantly increased its emphasis i

in the training area, and all power reactor licensees have established formal i

training programs that have been accredited by the National Academy for Nuclear Training. Those improvements were also evident in the licensed l

operator requalification program and previously prompted the NRC to reduce its level of involvement in that area.

A.

JUSTIFICATION 1.

Need For and Practical Utility of the Collection of Information The information on initial operator training is required for the NRC to make licensing decisions pursuant to Part 55.

In accordance with 9 55.33, the NRC will approve an initial application for a license if it finds, among other things, that the applicant has passed the requisite written examination and operating test in accordance with ff 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 to operate a facility competently and safely, and additionally, in t

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

I

3 2.

Aaency Use of Information 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 used to review or to develop 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.

3.

Eq_ duction 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 Duplication and Use Similar Information This information is available only from the facility licensee and does not duplicate or overlap other information collections made by 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 proposed information collection change does not affect any small businesses.

6.

Consecuences to Federal Procram or Policy Activities if the Collection is Not Conducted or is Conducted less Frecuently This information collection is conducted as necessary for the NRC to determine the qualifications of and to license individuals as 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 l

taken measures to reduce the frequency at which each power reactor i

facility licensee can request the NRC to administer licensing l

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

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

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If the collection of information were eliminated, it would make it impossible for the NRC to review, approve, or 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.

7.

Circumstances Which Justify Vuiations 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 1

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, 1

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 Docunient Room (PDC) 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 public comments were received.

The nuclear power ind4stry generally agrees with the changes that the staff has proposed to make in the examination process. The industry had informally suggested the changes prior to the current NRC initiative, and one facility licensee had previously submitted a cost beneficial licensing action requesting permission to write its 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

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NRC's plan to implement the changes should not proceed. Opportunity to comment on the proposed rulemaking has been published in the Federal Register.

9.

Payment or Gift to Resoondents Not applicable.

10. Confidentiality of Information The reference material that is collected for the NRC's use in writing the site specific examinations is not available for public inspection; some of the information is proprietary in nature.

Under the proposed change, some of the information (i.e., the draft examinations written by the power reactor facility licensees and the as-given examinations approved by the NRC) will be available for public inspection (in the PCR) after the examinations have been administered.

11. dystification for Sensitive Ouestions No sensitive information is requested.

12. Estimated Industry Burden and Burden Hour Cost The proposed revision of 10 CFR Part 55 will require all 75 power reactor facility licensees to prepare the licensing examinations (including the written examinations and operating tests) based on the guidance in NUREG-1021, " Operator Licensing Examination Standards for Power Reactors," and submit the examinations to the NRC for review and approval.

However, the NRC will retain the authority to wite the examinations in accordance with the same NUREG based on reference materials supplied by the facility licensee, if required.

The number of facility licensees that actually require examinations varies from year to year; some facility licensees require multiple examinations per year, while others go extended periods between examinations.

The current demand for examinations is approximately 60 per fiscal year. This is unchanged from the recent OMB clearance extension request.

Feedback from the industry in response to the FRN discussed in Section 8 above and the NRC cxaminers who worked with the facility employees in preparing the pilot examinations indicated that the average time spent on writing, reviewing, and documenting the examinations was approximately 500 staff-hours.

(This includes time spent proposing deviations and questions regarding the examination procedures but does not include time spent assisting the NRC during the examination administration.) During the NEI workshop in October 1996, facility licensees who had previously participated in pilot examinations estimated that they could prepare subsequent

6 examinations in about 400 hours0.00463 days <br />0.111 hours <br />6.613757e-4 weeks <br />1.522e-4 months <br />, the same amount of time that the NRC currently allows its contractors to prepare the examinations (refer to Section 14). The higher estimate will be used for this clearance request, and adjustments will be made, as necessary, during future submittals.

The NRC expects to prepare four (of the 60 total) examinations per year (one per NRC Regional Office) in order to maintain the proficiency of its license examiners. This is a decrease from the estimate in the recent OMB clearance extension request, which predicted that 15 facilities per year would ask the NRC to prepare the examinations rather than volunteer to prepare the examinations themselves. The NRC will prepare the examinations basel or site-specific reference materials provided by the facility licensees.

The volume of material submitted for that purpose is typically about 8,000 pages per examination. Usually only one copy of the information will be required; however, additional copies may be necessary if examiners from different locations are involved in the examination.

The copy requirements, which are unchanged from the recent OMB clearance extension request, will be specified in the letter to the facility licensee.

The estimated time for the licensee to collect, reproduce, and organize the required information also remains unchanged at 50 hours5.787037e-4 days <br />0.0139 hours <br />8.267196e-5 weeks <br />1.9025e-5 months <br />.

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 takes the average facility licensee about 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br />, which is unchanged from the recent OMB clearance extension request.

