ML20198B053

Operator Licensing Examiner Standards

ML20198B053
Person / Time
Issue date:	04/30/1986
From:	Szymanski T Office of Nuclear Reactor Regulation
To:
References
NUREG-1021, NUREG-1021-R02, NUREG-1021-R2, NUDOCS 8605210463
Download: ML20198B053 (200)

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[ o,, UNITED STATES

[ g NUCLEAR REGULATORY COMMISSION 5 j WASHINGTON, D. C. 20555 s.,.....j Rev 2 4/15/86 Instructions: File this change notice in the binder preceding page v, contents. Replace superseded pages with new pages.

NEW PAGES SUPERSEDED PAGES Contents V - VIII Contents V - VIII ES 101 1-2 ES-101 1-2 ES-102 1-3 ES-102 1-3 ES-103 1-6 ES-103 1-5 ES-104 1-7 ES-104 1-10 ES-105 1-13 ES-105 1-13 y ES-107 1-3 ES-107 1-3 V ES-108 1-4 ES-108 1-3 ES-109 1-7 ES-109 1-6 ES-110 1-5 ES-110 1-6 ES-111 1-3 ES-111 1-3 1 ES-112 1-4 ES-112 1-4 ES-201 1-18 ES-201 1-17 ES-202 1-6 ES-202 1-6 ES-204 1-6 ES-204 1-7 ES-301 1-35 ES-301 1-33 ES-302 1-33 ES-302 1-12 ES-303 1-6 ES-303 1-8 ES-304 1-3 ES-304 1-3 ES-305 1-5 ES-305 1-3 ES-306 1-9 ES-306 1-10 ES-401 1 ES-401 1-2 ES-403 1-3 ES-403 1-3 Deleted ES-501 1-4 Deleted ES-502 1-6 ES-601 1-13 IS-601 1-11 h$ N 1021 R hG PDR Examiner Standards 1 of 1

f m Contents

' Rev. 2 4/15/86 CONTENTS ES-101 Purpose and Format of Operator Licensing Examiner Standards ES-102 Applicability of Commission Regulations and Guides to Operator Licenses ES-103 Assignment of Examiners To Administer Examinations ES-104 Procedures for Postexamination Activities ES-105 Indoctrination Program for New Examiners ES-106 Administration of Examinations at Multiunit Power Stations ES-107 Quality Assurance Program for Review of Written Examinations ES-108 Quality Assurance Program for Review of Graded Examinations ES-109 Eligibility Requirements for Reactor Operator or Senior Reactor Operator License Candidates O ES-110 Eligibility Requirements for Reactor Operator or Senior Reactor d Operator License Candidates - Non Power Reactors ES-111 Granting of Waivers from the Provisions of Operator Licensing Requirements Requested by Operator and Senior Operator Applicants ES-112 Appeals of License Denials ES-201 Administration of Written Examinations to Reactor Operator Candidates - Power Reactors ES-202 Scope of Written Examinations Administered to Reactor Operators - Power Reactors ES-203 Structure of Written Examinations Administered to Reactor Operators - Power Reactors ES-204 Administration and Preparation of Written Examinations for Reactor Operator Candidates - Non Power Reactors ES-301 Administration of Operating Examinations to Reactor Operators and Senior Reactor Operators - Power Reactors ES-302 Scope cf Operating Examinations Administered to Reactor Operators and Senior Reactor Operators - Power Reactors Examiner Standards v

O CONTENTS (Continued)

ES-303 Instructions on Use of Forms for Operating Examinations Administered to Reactor Operators - Power Reactors ES-304 Instructions on Use of Forms for Operating Examinations Administered To Upgrade Senior Reactor Operators - Power Reactors ES-305 Instructions on Use of Forms for Operating Examinations Administered to Instant Senior Reactor Operators - Power Reactors ES-306 Scope and Instructions for Operating Examinations Administered at - Non Power Reactors ES-401 Administration of Written Examinations to Senior Reactor Operators - Power Reactors ES-402 Scope of Written Examinations Administered to Senior Reactor Operators - Power Reactors ES-403 Structure of Written Examinations Administered to Senior Reactor Operators - Power Reactors ES-404 Scope and Structure of Written Examinations for Senior Operator Candidates - Non Power Reactors ES-601 Administration of NRC Requalification Program Evaluation LIST OF ATTACHMENTS ES-103 Attachment 1, Check Sheet for Completion of Examination Assignment ES-103 Attachment 2, Request for Administration of Written and Operating Examination for Operator Licensing ES-104 Attachment 1, Examination Report O

Examiner Standards vi

O

. LIST OF ATTACHMENTS (Continued)

ES-105 Attachment 1, Observation Training Program ES-105 Attachment 2, Oral Exam Audit J

ES-107 Attachment 1, Written Examination Quality Assurance Checkoff Sheet ES-108 Attachment 1, Examination Grading Quality Assurance Checkoff '

Sheet ES-201 Attachment 1, Reference Material Requirements for Reactor / Senior i Reactor Operator Licensing Examinations ES-201 Attachment 2, Requirements for Administration of Written Examinations ES-201 Attachment 3, Letter to Facility Formalizing Examination Schedule ES-201 Attachment 4, NRC/ Facility Staff Written Examination Review Guide

/ ES-201 Attachment 5, Power Plant Examination Results Summary ES-201 Attachment 6, Examination Administration Quality Assurance Checkoff Sheet ES-203 Attachment 1, Operator License Examination Cover Sheet ES-204 Attachment 1, Examination Results Summary Non-Power ES-204 Attachment 2, Non-Power Operator License Examination Cover i Sheet ES-301 Attachment 1, Operator Examination Report ES-301 Attachment 2, Senior Operator Upgrade Examination Report ES-301 Attachment 3, Senior Operator Examination Report ES-302 Attachment 1, Briefing Check List - Operating (Plant Walkthrough)

ES-302 Attachment 2, Minimum Simulator Requirements l

ES-302 Attachment 3, Simulator - Scenario Form i

ES-302 Attachment 4, Example of Completed Simulator Scenario Form ES-302 Attachment 5, Simulator Administration Form Examiner Standards vii

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LIST OF ATTACHMENTS (Continued)

ES-302 Attachment 6, Example of Completed Simulator Administration Form ES-302 Attachment 7, Generic Competencies ES-302 Attachment 8, Competency Checklist ES-302 Attachment 9, Example of Completed Competency Checklist ES-302 Attachment 10, Briefing Checklist - Operating (Simulator)

ES-302 Attachment 11, Examination Summary Sheet ES-302 Attachment 12, List of Topics for Oral Examinations -

Boiling Water Reactors ES-302 Attachment 13, List of Topics for Oral Examinations -

Pressurized Water Reactors ES-305 Attachment 1, Sample Reactor Operator Examination Report ES-305 Attachment 2, Sample Instant Senior Reactor Operator Examination Report ES-306 Attachment 1, Topics for Operaing Examinations Non-Power ES-403 Attachment 1, Senior Operator Examination Cover Sheet ES-404 Attachment 1, Non-Power Senior Operator Examination Cover Sheet g ES-601 Attachment 1, Assignment To Evaluate Licensed Operator Requali-fication Program ES-601 Attachment 2, Form Letter to Facility Vice President - Reference Material Required ES-601 Attachment 3, NRC-Administered Requalification Examination Results Summary Sheet ES-601 Attachment 4, Requalification Program Evaluation Report ES-601 Attachment 5, Reactor Operator Requalification Examination Cover Sheet ES-601 Attachment 6, Senior Reactor Operator Requalification Examination Cover Sheet O

Examiner Standards viii

ES-101 Rev 2 4/15/86 i

k i

PURPOSE AND FORMAT OF OPERATOR LICENSING EXAMINER STANDARDS I A. Purpose i The Operator Licensing Examiner Standards establish the procedures and i practices for examining and licensing candidates for NRC licenses pursuant to i Part 55 of Title 10 of the Code of Federal Regulations (10 CFR 55). These j standards will l 1. describe the provisions of the act and regulations on which the program is l based i 2. provide for equitable and consistent administration of examinations to all candiJates at all facilities subject to the regulations

3. provide guidance for training of new examiners or other interested parties with respect to the details of the examining program B. Format u Each standard will explain rules, procedures, and practices for a particular aspect of the program. The designation of each standard will be in the form i\ ES-xyy, where the xyy refers to a three-digit number designed to place the i standards in logical groupings for ready reference. The digit symbolized by x ranges from 1 to 9. All standards beginning with each digit refer to aspects

, of the program in a given grouping, as follows:

1  ;

1. general administrative standards i 2. written examination, reactor operator

3. operating examination, senior reactor operator or reactor operator I'

4. written examination, senior reactor operator >

j 5. unassigned l  ;

6. requalifications examination

! 7. unassigned l

a si e

! The two-digit number "yy" is a sequential number (01, 02, etc.) to differen-tiate standards within a particular group.

l Examiner Standards 1 of 2 I

I I__.-_-__.,_-,_,.-..-__,,,,.__.,_,. _ , , . . - - _ . - , - , - - . - . - - - - - - - - - - - - - ~ - - , - -

I ES-101 C. Reference Code of Federal Regulations, Title 10, " Energy," U.S. Government Printing Office, Washington, D.C.

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O Examiner dtandards 2 of 2

/3 ES-102

! ) Rev. 2 4/15/86 v

APPLICABILITY OF COMMISSION REGULATIONS AND GUIDES TO OPERATOR LICENSES l

A. Purpose This standard lish the regulations of the U.S. Nuclear Regulatory Commission (NRC) *.nat establish the requirements, for content, or pro-cedures for opcrator licenses. It also includes regulatory guides, NUREG reporti, and other published guidance intended to implement the regulationt Also included are American Nuclear Society (ANS) standards which c.re used for guidance in implementing the regulations. Interim stanr'ar.6 may be used for guidance uniti revised versions are approved.

P. Regulations

f. . 10 CFR 55 - Operator Licenses 10 CFR 55 is the basic implementing regulation for licensing reactor operators and senior reactor operators. With Appendix A to 10 CFR 55, "Requalification Programs for Licensed Operators of Production and Utilization Facilities," this regulation establishes the basic require-ments and the regulatory basis for licensing operators.

n (L/ ) 2. 10 CFR 50 - Licensing of Production and Utilization Facilities The regulations in 10 CFR 50 provide for the licensing of production and utilization facilities. 10 CFR 50.34 requires that a descrip-tion of the requalification program be included in the Final Safety Analysis Report (FSAR). This description forms the basis for the acceptability, inspection, and audit of requalification programs.

10 CFR 50.54 (k)-(m) contains the regulations restricting control manipulations to licensed operators and stands as a condition of all licenses for facilities licensed under 10 CFR 50. Licensing of reactor operators and senior reactor operators pursuant to 10 CFR 55 is required at these facilities.

3. 10 CFR 2 - Rules of Practice The regulations in 10 CFR 2 govern the conduct of all proceedings

> before the NRC involving licensing and licenses. 10 CFR 2.103(b)(2) contains the rule applicable to i candidate's rights to review of a licensing decision, including appeal and hearing rights.