The estimated annual burden for power reactor facility licensees to support the initial operator licer. sing examinati6n program is summarized as follows:

Licensees Affected Hours oer Total Licensee Cost Licensee Burden at $128/Hr 2

Facility Write:

56 500 28,000

$3,584,000 NRC Write:

4 130 520 66,560 TOTAL:

60 28,520

$3,650,560 Although this appears to be a significant increase in the burden on facility licensees, the staff views this change as resource neutral and possibly resulting in a resource savings to licensees over time.

NRC examiners or contractors, who expend an average of 400 hours0.00463 days <br />0.111 hours <br />6.613757e-4 weeks <br />1.522e-4 months <br /> preparing each examination, will not be used to prepare the examinations.

License fees that the NRC charges the facility licensees for examination services pursuant to 10 CFR 170.12(1)

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include this cost (refer to Section 14).

In addition, the licensee i

expends approximately 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> to review the NRC-prepared examination, for a total effort of approximately 480 hours0.00556 days <br />0.133 hours <br />7.936508e-4 weeks <br />1.8264e-4 months <br />. The final cost is therefore about the same as the 500 hours0.00579 days <br />0.139 hours <br />8.267196e-4 weeks <br />1.9025e-4 months <br /> estimated for licensees to prepare the examinations. The staff believes (and the industry agrees) that additional cost reductions will be realized as facility 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 prepare the examinations.

Furthermore, as the quality of the examinations improves, the NRC's effort to review and approve the examinations should also decrease; the resulting savings would be reflected in* lower fees billed to the facility licensees.

Facility licensees that are not adequately staffed to draft the 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 centractors 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 contractor service fees that the NRC currently passes on to facility licensees.

s

13. Estimate of Other Additional Costs The annual cost to reproduce and transmit the material for the i

initial operator licensing program is estimated to be $4,800.

This is a decrease from the recent OMB clearance extension request

($9,750) and is attributed to the reduction in the number of examinations to be prepared by the NRC. The estimate includes

$2,800 (56 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 $2,000 (4 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 licensees at which the NRC writes the examinations.

14. Estimated Annualized Cost to The Federal Government As noted above, it is estimated that approximately 60 power reactor facility licensees per year will require initial licensing examinations.

It is expected that about 56 of those facility licensees will write the examinations and submit them to the NRC for review and approval in accordance with the revised examination process.

Based on data from a series of pilot examinations that were conducted to evaluate the revised process, it is estimated that NRC examiners will spend an average of approximately 130 hours0.0015 days <br />0.0361 hours <br />2.149471e-4 weeks <br />4.9465e-5 months <br /> to

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review and approve the examinations before they are given; this includes time to evaluate and respond to procedural questions and deviations posed by the facility licensee. The estimate remains unchanged from the recent OMB clearance extension request and includes time to review both the reactor operator and senior reactor operator written examinations and the operating tests.

It is expected that approximately 4 facility licensees will be requested to submit reference materials to the NRC so that NRC examiners can write the initial operator licensing examinations in accordance with existing procedures based on the reference material.

The NRC will spend about 400 hours0.00463 days <br />0.111 hours <br />6.613757e-4 weeks <br />1.522e-4 months <br /> using the =terial to develop the reactor operator and senior reactor operator written examinations and operating tests. This estimate, which is unchanged from the recent OMB clearance extension request, is consistent with the time allowed for those tasks in accordance with the NRC's technical assistance contracts for examination services.

The overall initial examination burden is as follows:

Examinations Hours oer Total Government Cost Ex.am Burden at $128/Hr a

Facility-Written:

56 130 7,280

$ 931,840 NRC-Written:

4 400 1,600

$ 204,800 TOTAL:

60 8,880

$1,136,640 The annualized government burden for the initial examination program at power reactor facilities is lower than the recent OMB clearance extension request (11,850 staff hours; $1,516,800). The reduction is attributed to a decrease in the number of initial operator licensing examinations to be prepared by the NRC. The savings realized as a result of the revised process will be reflected in lower Part 55 review fees charged to the 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 prepare the examinations.

The aggregate savings in license fees to the facility licensees would total $1,935,360 (270 hours0.00313 days <br />0.075 hours <br />4.464286e-4 weeks <br />1.02735e-4 months <br /> per examination x 56 examinations x $128 per hour).

15. Reasons for Chanaes in Burden or Cost Most of the changes in burden for the initial operator licensing program are the result of the NRC's continuing effort to streamline the functions of the Federal Government consistent with Administration initiatives and to accommodate resource reductions.

By amending 10 CFR Part 55 to require power reactor facility licensees to prepare the initial licensing examinations, the NRC will be able to further reduce the number of examinations it prepares each year from 15 to 4 (of the 60 total). This will enable

C.-.---.---.-.~.