4. 10 CFR 9 - Public Records The regulations in 10 CFR 9 prescribe the rules governing the NRC's public records that relate to any proceeding subject to 10 CFR 2.

10 CFR 9 describes and implements the requirements for balancing the public's rights to information under the Freedom of Information Act and NRC's responsibility to protect personal information under (Q'f

'v the Privacy Act.

Examiner Standards 1 of 3

i ES-102

5. 10 CFR 20 - Standards for Protection Against Radiation I The r-agulations in 10 CFR 20 establish standards for protection against radiation hazards arising from licensed activities. Some of the material is appropriate for inclusion in the examinations l administered to candidates for operator or senior operator licenses.

A candidate should have a knowledge of the implementing procedures, and an examiner should have a basic understanding of these regulations.

C. Rec,ulatory Guides, NUREG Reports, and American National Standards Institute /American Nuclear Society (ANSI /ANS) Standards Regulatory guides, NUREG reports, and industry standards are not require-ments except as required by Commission orders or as committed to by the licensee. The appropriate revisions should be consulted as referenced in the facility FSAR or approved training program.

1. Regulatory Guide 1.8, " Personnel Selection and Training." This is the basic regulatory guide implementing the regulations concerning eligibility for licensing and what positions require licensing. It endorses American Nuclear Society Standard ANS 3.1 (ANSI N18.1).

2. Regulatory Guide 1.33, "Q/A Program Requirements - Operations."

Appendix A to this guide contains a list of typical procedures for pressurized-water reactors and boiling-water reactors.

3. Regulatory Guide 1.114, " Guidance on Being an Operator at the Controls of a Nuclear Power Plant." This guide defines the extent of the control room and the appropriate duties of the operators.

It also restricts the operators from performing certain duties.

4. Regulatory Guide 1.134, " Medical Evaluation of Nuclear Power Plant Personnel Requiring Operator Licensing." This guide endorses ANS-3.4/ ANSI N-546, " Medical Certification and Monitoring of Per-sonnel Raquiring Operator Licenses for Nuclear Power Plants," with some exceptions, clarification, and regulatory positions. The guide repeats part of 10 CFR 55 to explain what information should be provided to the NRC regarding the medical condition of each candidate for an operator license.

5. Regulatory Guide 1.149, " Nuclear Power Plant Simulators for Use in Operator Training." This guide endorses ANSI /ANS 3.5-1981 subject to the provisions shown in Section C of the guide.

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ES-102

[v 6. NUREG-0737, " Clarification of TMI Action Plan Requirements,"'Nov.

This document clarifies the following items: Item I.A.2.1, 1980.

"Immediate Upgrading of R0 and SR0 Training and Qualifications";

Item I.A.2.3, " Administration of Training Programs"; Itec I.A.3.1,

" Revised Scope and Criteria for Licensing Exams", and Item II.B.4, 4

" Training for Mitigating Core Damage." The purpose of these action plan items is to upgrade the training, licensing, education, and experience of operators on the basis of experience gained from the accident at Three Mile Island, Unit 2.

1

7. NUREG-0800, " Standard Review Plan for the Review of Safety Analysis Reports for Nuclear Power Plants. LWR Edition," July 1981. Sec-tion 13.2, " Reactor Operator Training," of this document describes the training and licensing of operators and includes the informa-tion which is to be submitted by applicants for construction per-mits and operating licenses.

8. ANSI /ANS 3.1-1978 and 1981 (ANSI /ANS N18.1-1971), "ANS Standard for Selection and Training of Nuclear Power Plant Personnel." This standard provides criteria for the selection and training of indi-viduals at each functional level of assigned responsibility (e.g.,

managers, supervisors, operators, and technicians). See Regulatory Guide 1.8.

O ANS 3.2 (ANSI N18.7-1976), " Administrative Controls and Q/A for the Q 9.

Operational Phase of Nuclear Power Plants." This standard provides guidance and recommendations for administrative rules-of prac-tice and preparation of procedures, audit programs, and related subjects. See Regulatory Guide 1.33.

10. ANS 3.4, " Medical Certification and Monitoring of Personnel Requiring Operator Licenses for Nuclear Power Plants." This standard is the basic document covering the requirements applicable to the healths of licensed personnel. See Regulatory Guide 1.134.

11. ANS 3.5, " Nuclear Power Plant Simulators for Use in Operator Train-ing," Jan. 1981. This standard establishes the minimum functionali requirements and capabilities for nuclear power plant simulators for use in operator training. See Regulatory Guide 1.149.

1 N U

i Examiner Standards 3 of 3

v ES-103 Rev. 2 4/15/86 ASSIGNMENT OF EXAMINERS TO ADMINISTER EXAMINATIONS A. Purpose This standard establishes the policy for the assignment of examiners for examination administration. Included in this standard are descriptions and use of examiner assignment sheets, assignments and duties of the chief examiner, and the number of examiners required to administer examinations to a group of applicants.

B. Initiation of Requirement for an Examination The normal practice of scheduling examination assignments is for utilities to request specific dates in response to headquarters issued Generic Letters. Regional Section Chiefs are then responsible for granting or maneuvering the requested dates to optimize utilization of examiner re-

sources. No more than two site visits per year should be scheduled for each site. The annual generic letter is not addressed to research

(]

Q facilities. Therefore, the regional section chief should anticipate these assignments based on history or early contact with these facilities.

Section chiefs are responsible for ensuring that examination assignments are completed. A " Check Sheet for Completion of Examination Assignment,"

Attachment 1 to this standard, may be used to track examination progress.

If completed, the checklist should be filed with the master copy of the examination. Section chiefs shall assign available examiners to administer the examinations on the dates arranged with the facility. Section chiefs should ensure that an Examination Assignment Sheet, Attachment 2 to this standard, is prepared as far in advance as possible, but at least 2 weeks 4

before the examinations. Examination Assignment Sheet distribution shall include all examiners assigned, the facility resident inspector, appropri-ate regional distribution as established by the regional administrator, and the operating reactor project manager or licensing project manager, and a copy should be filed with the master copy of the examination. Con- l flicts in scheduling contract examiners shall be resolved by the headquar-ters and regional section chiefs. If they cannot agree, the Branch Chief, OLB, and regional branch chiefs shall resolve the conflicts.

The chief examiner shall have the authority to resolve scheduling prob-lems. Scheduling and rescheduling will be done directly by the facility contact and the chief examiner. The chief examiner shall be responsible

for informing the section chief and assigned examiners of all scheduling changes. A letter confirming the examination dates and requesting n l submission of required information should be prepared by the section (d chief or chief examiner for signature by the appropriate regional authority.

The letter normally should request information at least 60 days before the Examiner Standards 1 of 6

4 ES-103 scheduled examination dates and, therefore, should be signed out at least 90 days before the examinations to allow the facility time to respond.

C. Assignment of Examiners The examiner's primary section assignment, other examination commitments, geographical location, and availability at the projected time should be considered in assignments. An examiner who administered the operating examination normally should not be assigned to administer the senior cperating examination to the same candidate. An examiner who has failed a candidate normally should not be assigned to give the same candidate another oral examination. Examiners who have been previous employees of a facility shall not conduct or perform jan' portion of the examination process at that facility for a minimum period of 6 months. The extent and nature of the potential conflict of interest shall be made known to the section chief by the examiner. The level and amount of participation in the facility examination shall be at the discretion of the branch chief. An examiner who was previously employed by a facility is respon-sible for informing his immediate supervisor of any relevant facts or special circumstances pertaining to his examination assignment or other factors that might appear as being a conflict of interest. Other factors that should be disclosed by the examiner and considered by the supervisor are:

1. the length of time the examiner worked at the facility

2. the time that has elapsed since the examiner left the facility

3. the nature and extent of previous relationships with former asso-ciates being examined

4. reasons why the examiner terminated his employment

5. how the examiner regards the candidate (s) or his former associates at the facility

6. other factors that could impact upon the administration, performance, evaluation, or results of the examination.

Criteria that will identify every conflict of interest issue cannot be prescribed. The application of sound supervisory judgment on the facts of each case is necessary. In doubtful cases, advice from General Counsel should be obtained.

When the regional office operator licensing section chief determines a need for contract examiners, he should request OLB to assign contract examiners. Formal requests should be made at least 6 months prior to the date of the examinations. OLB shall assign contract examiners at least 4 months in advance, or sooner if feasible, to allow for necessary '

adjustments to facility training or exam schedules. Requests for contract Examiner Standards 2 of 6

(~N ES-103 s

examiners less than 4 months prior to the date of the examination should be made as early as possible by telephone. Telephone requests should be followed up with a formal written request. Requests for contract exminers should specify: (1) the facility requesting the examinations, (2) the types of examinations required, (3) the number of candidates for each type of examination, (4) the dates of the examinations, (5) the regional office contact, (6) the facility contact, and (7) the number of contract examiners required and the level of effort required of the contract examiners. The NIH computerized schedule is the currently prefered method for forwarding requests for contract examiner assistance to OLB.

D. Number of Examiners The target average replacement examination shall be eight candidates and will require two examiners to prepare and administer the written and operating examinations. Normally, a sufficient number of examiners should be assigned so that each examiner will complete no more than four operating examinations per visit regardless of whether the assignment is for cold or replacement examinations. In exceptional cases five complete operating examinations per visit may be required. Request by utilties for examinations for less than eight candidates should be discouraged in the advanced planning stage. When the operating examination includes a simulator portion, the target average number of candidates shall be at m least nine candidates during the week that the written examination is administered and twelve candidates in succeeding weeks.

[V T In order to accomplish this, three examiners per week will be required. If less than eight candidates are to be examined, the section chief shall ensure that the most efficient use of examiners is made and that proctors are obtained as necessary.

E. Chief Examiner Whenever a group of examiners are assigned to administer the examinations, one member of this group will be designated as chief examiner. The chief examiner is responsible for coordinating the details of the examina-tion schedule with the facility contact and the other examiners, and for keeping the assigning section chief informed. Because the need for rescheduling can occur on short notice, the rescheduling can be most expeditiously accomplished directly between the facility contact and examining team through the chief examiner. If rescheduling of examina-tions involving contract examiners is required, the project manager for the contract shall be notified as soon as possible. It is NRC policy that one member of the examining team shall be a regional examiner who will be assigned as chief examiner. If no regional examiner is on the team, a contract examiner will be designated chief examiner.

F. Returning Facility-Provided Material The chief examiner is responsible for ensuring that facility literature p required by examiners to prepare for the examination is returned to the facility as soon as possible. All literature should be returned to the Examiner Standards 3 of 6

ES-103 facility soon after expiration of the 20-day period allowed for appealing denials. If denials have been appealed, the chief examiner shall deter-mine if all or part of the information must be retained and shall be responsible for ensuring that it is returned. If the examination resulted in no failures, then the material should be returned as soon as the licenses are issued. The chief examiner shall inform the other examiners when the literature should be returned.

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j ES-103-1 NJ ATTACHMENT 1 CHECK SHECT FOR COMPLETION OF EXAMINATION ASSIGNMENT Facility Date of Exams DUE ITEM DAYS DESCRIPTION INITIALS DATE 1 -120 Examination schedule agreement with facility 2 -120 Assignment of examiners 3 -90 Letter to vice president sent 4 -60 Proctoring arranged 5 -60 Applications received (NRC 398 and 396) 6 -45 Applications reviewed 7 -60 Literature received i/'~')

\' Travel arrangements made 8 -30 9 -30 Assignment sheet completed 10 -15 Examinations prepared 11 -7 Examinations reviewed and corrected 12 0 Examinations administered 13 15 Grading completed 14 15 Graded examinations received by NRC 15 20 Review completed 16 28 Licenses / denials typed 17 28 Licenses / denials mailed 18 30 Final Exam report 19 50 Literature returned l' ) 20 50 Examiners notified to (s_,/ dispose of records Examiner Standards 5 of 6

ES-103-2 ATTACHMENT 2 REQUEST FOR ADMINISTRATION OF WRITTEN AND OPERATING EXAMINATION FOR OPERATOR LICENSING NRC EXAMINER (S):

REQUEST FOR ADMINISTRATION OF WRITTEN AND OPERATING EXAMINATION FOR OPERATOR LICENSING Please make arrangements to administer written and operating examinations to the following applicants:

APPLICANT DOCKET NO. EXAMINATION TYPE O

Facility and Location:

Facility

Contact:

Chief Examiner:

Written Examination To Be Prepared by R0:

SR0:

Dates of Examinations:

Branch Chief cc:

O Examiner Standards 6 of 6

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ES-104 Rev. 2 4/15/86 l

p b

PROCEDURES FOR POSTEXAMINATION ACTIVITIES A. Purpose This standard describes the procedures and policy for postexamination debriefing with facility management and the submission of reports and recommendations concerning the examination.

B. Debriefing Sessions In addition to the written examination review conducted in conformance to ES 201 section H, the licensee is frequently interested in holding an exit meeting with the examiner (s) regarding the performance of the group of candidates. Although this is not a part of the examination procedure and will not W fect the results regarding licensing of any current candidate, it is appropriate for NRC to assist the licensee in his efforts in training and providing qualified operators, and the examiner (s) should hold a debriefing session of this nature. The debriefing session is held with the staff members designated by the licensee, usually the plant or operations supervisor and/or training director. Iqe current candidates shall not be 1 resent, and the written examination commeiits should not be discussed. The NRC resident inspector shall be informed of the meeting (O so he can attend if he so desires. The chief examiner shall advise the resi-dent inspector of plant deficiencies before the meeting and incorporate the V resident inspector's comments as appropriate.

In the discussion, the examiner should try to detail the areas of knowl-edge that have been identified as strong and weak points of the group of candidates overall. The results of operating examinations should not be given at the exit meeting because the recommendation of the examiner is subject to review in the regional office. In addition, discussions concerning recent licensing activities may be of interest to the facility personnel, and the chief examiner should make every effort to answer questions to tha fullest extent possible. Questions that are policy matters, or for which there are no clear answers, shall be referred to the appropriate regional section chief or branch chief for response, and the licenseo shall be informed that the matter is being referred for reply. The question will be referred to the Branch Chief, OLB, if it is a generic or major policy issue.

C. Submission of Reports and Recommendations 1

1. Final Examination Report It is a policy goal of the NRC to complete licensing or denial actions within 30 days of the last day of the examination visit. Section chiefs, chief examiners, and examiners shall establish priorities and schedules to achieve this goal. Grading of the written examination should not be n delayed while awaiting facility comments. The grading of individual

\ questions may be delayed until the chief examiner or section chief has

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Examiner Standards 1 of 7

ES-104 reviewed the facility comments and has determined the validity of the question and the acceptable answerss Operating examinations report forms should be completed during and immeniately foilowing the operating examination.

The chief examiner shall be responsible for the preparation of the final examination report when the written examination grading has been completed in cccordance with ES 201 K. The greding examiner shall prepare a summary of changes to the master examination and answer key that resulted from the facil-ity written comments and changes generated by candid ta e comments during the examination fo" inclusion in the final report. The grading examiner shall also prepare a " Power Plant Examination Results Summary" Attachment 5 to ES 201.

Contract examiners shall complete the summary of changes to the master examina-tion and answer key for examinations that they grade and shall complete the result summary for the written examination graded by that lab and for operating cxaminations conducted by that lab.

Upon completion of the final report the regional office shall forward a copy of the report to the utility. The final examination report shall document the facility written comments on the written examination and answer key and the regional office resolution for each comment. Norespecific coaments submitted by the facility about the exams or administration process should be included in the report, but do not necessarily require a regional response or resolution.

The report shall include a copy of the written examination (s) and answer key (s) and shall document items discussed at the exit meeting. Copies of this report shall also be sent to public document rooms. A sample examination report is included as Attachment 1 to this standard for the purpose of promoting unifor-city of form of Final Examination Reports. One copy of the results summary sheet shall be forwarded to the facility training coordinator, and one copy shall also be forwarded to the Management Assistant, Regional Support and Over-sight Section OLB. The results summary sheet shall not be placed in the public document room or distributed with the final report. In the event of a regrade the original summary sheet on file in the regional office should be corrected by line-out and change with the initials of the person making the change. When-cver a change is made another copy shall be sent to 0LB.

2. Final Requalification Program Evaluation Report A final requalification program evaluation report similar to the final examina-tion report for a licensing examir.ation shall be prepared when the grading of requalification examinations has been completed. If Attachment 4 to ES 601 is not included in the report, the report shall contain the information required to complete Attachment 4. A complete copy of the report shall be filed in the facility requalification file. A copy of the NRC Administcred Requalification Examination Results Summary, Attachment 3, ES 601, shall be forwarded to the Management Assistant, Regional Support and Oversight Section, OLB. Note: The results summary is required to verify 0LTS data and for statistical data. Neither ,

OLB nor the Regional Offices shall retain examination results identified to indi-viduals except that individual results may be kept in the regional offices' facil-ity requalification file for programs that are judged to be unsatisfactory.

These individual results should be purged from the file when the requalification training program has been upgraded to satisfactory.

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ES-104

(

tN 0. Notifications of Results

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All notifications regarding final examination results shall be made only after review and approval by the regional administrator or his delegate. A copy of the written examination and each candidate's answer sheet shall be forwarded to the candidate with either his license or a denial letter. An oral examination report (Form 157A, B, or C) shall be included with the denial letter if a candi-date has failed the plant walk-through portion of the operating examination and a copy of the simulator scenario form and examination summary sheet, Attach-ments 5 and 11 to ES 302, shall be included if the candidate has failed the simulator portion of the operating examination.

E. References

1. Memorandum from Harold R. Denton to Regional Administrators February 13, 1984 " Changes to ES-201, Section H, Facility Review of Written Examinations.

2. Title 10 of the Code of Federal Regulations part 2.790.

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ES-104-1 O

ATTACHMENT 1 l

EXAMINATION REPORT Gentlemen:

SUBJECT:

EXAMINATION REPORT On , the NRC administered examinations to employees of your company who had applied for licenses to operate your . At the conclusion of the examination, the examination questions and preliminary indings were discussed with those members of your staff identified in the enclosed report. l In accordance with 10 CFR 2.790 of the Commissions regulations, a copy of this letter and the enclosure (s) will be placed in the NRC Public Document Room. l Should you have any questions concerning this examination, please contact us.

Sincerely, John A. Doe, Chief Operations Branch

Enclosures:

1. Examination Report No.

2. Examination (s) and Answer Key (s) (SR0/RO)

I cc w/ enclosures:

(Standard Dist.)

, Plant Training Mgr.

, Branch Chief, OLB

, Project Manager, NRR

, Contract Exam Supervisor, O

Examiner Standards 4 of 7

ES-104-1 Enclosure 1

. O SAMPLE EXAMINATION REPORT i

Facility Licensee: North Carolina Power Authority 500A Chesnut Street Anyplace, NC 37401 Facility Docket No.: 50-123 Facility License No.: CPPR-195 Examinations administered at Edison Nuclear Power Station near Spring City, North Carolina Chief Examiner:

Sam Y. Smith Date Signed i

Approved by:

Frank R. Adams, Section Chief Date Signed Summary Examinations on December 12-16, 1983 Written, oral, and simulator examinations were administered to four SR0s, three R0s, and two instructor candidates. A written examination was administered to one additional RO candidate. Two SR0s, two R0s and one instructor passed these examinations. All others failed.

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ES-104-1 Enclosure 1 REPORT DETAILS O

1. Examiners

• S. Y. Smith, NRC J. M. Johnson, EG&G R. F. Radio, EG&G

• Chief Examiner

2. Exit Meeting At the conclusion of the site visit the examiners met with representa-tives of the plant staff to discuss the results of the examinations.

The examiners made the following observations concerning your training program:

a. Areas of generic weaknesses were found in the use of procedures, radiation protection, and theory, both nuclear and thermodynamic.

The facility committed to place more emphasis in these areas in future training programs (0 pen Item 84- ).

b. Areas in which the examiners believe that the candidates exhibited good training and knowledge were control room familiarization, ir;strumentation, and facility administrative procedures.

3. Examination Review As a result of the facility staff review, Questions 2.10 and 6.4 of the R0 and SR0 examinations respectively were deleted. It was determined that although these questions were obtained from facility supplied information, a recent vendor analysis negated the require-ment for this system asked for in the questions. The design change was documented in DCM-83-16.

The facility questioned the applicability of Question 3.3 of the R0 examination, but provjded no supporting references. The question was considered appropriate by the staff and retained because the knowledge and skills covered by this question are important to the performance of his job as described in the job task analysis.

O Examiner Standards 6 of 7

ES-104-1 Enclosure 1

.p QUESTIONS DELETED FROM WRITTEN EXAMINATIONS Question 2.10 a. DescribetheaccidentwhichtheBoronInjection Tank (BIT) is designed to mitigate. (1.0)

b. Describe the design features of the BIT, i.e.,

how does it accomplish its function during an accident situation. (1.0)

Answer 2.10 a. The ECCS including the BIT provides shutdown capabilitybymeansofboroninjection. The most critical accident for shutdown capability in the main steam line break.

b. The BIT contains a nominal 12 wt.% boric acid and is connected to the discharge of the centrifugal charging pumps. Upon receipt of an SI signal, the charging pumps provide the pressure to inject the

, boric solution into the RCS when the isolation valves open.

REF: I&E Training Center, Systems Manual, Chapter 4.2.

Also Edison NPS, STM 13-6.

Reason for deletion:

Westin!BITwasnolongerrequired.

why th house The TankAnalysis, is W-001, pro still in place, however, it's contents has been replaced with boron at RCS concentration. Auto-matic responses to SI signals have been removed (ref: DCM-83-16).

O d

Examiner Standards 7 of 7

Am

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ES-105 V)

(

Rev. 2 4/15/86 II;DOCTRINATION PROGRAM FOR NEW EXAMINERS A. Purpose This standard describes the indoctrination progran for all persons selected as NRC examiners for operator licenses. It is intended to ensure that persons initially participating in the examining program are given sufficient orientation to enable them to administer examinations in a manner consistent with current practices and standards. Although these standards apply directly to NRC examiners, similar procedures shall be applied for consultant and contractor examiners.