9 the NRC to virtually eliminate the use of contractors in the operator licensing area, thereby significantly reducing the Part 55 review fees that are currently recovered in accordance with 10 CFR 170.12(1). The NRC 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.

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

17. Reason for Not Displayina the Exoiration D &

The expiration date is displayed in the requests for information sent to the facility licensees.

18. Exceptions to the Certification Statement None.

B.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS Not applicable.

Attachment:

Sample Power Reactor Initial Examination Information Request l

I Attachment Sample Power Reactor Initial Examination Information Request 1

(Name. title)

(Address)

Dear (Name):

In a telephone conversation on (date) between Mr./Ms. (Name. title) and Mr./Ms. (Name. 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 proposed 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, uperating 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 provide adequate space and accommodations in accordance with ES-402, and to make 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, ano levels) generated during the dynamic operating tests until the examination results are final.

Appendix E of NUREG-1021 contains a number of HRC 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 preliminary reactor operator and senior reactor operator license applications

.(Office of Management and Budget (OMB) 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 examinatinn date, a postponement may be necessary.

Signed applications certifyi g that all training has been completed should be submitted at least 14 days before the first examination date.

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l 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 Idate).

The public reporting burden for this collection of information is estimated to average (numberl 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 BJS19NRC. GOV; and to the Desk Officer, Office of Information and Regulatory Affairs, NE0.B-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 cc7 tact (name of reaional contact) at (telephone number), or (name of responsible recional supervisor) at (telephone number).

Sincerely, (Aporopriate recional 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.

2

Reference Material Guidelines For Initial ODerator Licensino 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 examination, 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.

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 administered.

The reference materials may be submitted on computer diskettes (in a format compatible with the NRC's word processing software), as hard copy, or a combination 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 provided for all materials sent.

Failure to provide complete, properly bound, 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 i

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Learning objectives, student handouts, and lesson plans I

System descriptions of all operationally relevant flow paths, components, controls, and instrumentation Material used to clarify and strengthen understanding of normal, abnormal, and emergency operating procedures Complete, operationally useful descriptions of all safety system interactions and, where available, balance-of-plant system interactions under emergency and abnormal conditions, including consequences of anticipated operator errors, maintenance errors, and equipment failures, as well as plant-specific risk insights based on a probabilistic risk analysis (PRA) and individual plant examination (IPE)

These materials should be complete, comprehensive, and of sufficient detail to support the development of accurate and valid examinations without being redundant.

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 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 i

class may also be provided.)

d.

All JPMs used to ascertain the competence of the operators 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 responsibilities during normal, abnormal, and emergency conditions and events, and during all modes of operation including cold shutdown., low power, and full power.)

2.

Complete index of procedures (including all categories sent) 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

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7.

Surveillance procedures that are run frequently (i.e., weekly) or that can be run on the simulator 8.

Fuel handling and core loading procedures (if SR0 applicants will be examined) 4 9.

All annunciator and alarm procedures i

j 10.

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

Emergency plan implementing procedures 1

I

.12.

Technical Specifications (and interpretations, if available) for all

)

units for which licenses are scught i

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 3

15.

The following information pertaining to the simulation facility:

a.

List of all Mitial conditions l

2 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 j

indication of which annunciators will be actuated as a result of the i

. 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, j

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 requested by the NRC examiners to develop examinations that meet the guidelines of these standards and the reg'ulations 3

[7590-01-P]'

NUCLEAR REGULATORY COMMISSION 10 CFR Part 55 RIN 3150-AF62 Initial Licensed Operator Examination Requirements 1

AGENCY:

Nuclear Regulatory Commission.

I l

ACTION:

Proposed rule.

SUMMARY

The Nuclear Regulatory Conmission (NRC) is proposing to amend its regulations to require all nuclear powce facility licensees to prepare, proctor, and grade the written examinations and prepare the operating tests that the NRC currently uses to evaluate the competence of individuals applying for operator licenses at those plants.

The proposed amendment would require the licensee to submit each examination and test for the NRC's review and approval and would preserve the NRC's authority to prepare the examinations and tests, as necessary, if it loses confidence in a licensee's ability to prepare these examinations acceptably.

In addition the NRC would periodically invoke this authority in order to maintain the proficiency of its own license examiners.

DATES: Submit comments by [ Insert the date 75 days after publication in the Federal Register).

Comments received after this date will be considered 'if it is practical to do so, but the Commission is able to assure consideration only for comments received on or before.this date.

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M is ADDRESSES: Comments may be sent to: Secretary. U.S. Nuclear Regulatory Commission. Washington DC 20555.

Attn:

Docketing and Service Branch.

Hand deliver comments to 11545 Rockville Pike. Rockville. Maryland, between 7:30 am and 4:15 pm on Federal workdays.

For information on submitting comments electronically, see the discussion under Electronic Access in the Supplementary Information section.

Single copies of this proposed rulemaking may be obtained by written request or telefax ((301) 415-2260) from Harry S. Tovmassian Office of Nuclear Regulatory Research. U.S. Nuclear Regulatory Commission. Washington DC 20555. Certain documents related to this rulemaking, including comments received, may be examined at the NRC Public Document Room. 2120 L Street NW (Lower Level). Washington. DC. These same documents may also be viewed and downloaded electronically via the Electronic Bulletin Board established by NRC for this rulemaking as indicated in the Supplementary Information section.

FOR FURTHER INFORMATION CONTACT:

Harry S. Tovmassian. Office of Nuclear Regulatory Research. U.S. Nuclear Regulatory Commission. Washington DC 20555.

telephone (301) 415-6231: e-mail hst@nrc. gov.

SUPPLEMENTARY INFORMATION:

Background

Section 107 of the Atomic Energy Act (AEA) of 1954, as amended, requires the NRC to determine the qualifications of individuals-applying for an operator license, to prescribe uniform conditions for licensing such-2

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I individuals, and to issue licenses as appropriate.

Pursuant to the AEA.

j 10 CFR Part 55 requires applicants for operator licensees to pass an examination that satisfies the basic content requirements specified in the regulation. Altnough neither the AEA nor Part 55 specifies who must prepare, proctor, or grade these examinations the NRC has traditionally performed those tasks itself or through its contract examiners.

In accordance with 10 CFR 170(1). NRC staff and contractual costs are recovered from facility licensees who receive examination services. The NRC and its contract examiners have used the guidance in NUREG-1021., " Operator Licensing j

Examination Standards for Power Reactors." to prepare the initial operator licensing examinations. This document has been revised as experience has been acquired in preparing these examinations.

The current version is designated Interim Revision 8.1 The intended modifications to 10 CFR Part 55 would allow facility licensees to have greater participation in the initial operator licensing process and enable the NRC to eliminate contractor assistance in this area.

Between $3 million and $4 million in contractor support for the preparation and administration of the initial operator licensing examinations and for support of requalification program inspections would be eliminated.

On April 18, 1995, the Commission approved the NRC staff's proposal to initiate a transition process to revise the operator licensing program and directed the NRC staff to carefully consider experience from pilot examinations-before fully implementing the changes. On August 15, 1995, the Copies are available for inspection or copying for a fee from the NRC 1

Public Document Room at 2120 L Street NW., Washington.-DC 20555: the PDR's mailing address is Mail Stop LL-6; telephone (202) 634-3273: fax (202) 634-3343.

Interim Revision 8 is also available for downloading from the Internet i

at "http://www.nrc. gov."

3

l NRC staff issued Generic Letter (GL) 95-06. " Changes in the Operator Licensing I

Program. 2 outlining the revised examination development process and soliciting volunteers to participate in pilot examinations to evaluate and refine the methodology.

Between October 1.1995, and April 5.1996, the NRC staff reviewed and approved 22 operator licensing examinations. including both the written examinations and the operating tests, prepared by facility licensees as part of a pilot program. These examinations were prepared using the guidance in 1

Revision 7 (Supplement 1) of NUREG-1021 and the additional guidance in GL 95-06.2 These examinations were used to test 146 reactor operator (RO) and senior reactor operator (SRO) applicants.

The results of the pilot examinations were discussed in SECY-96-123.

" Proposed Changes to the NRC Operator Licensing Program." dated June 10. 1996.

Based on the results of the pilot program, the staff recommended that the Commission approve the implementation of the new examination process on a voluntary basis until rulemaking could be completed to require all power reactor facility licensees to prepare the entire initial examination for reactor operators and senior reactor operators and to proctor the written portion of the examination. On July 23, 1996, the Commission authorized the staff to continue the pilot examination process on a voluntary basis and requested the staff to develop a detailed rulemaking plan to justify the changes that may be necessary to 10 CFR Part 55.

The Commission also directed the staff to address a number of additional items (e.g., pros, cons, and 2Copies are available for inspection or copying for a fee from the NRC Public Document Room at 2120 L Street NW.. Washington. DC 20555: the PDR's mailing address is Mail Stop LL-6.; telephone (202) 634-3273: fax (202) 634-3343.

4

vulnerabilities) regarding the revised examination process to facilitate a Commission decision on whether to implement the revised process on an industry-wide basis.

On September 25, 1996, the staff forwarded the requested rulemaking plan and a response to the additional items to the Commission in SECY-96-206.

"Rulemaking Plan For Amendments to 10 CFR Part 55 to Change Licensed Operator Examination Requirements." On December 17, 1996, the Commission directed the staff to proceed with the proposed rulemaking.

^

With Commission approval, the staff resumed conducting pilot-style examinations on August 19, 1996, and by the end of December 1996 had reviewed, approved, and administered 12 additional examinations that were developed by facility licensees based on the guidance in GL 95-06. This raised the total number of examinations completed using the pilot process to 34 and the number of applicants tested to 84 R0s and 144 SR0s.