It is essential that all areas within the scope of 10 CFR 55 are equi-tably and completely covered in the examinations given to candidates and that examinations are administered with a high degree of consistency and uniformity in both level of knowledge required and content of the exami-nation. This ensures that the basic requirement of equal treatment of all candidates is accomplished.

B. Indoctrination Program A The following program is recommended as a minimum indoctrination program for new examiners:

1. Headquarters / Region Indoctrination Each new examiner should begin his indoctrination in the headquar-ters office of the Operator Licensing Branch (0LB) or in the regional offices. During a minimum period of 2 days, the branch chief or appropriate section leader or section chief should discuss the program, as outlined in Items 2 and 3 below, and acquaint the new examiner with branch administrative procedures that apply directly to operator licensing. The section leader or section chief will develop and provide the new examiner with a training program, discuss the program with the new examiner, and determine a schedule for completion of the program. Special attention should be given to ensuring that the new examiner has firsthand knowledge of plant operations. Depending on education, training, and experi-ence of a new examiner, the section leader or regional section chief may require that the examiner participate in one or more of the following training programs:

a. nuclear power plant fundamentals

b. plant systems

c. plant operations (y) (1) simulator Examiner Standards 1 of 13

ES-105 (2) onsite training and observation (guidelines are included as Attachment 1 to this standard. The scope and length of observation training should be tailored to the new examiner's previous experience.)

d. examination methods

2. Provision of Briefing Materials Each new examiner shall be supplied by headquarters or the regional office with the following:

a. copies of 10 CFR 2, 9, 20, 50, and 55

b. copies of each Operator Licensing Examiner Standard

c. copies of instruction manuals for accessing the examination questions bank

d. Other general information that may be considered pertinent to the program

3. Discussion of Briefing Materials A certified examiner will discuss the program with the new examiner, using the briefing materials as a basis. This discussion will permit clarification of objectives and content which are often, by necessity, couched in statutory language. Use of computer will be demonstrated to ensure that the new examiner candic, aids ate has access to basic information.

4. Observation of Actual Examinations Before administering an examination, each new examiner will observe an actual reactor operator and senior reactor operator examination by one or more certified examiners to become familiar with the methods, techniques, and time elements involved. No written discus-sion can adequately describe items such as level of knowledge or oral examination procedure; therefore, observation of at least one actual examination, preferably on a fairly complex facility, is necessary. The examiner shall debrief the examiner candidate at the completion of the examination, shall, as a minimum, have the examiner candidate complete an Oral Report Form, and make a final recommendation. Differences in observations should be discussed with the examiner candidates during the debriefing session.

5. Discussion of Initial Examination During the first examination administered at a power plant by the new examiner, a certified examiner shall be present to observe and subsequently discuss the examination with the new examiner. The Examiner Standards 2 of 13

(N ES-105

\ )

V certified examiner shall be an NRC examiner. This observation end discussion are necessary so NRC can ensure and document that con-sistent techniques and requirements are being used. They will further serve to identify improved ideas and methods that may be used and to incorporate them into the program. The examiner shall prepare a written evaluation of the examiner candidate including as a minimum the " Oral Exam Audit," NRC Form 308, included as Attach-ment 2 to this standard, and fcrward it to the appropriate section leader. The evaluation shall include an evaluation of the candi-date's knowledge, an evaluation of the candidate's program prepara-tion and effectiveness, and an evaluation of the candidate's demon-strated ability to examine. A recommendation for certification shall be included.

6. Other Indoctrination If considered desirable or necessary, additional indoctrination may be provided. It is the responsibility of headquarters and/or regional offices to provide all examiners with sufficient information and guidance to participate effectively in the program. No examiner should be requested to administer an examination unless both he and headquarters and/or the regional office believe that he has received sufficient orientation and training. All deficiencies and weak-e nesses identified in the written examination and the observed oral

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examination shall be discussed with the candidate. All deficien-cies shall be corrected before certification.

7. Certification of Examiners At the completion of the indoctrination period, each new examiner shall be certified by the regional branch chief to the Branch Chief, OLB, as being qualified to conduct licensing ex ninations of reactor operators and senior reactor operators in accordance with 10 CFR 55. If the examiner is transferred to a section that con-ducts examinations for reactors significantly different from thase for which he was previously certified, he should receive appropriate indoctrination and training. As a mimumum an additional observed oral examination should be conducted and certification on the new reactor type provided to the Branch Chief, OLB. Certification shall be vendor specific, and additional certification shall be made for each vendor type. Entries should be made in the exam-iner's personnel record and upon certification headquarters will issue a certificate to the examiner. Examiners who are not certified shall not be chosen to administer examinations.

8. Annual Review At intervals of approximately 1 year, each examiner shall be accom-panied by the appropriate section leader or regional section chief, CN or his designated alternate, during the administration of a written

(\"' ) examination and a minimum of one operating test. If a contractor or consultant examiner accepts assignments from two section leaders Examiner Standards 3 of 13

ES-105 or regional section chiefs each year, he may be audited by each supervisor on an approximately annual basis.

During this annual review the examiner and the reviewing examiner will discuss at length current examining policies and practices and other appropriate examining activities, and openly exchange views on the general subject of operator training and licensing.

At the completion of the annual review, the reviewing examiner shall complete a review form, NRC Form 308, which should be filed with the appropriate office with a copy sent to the person reviewed.

The reviewer shall discuss with the examiner the evaluation of his techniques and make any suggestions for improvement.

9. Maintenance of Examiner Certification (Power Reactors)

To maintain certification an examiner shall attend refresher training at the Technical Training Center at least once in every two years, and he should administer four operating examinations at a power facil-ity each year. Any examiner who has not administered at least two operating examinations at a power facility within the last two years shall be recertified before he is used to administer operating exams.

Recertification shall consist of being observed and certified by a currently certified examiner as technically competent on the vender type power reactor and as possessing the knowledge and skills neces-sary to administer operating examinations.

There are no requirements for maintaining certification as an examiner on research reactors.

10. Examiner's Training Meeting OLB headquarters will schedule a meeting of all examiners, usually annually, during which new examining methods and procedures and relevant operating experience will be discussed and all examiners will be able to exchange information and experience that will assist other examiners. All examiners will be expected to attend.

Schedcles for examinations and training should be adjusted as necessary to minimize conflicts with the examiner's conference.

When sufficient examiner training and retraining programs are in place at the Technical Training Center or other facilities and effective procedures for exchange of operating experience and other information have been developed, tha need for an annual training meeting will be reevaluated.

O Examiner Standards 4 of 13

A ES-105-1 ATTACHMENT 1 OBSERVATION TRAINING PROGRAM TRAINING OBJECTIVES

1. To familiarize the potential operator licensing examiner with an operating power plant of the same nuclear steam supply system (NSSS) type as that for which he will be conducting examinatic;is

2. To acquaint the potential examiner with the day-to-day nuclear station routine

3. To acquaint the potential examiner with a typical station's records and procedures

4. To expose the potential examiner to nuclear plant maintenance conducted under radiological control regulations

GENERAL COMMENT

S The plant to be used may be any operating power plant - the objec-i(O 1.

tive will be to select a plant that is most typical of the majority of plants of the specific type the potential examiner will be examining.

2. The schedule for the plant also will consider that plant with the most significant upcoming events, i.e., fuel loading, turbine main-

. tenance, load changes, surveillance testing, and plant startup/

shutdown.

3. The course will be conducted after the potential examiner has com-pleted the required academic courses - when the training will be most meaningful to him.

4. The observation guide is just that - a guide. If an event of i interest occurs (such as a major surveillance or plant recovery from a scram), the potential examiner should adjust his schedule so that he will be able to observe the event.

5. The potential examiner shall observe all rules and regulations in effect at the facility.

6. The potential examiner shall only observe operation of equipment; he shall not actually operate equipment (with the exception of portable radio equipment, as authorized by the facility).

i V

Examiner Standards 5 of 13

ES-105-1

7. The potential examiner chall not request any equipment to be operated, nor any tests or surveillances to be conducted.

8. The potential examiner shall arrive at the site sufficiently early to observe the shift turnover.

9. After observing an event (e.g., surveillance, equipment test, main-tenance, startup, and shutdown) or tracing a system, the poten-tial examiner shall record it in the space provided on the daily training schedule. Once the observation training has been completed, the training schedule will be filed in the examiner's training folder.

10. The section leader or regional section chief or a certified examiner designated by him to be in charge of the potential candidates obser-vation training will provide a list of systems to be traced out.

11. During this training period, the pot <ential examiner should observe the use of procedures by the operatars and follow the event with a spare copy of the procedures if po",sible.

12. The potential examiner sho',ld pay attention to administrative procedures (e.g., tag outo, jumper log, and key log) used by the operator and shift supervisor.

TYPICAL DAY

1. Review previous day's control room log.

2. Review previous day's control room operation and discuss unusual events with instructor.

3. Review day's control room schedule and observe any periodic sur-veillance tests to be run, any load changes or equipment changes to be made, and startups or shutdowns.

4. Rcview previous day's chemistry and radiological logs.

5. Review day's radiological control schedule and observe any special sampling or radiological procedures to be performed.

6. Review previous day's maintenance log.

7. Review day's maintenance schedule and observe any special main-tenance to be performed, e.g., control rod drives.

8. Proceed to scheduled plant area and begin day's tasks.

O Examiner Standards 6 of 13

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ES-105-1 OBSERVATION TRAINING SCHEDULE Events Observed / Systems Traced Day 1 Administrative Requirements (RADCON Training, Security Briefing)

Day 2 Administrative Requirements Day 3 Plant Orientation - Control Room

- Shops

- General Plant Layout Day 4 Review logs - Control Room

- Maintenance

- Rad Control Tour - Control Room Review - Plant Evacuation Procedure Daily Recapitulation Day 5 Review Logs - r sntrol Room

- Maintenarce

- Rad Contral Tour - Control Room Daily Recapitulation Day 6 Off Day 7 Off Day 8 Review Logs - Control Room

- Maintenance

- Rad Control Tour - Electrical Distribution

- Breaker Operation

- Electrical Maintenance Daily Recapitulation Day 9 Review Logs - Control Room

- Maintenance

- Rad Control Tour - Control Room Daily Recapitulation Examiner Standards 8 of 13 l

f#N ES-105-1 O Events Observed / Systems Traced Day 10 Review Logs - Control Rcom

- Maintenance

- Rad Control Tour - Control Room

- Turbine Auxiliary Systems Daily Recapitulation Day 11 Review Logs - Control Room

- Maintenance

- Rad Control Tour - Rad Waste

- Health Physics Daily Recapitulation Day 12 Review Logs - Control Room

- Maintenance

- Rad Control Tour - Refueling Floor

• [G Daily Recapitulation Day 13 Off Day 14 Off 4

pay 15 Review Logs - Control Room

- Maintenance

- Rad Control Tour - Control Room Daily Recapitulation Day 16 Review Logs - Control Room

- Maintenance

- Rad Control Tour - Equipment Operator Daily Recapitulation

Day 17 Review Logs - Control Room

- Maintenance

- Rad Control Tour - Instrumentation and Control Tech I

Daily Recapitulation i

Examiner Standards 9 of 13

ES-105-1 Events Observed / Systems Traced Day 18 Review Logs - Control Room

- Maintenance

- Rad Control Tour - Reactor Building Daily Recapitulation Day 19 Review Logs - Control Room

- Maintenance

- Rad Control Tour - Reactor Building (a) Emergency Core Cooling Systems (b) Process Instrumentation Daily Recapitulation Day 20 Off Day 21 Off Day 22 Review Logs - Control Room

- Maintenance

- Rad Control Tour - Turbine Building _

Daily Recapitulation Day 23 Review Logs - Control Room

- Maintenance

- Rad Control Tour - Area Radiation Monitors (Observe Levels and Locations

- Turbine Building Day 24 Review Logs - Control Room

- Maintenance

- Rad Control Tour - Results Shop / Rad Control Lab (Observe Rad Control Procedures and Analysis) __

- Reactor Protection System and Reactor Process Instrumentation Daily Recapitulation l 9l Examiner Standards 10 of 13

i i

j I ES-105-1 l

! Events Observed /5ystems  ;

Traced j Day 25 Review Logs - Control Room ,

i - Maintenance T- - Rad Control Tour - Control Room  !