Discussion The pilot program demonstrated that the revised process, using licensee developed examinations, can be both effective and efficient.

Comments from the NRC staff and industry personnel who participated in the pilot examinations were generally favorable.

The quality of the licensee-developed examinations (as modified by the NRC) was generally comparable to the examinations prepared by the NRC staff or its contractors. All of the licensee-developed examinations required some modifications subsequent to NRC review: however. several of these examinations required significant rework.

indicating that some licensees did not fully understand the criteria for 5

l

preparing examinations which meet NRC standards. With training and experience, it is expected that the industry would gain proficiency in j

preparing the examinations. The monitoring and assessment of this voluntary pilot program has demonstrated that facility licensee developed examinations, as modified by the NRC, are comparable in terms of their quality to those prepared by the NRC and its contract examiners under the existing process:

therefore, the safe operation of the facility in question is in no way compromised. The fact that the pass / fail results on the 34 pilot examinations administered to the 84 R0s and 144 SR0s through the end of December 1996 were comparable to the power reactor licensing examination results during-Fiscal Year 1995, when all the examinations were prepared by the NRC or its contractors, supports this conclusion.

The provisions of the proposed rule in 9 55.40(a)(2), which require NRC staff review and approval of facility licensee developed tests and examinations, should facilitate the monitoring of the quality of the submittals and the modification of those which do not meet NRC standards.

The fact that NRC examiners will be administering all of the operating tests without contractor assistance is expected to improve the NRC staff's focus on operator performance and its core of experience because every applicant will be directly observed by an NRC employee.

Before beginning the transition process contract examiners administered about half of the operating tests and collected the observations that formed the basis for the NRC's licensing actions.

The contractors

• efforts focused primarily on task completion, so any broader insights and experience that might have been gained while giving the examinations was of little benefit to-the NRC.

6

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The Commission has assessed the pros and cons associated with the revised examination process, as discussed in SECY-96-206, and considered the measures that the NRC staff has tak.en to mitigate the vulnerabilities.

The l

Commission acknowledges that the revised examination process increases the risk of lapses in examination quality (including level of difficulty),

consistency, and security and wishes to emphasize the NRC's resolve to maintain the existing standards of performance in each of these areas.

With regard to examination security, in particular, applicants.

licensees (operators), and facility licensees are reminded that 10 CFR 55.49 prohibits their engagement in any activity that compromises the integrity (security) of any application, test, or examination required by 10 CFR Part 55 and that examination will need to be proctored in accordance with 10 CFR 55.40. These provisions require facility-licensees to maintain proper i

examination security. The Commission expects that licensees will meet the security provisions in ES-201 and ES-402 of NUREG-1021 or similar NRC-approved standards. Consistent with NUREG-1021. facility employees with specific knowledge of any NRC examination before it is given may not communicate the examination contents to unauthorized individuals and may not participate in any further instruction of the students scheduled to take the examination.

Before they are given access to the examination, the facility employees are expected to sign a statement ~ acknowledging their understanding of the restrictions and the potential consequences of noncompliance and sign a post-examination statement certifying that they did not knowingly compromise the examination.

In addition to the restrictions on personnel, NUREG-1021 also discusses a number of physical security precautions, including protecting and mailing the examination materials and simulator considerations.

The guidance 7

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j also cautions NRC examiners to be attentive to examination security measures and requires them to review the security expectations with the facility licensee at the time the examination arrangements are confirmed.

j The Commission considers a violation of 10 CFR 55.49 for compromising an examination has occurred when (1) a failure to control the integrity of an examination occurs such that there is a potential for an applicant to have an I

unauthorized advantage in the examination process or (2) an applicant obtains i

an unauthorized advantage.

Both facility licensees and applicants for i

examinations may be subject to enforcement action for violations of 10 CFR I

55.49 commensurate with the nature and seriousness of the compromise.-

i As part of the final rulemaking in this matter, the Commission intends to modify its " General Statement of ' olicy and Procedures for NRC Enforcement P

Actions" (Enforcement Policy). NUREG-1600.

Security compromises will normally i

be considered at least at Severity Level IV. A violation where it was likely that an applicant obtained unauthorized access to examination material will be l

considered a significant regulatory concern and categorized at least at Severity Level III.

The NRC intends to utilize its full enforcement authority including, as warranted, civil penalties and orders against persons found to have been involved in willful compromises of examinations in violation of j

10 CFR 55.49. This will include use of the rule on Deliberate Misconduct (10 CFR 50.5).

In addition cases involving willful violations will be j'

referred to the Department of Justice.

i i

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4 4

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l Availability of Guidance Document for License Examination Preparation l

Although 10 CFR Part 55 does not specify who will prepare, administer.