1 i Daily Recapitulation  ;

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. Day 26 Review Logs - Control Rooe: '

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ES-105-1 HOMEWORK

1. Read station Technical Specifications.

2. Review system description before inplant tour.

3. Review system operating procedures.

4. Review station emergency procedures.

5. Review radiological control fundamentals.

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Examiner Standards 12 of 13

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\s ES-105-2 ATTACHMENT 2 ORAL EXAM AUDIT asun mac,0 sse u s. asuctaan naeutAfoni commissioes ' " * " *

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Examiner Standards 13 of 13 l

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O ES-107 Rev. 2 4/15/86 PRE-ADMINISTRATION QUALITY ASSURANCE PROGRAM FOR REVIEW OF WRITTEN EXAMINATIONS A. Purpose This standard defines the procedure to be followed for quality assurance (QA) review of written examinations before their administration.

B. Responsibility Examiners should review their own examination in detail, as discussed in this standard and in Standard ES-201. The appropriate regional section chief is responsible for ensuring that an independent review is conducted of written examinations prepared by examiners in his section. A brief review should be performed by another examiner. Section chiefs shall not review examinations that they prepared. The QA review required by this standard is only a brief review after the detailed review by the prepar- l

'ing examiner. The Section chief will then certify the review has been completed.

C. Review Procedure g

( Both the examination author and the reviewer should use the " Written

\ Examination Quality Assurance Checkoff Sheet," ES-107 Attachment 1, to document their review. As a minimum, the following items should be checked by the Exam Author and the reviewer.

1. Review all questions for clarity of intent.

2. Review all questions for applicability of terminology and systems to facility. Ensure all questions are in proper category.

3. Review all categories for w2ights assigned, in accordance with Standards ES-203 and ES-403.

4. Verify that the totals of points for questions in each category are correct and that these totals correspond to weights given on the cover sheet.

5. Verify that no single question and/or topic is worth more than 20%

of that category.

6. Verify that subjects required by 10 CFR 55.21 for reactor operators (R0s) and 55.22 for senior reactor operators (SR0s) are covered in the examination. Standards ES-202 and ES-402 group these subjects in the format required for power reactor examinations, and Standard ES-204 groups these subjects in the format required for non power O reactor examinations.

V Examiner Standards 1 of 3

I ES-107

07. Review all questions and answer keys to ensure there is no double 9ll l

jeopardy.

l

8. Review the answer key to ensure all questions are answered concisely  ;

and clearly. Each question should have numerical values assigned l for partial credit; that is, when the question elicits a complex multifaceted response, a scheme should be enumerated for scoring each of these facets. For example, a single question worth 3 points 1 of a 25 point category might have as many as 10 facets, each of which should be assigned a value.

9. Verify that there is a reference to the plant training material for each answer, if available.

10. Review questions and answers to ensure they correspond to the required level of knowledge (i.e., RO or SR0 level), as described in Standard ES-202.

11. Ensure that " lone questions" of a section are flagged on a previous page by a " continued on next page" statement.

12. Ensure that each category is concluded with the statement "End of Category .

13. Verify proper distribution of topics within a category. For example, category 2 should include a variety of questions on major, auxiliary, engineered safety systems and electrical systems.

D. Documentation When the review is completed, the " Written License Examination Quality Assurance Checkoff Sheet," attachment 1 of this standard, should be approved by regional section chief and filed with the record copy of the examination.

• See Standard ES-202, p. 5 of 6.

Examiner Standards 2 of 3

7

~3 ES-107-1 i )

%.J Attachment 1 WRITTEN EXAMINATION QUALITY ASSURANCE CHECK 0FF SHEET AUTHOR'S ITEM DESCRIPTION INITIALS /DATE 1 Clarity of intent of questions 2 Applicability of questions to facility 3 Category weights correct. All questions in proper category.

4 Each category total correct and corresponding to weights on the cover sheet 5 End of each category indicated by statement "End of category 6 No question worth more than 20%

of that category weight 7 Verify that 10 CFR 55.21 and

,/_') 55.22 subjects are covered.

8 No double jeopardy questions 9 Answers clear and concise on answer key 10 References to plant material for each question, as applicable 11 Proper level of knowledge (R0/SRO) 12 Partial credit points indicated, if applicable Author: Date:

Contract Reviewer:

(If applicable) Date:

Region Reviewer: Date:

Review Completed: Date:

(Section Chief)

Exam Facility / Unit: Date:

(] '

\ "'

Senior / / Operator / /

Examiner Standards 3 of 3

-~

ES-108

( Rev. 2 4/15/86

\v POST-ADMINISTRATION QUALITY ASSURANCE PROGRAM FOR REVIEW 0F GRADED EXAMINATIONS A. Purpose This standard defines the procedures to be followed for quality assurance (QA) review of written examinations after they are, graded by the examiners.

B. Responsibility Examiners should review their own grading in detail, as discussed in this standard and in Standard ES-201. The appropriate regional section chief is responsible for ensuring that an independent review is con-ducted of written examination grading. The QA review required by this standard is only a spot check, or sampling test, after the detailed review by the grading examiner.

Whenever possible the written examination shall be graded by the examiner who prepared the examination. If, due to class size or unavailability of the preparing examiner, the examination is graded in whole or in part by an examiner who did not prepare the exanination then a more thorough supervisory review of the grading should be made. The regional office operator licensing section chief shall be notified that an examiner who O)

( did not prepare the examination graded or participated in the grading of the written examination.

C. Review Procedure The reviewer should use the " Examination Grading Quality Assurance Checkoff Sheet," Attachment 1 of this standard, to document his review. As a minimum, the following items should be checked:

1. Spot check at least 50% of the examination category totals and overall grades assigned for errors in addition for each examination.

2. Review in detail the answers and grades assigned for at least one question in 50% of the categories for 50% of the applicants. This review will allow the examiner to determine consistency of response and grades, indications of cheating or collusion, and performance on individual questions.

3. Review and recalculate grading for all borderline cases (i.e., 70% i 2% for each category or 80% i 2% overall).

4. Compare the highest failing and the lowest passing examination, to ensure that the fail / pass decision is justified. Check at least one question in every category in both cases. Confirm failures with the next highest failing examination, if appropriate.

O G

Examiner Standards 1 of 4

ES-108

5. Spot check other failing exarainations to be assured of justification for denial of license.

6. Review overall performance in each category and individual questions to determine if there are problems in the facility training program, in the wording of the questions, or in other areas.

7. If the above reviews indicate significant problems, conduct a de-tailed review, as necessary.

D. Documentation When the QA reviewer has completed his review, the "Eramination Grading Quality Assurance Checkoff Sheet," ES-108 Attachment 1, should be approved by the regional section chief and filed with the record copy of the examination.

Note: Reviewers shall document all changes to grading. The original grade should be lined out, but still legible, and the revised grade added with a brief explanation on the exam paper for the change. The change should be initialed by the reviewer. " White out" or other methods that obscure the original grading shall not be used to change grades.

O l

9 l Examiner Standards 2 of 4

O\ ES-108-1 (J Attachment 1 EXAMINATION GRADING QUALITY ASSURANCE CHECK 0FF SHEET

' Grader (s) Name Facility Date of Exam Examination: -Operator Senior Post-Examination Procedures Examiner Review Item Description Initial /date Initial /date

1. No apparent indication of cheating or collusion

2. Partial credit consistent for each candidate

3. Section and cumulative scores checked for addi-tion (Reviewer spotcheck

\_ j 25% of category totals)

4. Grading for all borderline cases reviewed (70% i 2%/

section or 80% i 2% overall)

5. Detailed review, 1 question per category, 50% of cate-gories, 50% of applicants

6. Highest failing/ lowest passing examinations compared to justify fail / pass decision

7. All other failing exam-inations checked to be assured of justification for failure

8. Individual question performance checked for training deficiencies, wording problems, etc.

3 Examiner Standards 3 of 4

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ES-108-1 1

l Grader: Date:

Contract Reviewer: Date:

l (If applicable)

Region Reviewer: Date:

Review Completed: Date:

Section Chief

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Examiner Standards 4 of 4

ES-109 Rev. 2 4/15/86 ELIGIBILITY REQUIREMENTS FOR OPERATOR OR SENIOR T OPERATOR LICENSE CANDIDATES AT POWER REACTORS.

A. Purpose This standard lists the various requirements on training, educational experience, and certification that must be met before a candidate can apply for an NRC reactor operator or senior operator license. The purpose of this standard is to aid the examiners in their review of individual applications to determine the eligibility of candidates before the NRC reactor operator or senior reactor operator licensing examination.

B. Reactor Operator Eligibility Requirements

1. Experience Requirements

a. Minimum of 2 years of power plant experience of which at least 1 year shall be nuclear power experience. Training time to meet the requirements for this license shall not be counted as a part of this minimum 2 years of power plant experience, and; l

b. Minimum of 6 months at the site for which the license is sought.

c. Military power (propulsion) plant operating experience may be substi-tuted on a one for one basis for the power plant experience required

_ ("N in paragraph B.1.a.

2. Training Requirements

a. Minimum of 3 months training in the control room as an extra man on shift on a day to day basis in the capacity of the position for which the applicant seeks a license and under the direct supervision of the licensed operator or senior operator assigned to the licensed position in the control room and on the plants operating shift.

b.1 Training in (1) heat transfer, (2) fluid flow, (3) thermodynamics, (4) use of installed plant systems to control or mitigate an accident in which the core is severely damaged, and (5) reactor and plant transients.

c.1 Total of 500 hours0.00579 days <br />0.139 hours <br />8.267196e-4 weeks <br />1.9025e-4 months <br /> of lectures on: (1) principles of reactor opera-tion, (2) design features of the nuclear power plant involved, (3) general operating characteristics of the nuclear power plant involved, (4) instrumentation and control systems, (5) safety and emergency systems, (6) standard and emergency operating procedures, and (7) radiation control and safety procedures.

d.1 Satisfactory completion of a NRC approved training program of at

< least one week duration at a nuclear power plant simulator. The simulator training center should certify the applicant's ability during a reactor startup to manipulate the controls, keep the reactor

/ under control, predict instrument response, use instrumentation, G

Examiner Standards 1 of 7

ES-109 follow procedures, and explain annunciator alarms that occur during operation.

e. Manipulation of the controls of the facility (actual plant, not simu-lator) during five significant reactivity changes as described in the operator requalification program. Every effort should be made to diversify reactivity changes. These manipulations are not required if the operating examination includes an actual startup of the reactor.

f. Participation in reactor and plant operation at power levels of at least 20% power operation for one month. l

3. Education Requirements

a. High school diploma or equivalent.2 C. Senior Reactor Operator - Candidates Without 4-Year Degree in Engineering or Applied Science

1. Experience Requirements

a. Minimum of 4 years of responsible power plant experience as a control room operator (fossil or nuclear) or as a power plant staff engineer involved in the day-to-day activities of the facility commencing with the final year of construction. Of this 2 years shall be nuclear power plant experience, and

b. Licensed reactor operator at the same facility for at least one. year.

Experience for 1 year as a licensed reactor operator or senior reactor operator at another nuclear power plant may be substituted.

Actual operating experience for 1 year in a position that is equiva-lent to a licensed operator or senior reactor operator at military propulsion reactors may be substituted on a one-for-one basis. Na'vy ratings that are considered equivalent are (1) Propulsion Plant Watch Officer, (2) Engineering Watch Supervisor, (3) Engine Room Supervisor, (4) Reactor Operator, (5) Chief, Reactor Watch, (6)

Engineering Officer of Watch, and (7) Propulsion Plant Watch Supervisor, and

c. Minimum of 6 months at the site for which the license is sought.

d. Candidates who substitute experience and who do not have at least one year as a licensed operator at the facility for which the license is sought, must alto complete the training requirements of parts D.2.d, e and f of this standard; and these candidates shall receive an instant SR0 operating examination.

2. Training Requirements

a. Minimum of 3 months on shift as an extra person in training for a position as senior reactor operator under the direct supervision of a l

Examiner Standards 2 of 7 l

j ES-109 licensed senior operator assigned to a licensed senior operator

(,o) position on an operating shift.

v b.1 Training in (1) heat transfer, (2) fluid flow, (3) thermodynamics, (4) use of installed plant system to control or mitigate an accident in which the core is severely damaged, (5) reactor and plant transients, (6) reactor theory, (7) handling and disposal of radioactive materials, (8) specific operating characteristics of the plant (s) for which the license is sought, (9) fuel handling and core parameters, and (10) administrative procedures, conditions and limitations.

3. Education Requirements

a. High school diploma or equivalent.2 D. Senior Reactor Operator - Candidates With 4-Year Degree in Engineering or Applied Science

1. Experience Requirements

a. Minimum of 2 years of responsible nuclear power plant experience which may be as a staff engineer involved in the day-to-day operation of the plant, and, Note: A plant staff engineer involved in the day to day operation of O the plant is defined to be an individual whose normal duties

( require familiarity with the plant operating systems, integrated plant response and facility operating procedures,

b. Minimum of 6 months at the site for which the license is sought.

2. Training Requirements

a. Minimum of 3 months on shift as an extra person in training for an SR0 position under the direct supervision of a licensed senior operator assigned to a licensed senior operator position on an operating shift. This training requirement is in addition to the experience requirement of D.1.b above.

! b.1 Training in (1) heat transfer, (2) fluid flow, (3) thermodynamics, (4) use of installed plant systems to control or mitigate an accident in which the core is severely dama transients (6) reactor theory,(7) ged, (5) reactor handling and plant and disposal of radioactive materials, (8) specific operating characteristics of the plant (s) for which the license is sought, (9) fuel handling and core parameters, and (10) administrative procedures, conditions and limitations.

O U

Examiner Standards 3 of 7

ES-109 c.1 Total of 500 hours0.00579 days <br />0.139 hours <br />8.267196e-4 weeks <br />1.9025e-4 months <br /> of lectures on: (1) principles of reactor opera-tion and reactor theory, (2) design features and specific operating characteristics of the plant (s) involved, (3) instrumentation and control systems, (4) safety and emergency systems, (5) standard and emergency operating procedures, (6) administrative procedures, conditions and limitations, (7) radiation control and safety procedures, and (8) handling and disposal of radioactive materials.

d.1 Satisfactory completion of a NRC approved training program of at least one week duration at a nuclear power plant simulator. The simulator training center should certify the applicant's ability during a reactor startup to manipulate the controls, keep the reactor under control, predict instrument response, use instrumentation, follow procedures, and explain annunciator alarms that occur during operation.

e. Manipulation of the controls of the facility (actual plant, not simu-lator) during five significant reactivity changes as described in the operator requalification program. Every effort should be made to diversify reactivity changes. These manipulations are not required if the operating examination includes an actual startup of the reactor.

f. Participation in reactor and plant operation at power levels of at least 20% power operation for one month. I g Satisfactory completion of an SRO training program equivalent to a cold-license candidate training program.

3. Education Requirements

a. At least a 4 year degree in engineering or applied science.

E. Eligibility Requirements for Cold Examinations

1. Cold examinations are those examinations administered before initial criticality.

2. Each candidate ha. to satisfactorily complete the training programs that are submitted in Section 13.2 of the Final Safety Analysis Report and approved by the NRC. This review and approval is based on information contained in Section 13.2.1 of the Standard Review Plan (SRP)

(NUREG-0800).

Note: It has been typical for these NRC approved training programs to require 10 reactor startups on a research reactor. This require-ment may be waived if an Institute of Nuclear Power Operations (INPO) accredited plant reference simulator training program has been completed. (See ES 111) 1

3. t l e' ; < >ent to all power reactor applicants and licensees from n .. J.R, dated March 28, 1980, stated that precritical applicants Examiner Standards 4 of 7

4 ES-109 p) e V

(candidates) will be required to meet unique qualifications designed to accommodate the fact that their facility has not been in operation.

Generally, these unique qualifications apply to areas of experience at their own plant because the plant has not yet been in operation. For example,

a. Cold training programs for persons with no previous experience are required to contain observation programs at plants that are as similar to their own as possible.

b. Cold training programs for persons with no previous experience usually contain simulator training programs.

The approved cold training program should be used as the basis for deter-mining cold examination eligibility.

4. Eligibility for examinations for licenses at second or third units of multiunit stations is addressed in Standard ES-106.

F. Renewals

1. Each operator and senior operator license shall expire two years af ter the date of issue.

2. Renewal applications must be made on standard NRC forms 398 and 396 and both submitted not less than 30 days nor more than 60 days prior to date

/O of expiration. If a licensee files a proper application for renewal at

(~ least 30 days prior to expiration, the license shall not expire until the application for renewal has been denied or a new license issued.

Reapplications submitted more than 60 days prior to expiration may be returned to the facility to await a more timely submittal.

3. The NRC form 398 should be complete, including experience under the current license, the approximate number of hours that he has served on the operating shift, a statement that the a completed the requalification program,and pplicant has that evidence satisfactorily the licensee has discharged his responsibilities competently and safely. Evidence of safe and competent discharge of responsibility and satisfactory completion of the approved requalification program is provided by the appropriate facility licensee signatures in block 17.c. of the NRC form 398.

4. A report by a licensed medical practioner in the form prescribed in 10 CFR 55.60 (Form NRC 396) should accompany the NRC form 398 application.

5. The license will be renewed if:

a. The physical condition and general health of the applicant is such as not to cause operational errors that might endanger public health and safety; and O

V Examiner Standards 5 of 7

ES-109

b. The licensee has been actively and extensively engaged as an operator or senior operator, has discharged his responsibilities safely, and is capable of continuing to do so; and

c. The licensee is currently enrolled in a requalification program and has successfully completed the most recent cycle of the requalification program; and

d. There is a continued need for a licensee to operate or direct operators at the facility as evidenced by the appropriate signatures in block 17.b. of NRC form 398; and

e. An application is filed on NRC forms 398 and 396 at least 30 days and not more than 60 days prior to the license expiration date.

Note: Individuals holding operating and senior operating licenses while employed at a nuclear facility in positions other than on shift operators are considered to be actively and extensively engaged if they meet the requirements of 6.c. If the requalification program schedule is such that the applicant could not complete a cycle prior to the date of his license expiration, the renewal may be issued on the basis of current enrollment in the requalification program.

G. Contents of Applications

1. Each application shall be made on NRC Forms 398 and 396. Forms 398 and 396 must be completely filled out and signed by the appropriate personnel.

2. A report of medical examination (NRC Form 396) completed by a licensed practitioner shall be submitted. The application is not complete until NRC forms 396 and 398 are received. The applications should be received by the region 60 days prior to the examination date.

. 3. If a candidate is reapplying following a denial, 10 CFR 55.12 applies and l a new complete form 398 and 396 shall be submitted. Training received l l after the denial should be highlighted in item 15, comments.

l a. If a candidate's application has been denied because of failure of the written or operating test or both, a new application may be filed 2 months after the date of denial. A third application can be filed 6 months after date of denial and successive applications 2 years after date of denial.

b. If the candidate passed either the written or operating portion of the test, he can request a waiver from that portion already passed.

c. The reapplication should identify those areas in which the applicant demonstrated weaknesses during the previous examination and the additional training received to correct these specific deficiencies.

O Examiner Standards 6 of 7

ES-109 m d. The medical certificate, Form NRC 396, is good for 6 months from the date the candidate's physician signs it. For reapplication following (V) a denicl or withdrawal by the license candidate the regional office l

may waive the requirement for a new medical certificate if the date of the original medical was within one year of the scheduled reexami-nation and a waiver of the requirement for a new medical certificate is requested by the applicant. The request for waiver should be made in item 15, Comments, on NRC form 398 or by separate letter with the reapplication. The disposition of the waiver request shall be docu-mented by a note on the NRC Form 396 originally suh~aitted and in accordance with ES-111.

H. Failure To Meet Eligibility Requirements

1. If an applicant fails to document or meet the eligibility requirements of this standard, he shall not be permitted to sit for the examination and the administrative procedure of ES-112 section E should be followed.

I. References

1. American National Standards Institute, ANSI N 18.1-1971, " Selection and Training of Nuclear Power Plant Personnel."

2. American National Standards Institute /American Nuclear Society, ANSI /

ANS-3.1-1981, " Selection, Qualifications and Training of Personnel for Nuclear Power Plants."

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3. Letter from H. Denton (NRC) to All Power Reactor Applicants and Licensees,

Subject:

Qualifications of Reactor Operators, Mar. 28, 1980.

4. Title 10 of the Code of Federal Regulations, Part 55, " Operators Licenses."

5. -- , NUREG-0737, " Clarification of TMI Action Plan Requirements,"

Nov. 1980.