\\

I and grade the written examinations and operating tests for reactor operator and senior reactor operator licenses, the NRC or its contract examiners have j

traditionally performed these tasks. As a consequence of performing the tasks i

associated with preparing and administering the initial licensing examinations, the NRC has developed a substantial body of guidance, which has i

^

been published in various versions of NUREG-1021 to aid both NRC and its contract examiners. The latest version of NUREG-1021 (Interim Reviston 8) incorporates the pilot examination criteria in GL 95-06. lessons learned j

during the pilot examinations, and a number of refinements prompted by the comments submitted in response to the Federal Register notice dated February 22. 1996 (61 FR 6869). which solicited public comments on the l

1 proposed NUREG changes. A copy of Interim Revision 8 of NUREG-1021 has been mailed to each facility licensee.

Copies may be inspected and/or copied for a l

fee at the NRC's Public Document Room. 2120 L Street NW (Lower Level).

]

i Washington. DC.

NUREG-1021 is also electronically available for downloading from the Internet at "http://www.nrc. gov." All interested parties are invited to comment on Interim Revision 8 of NUREG-1021 in addition to the proposed rule. These public comments will be addressed, and Revision 8 will be published as a final NUREG document.

The NRC plans to prepare, administer, and grade initial operator licensing examinations at least four times per year, using NUREG-1021 as guidance.

Licensees would also be expected to use the guidance contained in NUREG-1021 to prepare the licensing examinations. The NRC staff would review 9

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and approve any deviations from this guidance. The NRC will not approve any deviation that would compromise its statutory responsibility of prescribing i

uniform conditions for the operator licensing examinations.

Examples of unacceptable deviations include, but are not limited to, the use of essay questions in place of multiple choice questions and the administration of open book examinations.

i l

Proposed Rule This proposed regulation would add a new section, 5 55.40.

" Implementation," to Subpart E of 10 CFR Part 55 which would require power reactor facility licensees to prepare the written examinations and operating tests, to submit them to the NRC for review and approval, and to proctor and grade the written examinations. These requirements would be contained in SE 55.40(a)(1). (2), and (3), respectively.

Each power reactor facility licensee would be required to prepare and submit the proposed examinations (including the written examination, the walk-through, and the dynamic simulator tests) to the NRC consistent with the guidance contained in NUREG-1021. The NRC staff would review the entire examination and direct whatever changes are necessary to ensure that adequate levels of quality, difficulty, and consistency are maintained. After the NRC staff reviews and approves an examination, the facility licensee would proctor and grade the written portion consistent with the guidance in NUREG-1021. The NRC staff would continue to independently administer and grade the operating tests, review and approve the written examination results, and make the final 10

7 7._

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i licensing decisions. The facility licensee would not conduct parallel operator evaluations during the dynamic simulator or the walk-through tests.

i j

Pursuant to proposed requirements in s 55.40(b), the NRC staff would maintain the authority to prepare the examinations and tests and to proctor

~

and grade the site-specific written examinations.

This proposed rule would i

allow NRC to maintain its staff capability to perform these activities. Also.

I if the NRC has reason to question a licensee's ability to prepare an l

acceptable examination. 6 55.40 (b) provides the NRC authority to prepare and 1

l administer the examinations and tests.

f Paragraph (c) of 6 55.40 reasserts that the NRC would continue-to prepare and administer the written examinations and operating tests at non-power reactor facilities.

The NRC has taken this position because the non-power reactor community does not have an accreditation process for training l

and qualification or the resources to prepare the examinations. However, the process will be implemented using only NRC examiners, thereby allowing the elimination of all routine contract assistance in that area.

Electronic Access Comments may be submitted electronically, in either ASCII text or Wordperfect format (version 5.1 or later). by calling the NRC Electronic Bulletin Board (BBS) on FedWorld or connecting to the NRC interactive rulemaking web site. "Rulemaking Forum." The bulletin board may be accessed using a personal computer, a modem, and one of the commonly available communications software packages, or directly via Internet.

Background

11

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documents on the rulemaking are also available, as practical, for downloading and viewing on the bulletin board, If using a personal computer and modem, the NRC rulemaking subsystem on FedWorld can be accessed directly by dialing the toll free number (800) 303-9672. Communication software indicators should be set as follows:

parity to i

J none, data bits to 8, and stop bits to 1 (N,8,1). Using ANSI or VT-100 i

I terminal emulation, the NRC rulemaking subsysten can then be accessed by

]

selecting the " Rules Menu" option from the "NRC Main Menu." Users will find the "FedWorld Online User's Guides" particularly helpful. Many NRC subsystems i

and data bases also have a " Help /Information Center" option that is tailored to the particular subsystem.

The NRC subsystem on FedWorld can also be accessed by a direct dial i

phone number for the main FedWorld BBS, (703) 321-3339, or by using Telnet via Internet: fedworld. gov.