4

6. -- , NUREG-0800, " Standard Review Plan for the Review of Safety Analysis Reports for Nuclear Power Plants," July 1981.

7. Title 10 of the Code of Federal Regulations section 2.103(b)(1) and (2).

1These training requirements can be met by successful completion of ao NRC-approved training program.

2 Equivalent is a GED certificate. Some states (e.g., New York) use a term other than GED certificate, but these certificates are equivalent to a GED certificate.

V Examiner Standards 7 of 7

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l ES-110 Rev. 2 4/15/86 m ELIGIBILITY REQUIREMENTS FOR REACTOR OPERATOR OR SENIOR

( ) REACTOR OPERATOR LICENSE CANDIDATES - NONPOWER REACTORS G/

A. Purpose The purpose of this standard is to aid the examiners in their review of individual applications to determine the eligibility of candidates to be administered the NRC reactor operator or senior reactor operator licensing examination at a non power reactor. This standard lists the various requirements on training, educational experience, and certifica-tion that must be met before a candidate can apply for an NRC reactor operator or senior operator license at non power reactors.

B. Reactor Operator Eligibility Requirements

1. Certification Requirements

a. Certification by responsible facility management that the individual has received sufficient training at the facility to safely assume the duties and responsibilities of a licensed operator. (Form 398, block 17.b)

2. Training Requirements In consideration of the individual's previous experience, training and level of responsibility, the training performed shall:

n Be adequate to ensure the safe operation of the facility.

(a) a.

b. Include the topics identified in reference 1, Section 5.4.

c. Include operation of the reactor and its related systems under the supervision of licensed operators and senior operators.

3. Education Requirements There are no formal education requirements specifically endorsed by the NRC to be eligible for a non power reactor operator examination.

However, historically the NRC has viewed the education requirements of candidates for power and non power licenses to be identical. If a candidate has not completed high school or received an equivalent certification, the number of years of education shall be identified on the candidates application and evaluated for eligibility prior to examination. Successful completion of the NRC operator licensing examinations requires a knowledge of reading, writing and mathematics equivalent to that possessed by a high school graduate with the proper academic subject background.

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Lj Examiner Standards 1 of 5

ES-110 C. Senior Reactor Operator Eligibility Requirements

1. Experience and Certification Requirements

a. Minimum of 3 years of nuclear related experience. A maximum of 2 years equivalent full-time academic training may be substituted for 2 of the 3 years. (Reference 1)

b. Certification by responsible facility management that the individual has received appropriate and sufficient training at the facility to safely assume the duties and responsibilities of a licensed senior operator. (Form 398, Block 17b.)

2. Training Requirements In consideration of the individual's previous experience, training and level of responsibility, the training performed shall:

a.

Be adequate to ensure the safe operation of the facility.

b. Include the topics identified in reference 1, Section 5.3.

c. Include operation of the reactor and its related control systems.

3. Education Requirements There are no formal education requirements specifically endorsed by the NRC to be eligible for a non power reactor senior reactor operator oxamination. However, historically the NRC has viewed the education requirements of candidates for power and non power reactor licenses to be identical. If a candidate has not completed high school or received an equivalent certification, the number of years of educa-tion shall be identified on the candidates application (Form 398) and evaluated for eligibility. Successful completion of the NRC senior operator licensing examinations requires a knowledge of reading, writing and mathematics equivalent to that possessed by a high school graduate with the proper academic subject background.

D. Contents of Applications 1.

Each application for reactor operator or senior reactor operator shall be made on personal qualifications statement (NRC Form 398).

Each candidate is required to submit the original and two copies of NRC form 398. Form 398 must be completely filled out and signed by I

the appropriate personnel. Those sections or items that are not applicable to operators at non power reactors shall be marked "NA" to indicate they are not applicable. Additionally, training criteria contained in ANSI /ANS-15.4 (1977) N380 should be followed in com-pleting Item No. 12 (TRAINING) on NRC Form 398.

All sections of Form 398 should be completed as per the instructions. l Other pertinent information specifically for Non-Power Reactor License candidates should be completed on NRC Form 398 as follows: '

Examiner Standards 2 of 5 I l

l l

i ES-110 a

a Section 4: Type of Application l Items: a.2 applies only to new reactor facilities prior to criticality f.3 not applicable to non power facilities e."Reapglication"andf."Reapplicationwaiver 4 request. If the application is a reapplication 4

subsequent to a prior failure, the requirement of

, 10 CFR 55.12(a), Reapplications, regarding a state-ment on retraining, is to be included. This requirement may be met by detailing the information i in Block 12 or 15, or by a separate letter attached 3

to the application. On reapplications any waivers 1 to be considered are requested by checking the appro-priate blocks-and identifying the categories of the written exam to be waivered, if applicable.

Section 10: Current position at facility f Items: a, b, c, e, f, i are not directly app"licable to non power

reactors. Therefore, the ites; "other should be used for

[ position descriptions. For example, Director of facility, Chief Reactor Supervisor, etc. Items g and h are only for licensed personnel. A non-licensed control room operator i trainee should not be listed as a control room operator l h( / (item h) but, instead, should be listed as a trainee under item j.

Section 12

Training

This section should contain only training received specifically for the license for which the application is submitted. Non power facil-ities normally do not have a formalized training program, therefore,

the period of training should be identified (month and year from -

to) and " condensed" to the appropriate number of weeks.

Example: A candidate spends four months in training from 1 June through 30 September with two hours a week devoted to fundamentals, two hours a week tracing systems, one hour a week in the control room, and one hour a week in actual i manip'ulation (two reactivity changes per manipulation).

! The condensed" training would be from 6/84 to 10/84; Fundamental (16 week x 2 hr/ week); approximately one week,

plant systems observation; one week, control room opera-tions; one week, and reactivity manipulation 32. Numbers j do not have to be precise, but should be representative.

Items: 3. " Simulator Operation" and " Simulator Name(s)," are not

[

applicable to non power facilities.

l S. " Extra Person on Shift," is not applicable to non power i facilities.

Examiner Standards 3 of 5

ES-110

6. The entry of " continuous" or similar entry for the number of weeks in requalification is not sufficient. The acutal number of weeks (condensed in one time period) spent in requalification must be listed as per the example in Section 12 " Training".

Section 13: Experience Experience must be current up to the date of application and fitted into the categories as well as possible. Use of items 13.5, 13.9 and 13.16; "other", should be encouraged. In all cases the experi-ence should be briefly and fully described in Block 14.

Section 17:

Item 17 a.: Signature - Applicant The applicant's signatures must appear on the application.

Item b. or c.: Training Coordinator and Highest Level of Corporate Management for Plant Operations This Item is normally the Non Power Facility Director or equivalent position. " Higher" authority is not needed. If the Facility Director is also the " Training Coordinator" then he/she must sign both items.

2. A report of medical examination (NRC Form 396) completed by a licensed practitioner. The application is not complete until the original of both NRC forms 398 and 396 are received in the regional office. The applicant should also supply two copies of the form 398.

3. If the candidate is reapplying for a license, 10 CFR 55.12 applies and a new Form 398 should be used. The contents of 10 CFR 55.12 are very similar to those of 10 CFR 55.10, and information that has not changed should not be duplicated on the new form.

a. If a candidate's application has been denied because of failure of the written or operating test or both, a new application may be filed 2 months after the date of denial.

A third application can be filed 6 months after date of denial and successive applications after 2 years.

b. If the candidate passed either the written or operating portion of the test, he can request a waiver from the l portion already passed.

c. The reapplication should identify those areas in which the applicant demonstrated weakness during the previous ,

examination and the additional training received to correct I these specific deficiencies.

d. The medical certificate for the initial examination, Form ,

NRC 396, is good for 6 months frcm the date the NRC physician '

signs it. However, this requiremant may be waived in accor-dance with (ES-111) item G.

Examiner Standards 4 of 5

1 l

ES-110 E. License Restrictions (Non power Reactors)

1. For medical reasons an operator or senior operator license may be restricted to prohibit solo operations. This restriction requires that another individual be present when these individuals perform licensed activities. For the purpose of this restriction at non-lower reactor facilities, "present" means that the second individual slall be physically located within the boundaries of the facility as identified in the facility license. The second individual must be capable of summoning medical assistance and reactor operations assistance if required.

REFERENCES

1. ANSI /ANS 15.4-1977 (N308), " Selection of Training of Personnel for Research Reactors."

2. 10 CFR Part 55, " Operators' Licenses."

3. Letter to "All Non-Power Reactor Licensees," from Darrell G.

Eisenhut, July 11, 1983.

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Examiner Standards 5 of 5

ES-111 Rev. 2 4/15/86 GRANTING OF WAIVERS FROM THE A PROVISIONS OF OPERATOR LICENSING REQUIREMENTS REQUESTED BY OPERATOR AND SENIOR OPERATOR APPLICANTS A. PURPOSE This standard specifies and provides guidance to the examiner, of the requirements, for the granting or denial of waivers that may be requested by applicants for an NRC operators license. To maintain consistency and standardization across the regions, for the granting or denying of waivers, this standard lists those waiver requests that may be routinely granted by

the Regional Offices. The purpose of this standard is to clarify both the J

NRR (0LB) policy pertaining to waivers of the Operator and Senior Operator Licensing examination requirements and the Regional and Headquarters re-sponsibilities and interactions for granting or denying waivers.

B. BACKGROUND

, As part of decentralization of the Operator Licensing Branch (0LB) the functions of the Operator Licensing Program were transferred to the Regional Offices. The delegation of authority to the Regional Offices regarding the operator licensing functions required that waivers to Operator and Senior Operator examination requirements be administered by (0LB) Headquarters.

Many requests were made by Regional Offices to clarify the OLB Headquarters policies pertaining to the waiver of Operator and Senior Operator examina-tion requirements. As a result, several types of waiver requests, submitted hs G

by applicants, have been identified to be of a recurring nature and classi-fied as routine. In order to provide expediency in determining the resolu-tion of waiver requests, these standard waiver items have been delegated to the Regional Office for administration. The waiver items are identified in Paragraph D of this standard.

C. ADMINISTRATION OF WAIVERS

1. It is not the general policy of OLB to delegate waiver responsibility.

However, in specific waiver request cases that have well defined acceptance criteria, the waiver requested may be administered by Regional Office Management. None of the waivers from the provisions of the operator licensing examination requirements shall be granted automatically but will be evaluated on a case basis. The waiver request may be denied if ;.he evaluation and judgement of the case by the regional or Headquarters Staff so warrants. All waivers, whether granted or denied, shall be documented on the Personal Qualifications Statement (NRC-398), on which the request for a waiver was made.

2. Operator and Senior Operator Waivers The following list (Paragraph D) of routine waivers may be granted by a Regional Office. For any other waiver requests or special cases, OLB Headquarters shall be consulted to ensure that all waivers are uniformly and consistently applied by all the regions. Waivers of experience requirements, completion of training, or completion of A)

(

V' examinations, not specifically included in the List below should not be granted unless approved by 0LB Headquarters.