If using (703) 321-3339 to contact FedWorld, the NRC subsystem will be accessed from the main FedWorld menu by selecting the

" Regulatory, Government Administration and State Systems " then selecting

" Regulatory Information Mall." At that point, a menu will be displayed that has an option "U.S. Nuclear Regulatory Commission" that will take you to the I

NRC Online main menu. The NRC Online area also can be accessed directly by i

l typing "/go nrc" at a FedWorld command line.

If you access NRC from i

FedWorld's main menu., you may return to FedWorld by selecting the " Return to FedWorld" option from the NRC Online Main Menu.

However. if you access NRC at i

FedWorld by using NRC's toll-free number, you will have full access to all NRC systems, but you will not have access to the main FedWorld system.

If you contact FedWorld using Telnet, you will see the NRC area and menus, including the Rules henu. Although you will be able to download j

12 i

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4 documents and leave messages, you will not be able to write comments or upload files (comments).

If you contact FedWorld using FTP, all files can be accessed and downloaded but uploads are not allowed: all you will see is a I

list of files without descriptions (normal Gopher look)..An index file listing all files within a subdirectory, with descriptions, is available.

There is a 15-minute time limit for FTP access.

j Although FedWor.ld also can be accessed through the World Wide Web. like

/

FTP. that mode only provides access for downloading files and does not display i

the NRC Rules Henu.

You may also access the NRC's interactive rulemaking web site through the~NRC home page (http://www.nrc. gov). This site provides the same access as the FedWorld bulletin board, including the facility to upload comments as files (any format), if your web browser supports that function.

For more information on NRC bulletin boards call Mr. Arthur Davis, i

Systems Integration and Development Branch. NRC. Washington, DC'20555-0001, telephone (301) 415-5780: e-mail AXD3@nrc. gov.

For information about the interactive rulemaking site, contact Ms. Carol Gallagher (301) 415-5905:

e-mail CAG@nrc. gov.

Environmental Impact:

Categorical Exclusion The NRC has determined that this proposed rule is the type of action described as a categorical exclusion in 10 CFR 51.22(c)(1). ' Therefore, neither an environmental impact statement nor an environmental assessment has

'been prepared for this proposed regulation.

13

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~-~~~'~~^~"7 4-Paperwork Reduction Act Statement i

This proposed rule amends information collection requirements that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq). This 4

v, rule has been submitted to the Office of Management and Budget for review and J

approval of the information collection requirements.

1 l

The public reporting burden for this collection of information is j

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estimated to average 500 hours0.00579 days <br />0.139 hours <br />8.267196e-4 weeks <br />1.9025e-4 months <br /> per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the f

data needed, and completing and reviewing the collection of information (i.e..

I preparing the examinations). The U. S. Nuclear Regulatory Commission is j

seeking public comment on the potential impact of the collection of information contained in the proposed rule and on the following issues:

i 1.

Is the proposed collection of information necessary for the proper performance of the functions of the NRC. including whether the information will have practical utility?

2.

Is the estimate of burden accurate?

3.

Is there a way to enhance the quality, utility, and clarity of the information to be collected?

4.

How can the burden of the collection of information be minimized, including the use of automated collection techniques?

Send comments on any aspect of this proposed collection of information, including suggestions for reducing the burden, to the Information and Records Management Branch (T-6F-33), U.S. Nuclear Regulatory Commission. Washington, 14

DC 20555-0001, or by Internet electronic mail at bjs10nrc. gov: and to the Desk Officer, Office of Information and Regulatory Affairs NE08-10202, (3150-0018-and 3150-0101), Office of Management and Budget. Washington, DC 20503.

Comments to OMB on the collections of information or on the above issues should be submitted by [ insert date 30 days,after publication in the Federal Register). Comments received after this date will be considered if it is practical to do so, but assurance of consideration cannot be given to comments received after this date.

l Public Protection Notification The NRC may not conduct or sponsor, and a person is not required to j

respond to, a collection of information unless it displays a currently valid 1

OMB control number.

Regulatory Analysis The Commission has prepared a draft regulatory analysis on this proposed regulation. The analysis examines the costs and benefits of the alternatives considered by the Commission.

The draft analysis is available for inspection in the NRC Public Document Room, 2120 L Street NW (Lower Level), Washington, j

DC.

Single copies of the analysis may be obtained from Harry S. Tovmassian at (301) 415-6231.

The Commission requests public comment on the draft regulatory analysis and the following specific questions.

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1.

Are there portions of the operator exams that are common to all I

licensees.. and would therefore be more efficiently developed by the NRC?

2.

Is the conclusion in the regulatory analysis correct that it would b

be less costly for each licensee to prepare their own initial operator i

examinations to be reviewed, revised, and administered by the NRC. than to l

have one NRC dontractor prepare these exams for all licensed noerators with the costs to be reimbursed by licensee fees.

)

Comments on the draft analysis may be submitted to the NRC as indicated under the' ADDRESSES heading.

i Regulatory Flexibility Certification In accordance with the Regulatory Flexibility Act of 1980. (5 U.S.C.

605(b)), the Commission certifies that this rule will not, if promulgated, have a significant economic impact on a substantial number of small entities.

J This proposed rule affects only the licensing and operation of nuclear power plants. The companies that own these plants do not fall within the scope of the definition of "small entities" set forth in the Regulatory Flexibility Act or the Small Business Size Standards set out in regulations issued by the Small Business Administration at 13 CFR Part 121.

Backfit Analysis The pertinent. part of 10 CFR 50.109 (a)(1) defines backfitting as "the modification of or addition to -... the procedures or organization required to

... operate a facility; any of which may result from a new or amended 16

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j provision in the Comission rules or the imposition of a regulatory staff 1

position interpreting the Commission rules that is either new or different from a previously applicable staff position...." Although Part 55 addresses i

the qualifications and requirements for operators' licenses and changes are not per se subject to the backfit rule in Part 50 changes to these i

l requirements could be included within the backfit definition of " procedures or I

organization required to... operate a facility." However, in this case the l-proposed shift of responsibility from the NRC staff (or its contractors) to the facility licensee for developing and administering the initial written examination for the operator license exam would not constitute a " modification of the procedures required to operate a facility" within the scope of the backfit rule: therefore, no backfit analysis needs to be prepared.

The proposed rule does not affect the basic procedures for operator license qualification. i.e.. the required training programs, the required a

testing, the content and format of the exams, the grading of the exams. or the basis for issuing an operator license. The shift in responsibility for preparing the initial exam does not affect the content or format of the exam.

The proposed rule is designed to ensure that the format. content. and quality of the initial written examination will not be modified. The proposed rule requires the NRC to provide oversight of facility licensees' development and administration of initial written examinations. The NRC would also retain its discretion to determine whether to administer the initial written examination itself, as well as continuing to determine whether to grant or deny an application for an R0 or SR0 license and to consider candidates' appeals.

17 4

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The licensee's organizational structure required to operate the facility will not be modified. All reactor licensees have a training component as part of their organizational structure, and the proposed rule does not alter that j

i organizational structure. Although, the proposed rule could have an "effect"

)

1 on the licensee's organization, it does not require any modification to the organizational structure.

i Finally, the proposed rule does not impose any new costs on licensees since the NRC's costs to develop examinations are presently recovered in the fee base. These costs are basically the same as the costs that will te incurred by licensees to develop the examinations under the proposed rule.

i List of Subjects in 10 CFR Part 55 Criminal penalties, Manpower training programs, Nuclear power plants and reactors, Reporting and recordkeeping requirements.

For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended; the Energy Reorganization Act of 1974, as amended; and 5 U.S.C. 553: the NRC proposes to adopt the following amendments to 10 CFR Part 55.

PART 55--OPERATOR'S LICENSES 18 j

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1.

The authority citation for Part 55 continues to read as follows:

i 1

AUTHORITY: Secs.'107, 161. 182. 68 Stat. 939, 948. 953. as amended.

n sec. 234. 83 Stat. 444. as amended'(42 U.S.C. 2137, 2201, 2232. 2282); secs.

i-i 201, as amended. 202. 88 Stat. 1242, as amended. 1244 (42 U.S.C. 5841. 5842).

i Sections 55.41. 55.43, 55.45, and 55:59 also issued under sec. 306. Pub.

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4-I L.97-425. % Stat. 2262 (42 U.S.C.10226). Section 55.61 also issued under t

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secs. 186. 187. 68 Stat. 955 (42 U.S.C. 2236, 2237).

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i i

2.

In 5 55.8 paragraph (b) is revised to read as follows:

j 2

1 55.8 Information Collection Reauirements: OMB Acoroval.

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{

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(b) The approved information collection requirements contained in this l

l part appear in El 55.31. 55.40, 55.45, 55.53, and 55.59.

i k

3.

A new 5 55.40 is added to read as follows:

]

1 55.40 Imolementation.

(a) Power reactor facility licensees shall --

l (1) Prepare the required site-specific written examinations and operating tests:

(2) Submit the written examinations and operating tests to the 1

Commission for review and approval; and (3) Proctor and grade the NRC-approved site-specific written examinations.

19

)

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(b)

In lieu of requiring a specific power reactor facility licensee to prepare the examinations and tests or to proctor and grade the site-specific written examinations, the Commission may elect to perform those tasks.

(c) The Commission will prepare ar.d administer the written examinations and operating tests at non-power reactor facilities.

Dated at Rockville. Maryland, this day of

. 1997.

For the Nuclear Regulatory Commission.

John C. Hoyle.

Secretary of the Commission.

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