Examiner Standards 1 of 3

l ES-111 1

1

3. Submittal of Waiver Requests All waiver requests, whether routine or special, should be submitted by the applicant to the responsible region for disposition. Any waivers forwarded to 0LB, Headquarters for review and resolution will be evaluated in conjunction with the requesting regions input and recommendations.

D. REGIONAL ADMINISTERED STANDARD WAIVERS

1. If a candidate fails one category of the written exam (<70%), but has an overall grade of >80% and satisfactorily completes the operating l exams (if administered), the Region may waive those three categories of the written exam for which the candidate received >70% and the oral and simulator examinations. This standard waiver is only applic-able for the first retake exam.

2. If a candidate fails only one examination area (i.e., written or operating), the Region may waive those areas which were passed. Only applicable for first retake examination.

3. The requirement to perform actual plant start-up may be waived if simulator start-ups have been performed. (Some utilities have included this waiver request even though their candidates have received simulator start-up certification.) Provisions of the Examiner Standards regarding cross check during the operating exam l should be followed. This waiver is not applicable to research reac-tors, Ft. St. Vrain, Lacrosse, and Big Rock Pt.

4. A utility's request for waiver of specific FSAR training requirements may be granted when waiver of those specific requirements is authorized by the approved FSAR and the candidate otherwise meets NRC requirements.

(For example, waiver of some training requirements for candidates previously licensed at a comparable facility.)

5. The requirement for receipt of license renewal applications 30 days prior to the license expiration (timely submittal) may be waived for 5 days, to allow for transit time, if all signatures on the Forms 398 and 396 are dated prior to the 30 day cut-off. The submittal will not be considered timely if received less than 25 days prior to license expiration unless positive evidence (post mark, docketing stamp or other evidence of receipt by the U.S. Postal Service or U.S.N.R.C.)

is included. The waiver will not be granted unless both the applica-tion (Form 398) and Medical Certification (Form 396) are received.

If the renewal application is received less than 25 days prior to the license expiration date, and too late for processing in the regional office, the license shall expire on the expiration date. A new license may be issued when regional processing of the application is completed.

6. Up to a maximum of one month of the three months on shift in training can be waived for determining eligibility to sit for an examination.

The waiver should be granted only if there is good cause (i.e., good Examiner Standards 2 of 3

ES-111 faith effort by utility to complete training, no other exam adminis-(Gv) tration planned for some time, license needed to meet NRC requirement),

the candidate has completed all other eligibility requirements, and the utility agrees to complete training in a timely manner and certify in writing as to successful completion prior to final licensing action.

The region should ensure that the utility's schedule for completion is compatible with the schedule for finalizing licensing actions.

7. The Medical Certificate, Form NRC 396, is good for 6 months from the date the NRC physician signs it. Waivers may be granted on a case basis for reapplications following a license denial, a voluntary withdrawal by the license candidate or a request for an upgrade examination, i.e., a new medical certificate need not be submitted I if the original medical evaluation was performed within ona year of the scheduled examination or re-examination.

8. Substitutions allowed by Regulatory Guide 1.8 and ANSI N18.1 or ANSI /ANS 3.1 (depending on the licensees commitment) are not con-sidered to be waivers and, therefore, do not require approval. For example, substitution of related technical training for up to two years of experience is not a waiver. However, related technical training would not include training required to be eligible for the examination applied for, e.g., an SR0 candidate with one year of technical school (electrical technician training at a community college), one year of R0 training, including nuclear fundamentals, two years of experience as a licensed R0 on-shift in the control f) y room, and 9 months of SR0 training would meet the eligibility re-quirements. However, if after 15 months as an R0 on-shift, he had been put into the SR0 training course, he would not be eligible because he does not have two years of experience as required. He has 15 months of experience and 9 months of required SR0 training.

9. If the facility certifies that the candidate has successfully completed an Institute of Nuclear Power Operations (INPO) accredited training program using a plant reference simulator, the Region may waive the

> requirement for .1.0 reactor startups on a research reactor typically required by NRC approved cold license training programs.

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Examiner Standards 3 of 3

ES-112 Rev. 2 4/15/86

,m APPEALS OF LICENSE DENIALS l i v' A. PURPOSE This standard specifies the pclicy and procedures for processir.g appeals of license denials on the basis of written and operating examination results.

B. BACKGROUND A candidate who is denied a license must be notified of the nature of any deficiencies or the reason for the denial and of the right to appeal the denial within twenty (20) days from the date of the notice. The denial letter accompanied by the graded examination is adequate notification of the nature of deficiencies and the reason for the denial. The " burden of proof" for overturning a denial rests with the candidate. The candidate should explain why the denial should be reversed and provide appropriate reference material and plant or simulator data to support the appeal.

Any contact (i.e., telephone) by the candidate or a facility represent-ative questioning the grading of the examination or the basis for the denial shall stop the 20 day clock mentioned in 10 CFR 2.103. However, if contact is by telephone, it must be followed up immediately in writing.

The regional office may accept appeals that are received up to ten (10) days after the appeal period has expired if there is reasonable cause for the delay such as delay in the mail or in receiving material necessary to

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'" C.

determine that the appeal of the denial should be made.

PROCEDURES FOR PROCESSING APPEALS OF WRITTEN EXAMINATION RESULTS

1. The candidate should provide plant system descriptions, operating instructions procedures and other references to support his/her position that written examination questions were graded incor-rectly or unfairly.

2. A certified examiner who was r.ot involved in the grading of the examination shall be assigned to regrade the examination under appeal.

3. The assigned examiner shall review the appeal against the Master Examination Answer Key for the specific examination, the supporting material that was provided by the utility for preparatior of the examination, and the comments and supporting material provided by the candidate with the appeal. The entire examination shall be regraded, not just the questions commented on by the caiididate.

4. If, based upon the new information provided by the candidate with the request for regrade, the candidate's examination score (total or category) changes significantly, examinations of other candTdates who scored similarly to the regraded g candidate will also be subject to review and regrading. (A

i "significant" change is not defined here in terms of a specific C) percentage point number, but would include, for example, a regrade that resulted in the passing of a candidate who initially Examiner Standards 1 of 4

ES-112 failed the exam. Changes of 2% or less generally would not be considered significant). For example, 1) if the regrade increases a candidate's category score from 64% to 70% a (+6%)

change, and this changes his er uination outcome from fail to pass, the examinations of all other candidates who failed because they scored between 64% - 69% in that category should also be regraded to determine if the new InTormation will similarly affect their licensing decisions. This applies to the total examination score also; for example, 2) a regrade similarly increases a candidates total score from 76% to 82% a

(+6%) change, the examinations of all other candidates with a total score between 74% - 79% should also be regraded. The regrade should include the entire examination, not just the failed category or the disputed portions of the examination.

Alternatively, for example, 3) if regrading results in a point decrease of 65% to 59% a (-6%) change, the entire examinations of all candidates who scored between 70% - 76% in that category should be reviewed and regraded to determine if their scores should be similarly altered. This also applies to the total exam score; for example, 4) a decrease in total exam score from 80% to 74% a (-6%) change, the examination of all other candidates with a total score between (85%-79%) should also be regraded.

5. The examiner shall indicate the changes to the examination scoring, the reasons for the changes, and any necessary support-ing material. A summary of the grading changes should be prepared, and the grading changes and summary forwarded to the section chief.

6. The section chief shall review the regrading. He may regrade categories, review changes to the original grading or discuss the regrading with the examiners. Based on this review, the section chief shall determine if sufficient justification exists to sustain or overturn the licensing decision.

7. A licensing recommendation should be made by modifying and initialing the original Examination Report and resubmitting it to the branch chief. The branch chief recommends sustaining or overturning the denial to the regional division director responsible for operator licensing. The regional division director shall review the appeal and either sustain or overturn the denial.

8. If the denial is overturned, the license is issued with an effective date consistent with that of the other licensing candidates who took the examination at the same time.

9. If the license denial is sustained by the regional division director or his designee, the candidate is informed in writing of the results of the review, including the resolution of the issues raised by the candidate. The candidate shall also be informed of the right to con-tinue the appeal by notifying the Director, Division of Human Factors ,

Technology (DHFT) within 20 days.

Examiner Standards 2 of 4

ES-112

, 10. If the candidate notifies the Director, DHFT of the intent to con-(3

\

tinue the appeal process, a copy of the candidate's appeal package shall be forwarded to DHFT. The Director, DHFT or his designee, shall review the merits of the candidate's appeal, the supporting documentation and the actions taken by the regional office during the original examination review and subsequent regional office review.

11. If the denial is overturned by the Director, DHFT or his designee, the license is issued with an effective date consistent with that of other license candidates who took the examination at the same time or consistent with the date of the origional denial letter.

12. If the denial is sustained by the Director, Division of Human Factors Technology or his designee, a copy of the entire package shall be sent to the Director and Chief Counsel, Regional Opera-tions and Enforcement Division and to the Office of Executive Legal Director.

Questions between the legal and operator licensing staffs shall be worked out, and then the legal staff will inform the l candidate of the decision to sustain the denial. The procedure for pursuing the candidate's right to a hearing is explained, j and a representative of the legal staff is identified for future contact concerning the appeal.

D. PROCEDURE FOR PROCESSING APPEALS BASED ON OPERATING EXAMINATION

( RESULTS ,

1. As in written examinations the " burden of proof" to support the candidate's position for operating examination appeals rests with the candidate. The candidate should provide the appropriate system descriptions, plant procedures, system operating instructions, simulator logs charts, recorder traces, snapshot data or process computer print outs to support the appeal.

2. Operating test appeals are reviewed by the section chief and I then discussed with the examiner who recommended license denial. At a minimum the review should consist of evaluating the examiner's notes, operating examination report, simulator scenario and the candidates contentions against the information and documentation provided with the appeal (i.e. plant systems description, operating instructions, procedures and simulator logs, charts, recorder traces, snapshot data or process computer print outs etc.) to determine if the merits of the appeal support overturning the denial or a continuance for a hearing.

The reviewer should ensure that specific examples of marginal or unsatisfactory performance are used to document each "m" or "u" and that all comments are technically and procedurally correct. Based on this review, the section chief determines if the operating examiration report provides sufficient justi-Im fication to support the denial and that the examiner maintains k the original evaluation considering the comments and justifica-tion provided by the candidate.

Examiner Standards 3 of 4

ES-112

3. A licensing recommendation is made by modifying and initialing the examination report and resubmitting it, and a written justification for the action, to the branch chief. The branch chief reviews the appeal and recommends sustaining or overturn-ing the denial to the regional division director responsible for operator licensing. The regional division director reviews the appeal and recommendation and either sustains or overturns the denial.

4. Actions for overturning or sustaining of denial from this point are the same as actions 8, 9, 10, 11 and 12 for written l examination appeals.

E. PROCEDURE FOR PROCESSING APPEALS BASED ON OTHER REQUIREMENTS

1. If on review of NRC Form 398 a candidate has not met the requirements outlined in ES-109, the regional office shall contact the training coordinator of the candidate and explain the deficiencies noted. The candidate will be given the opportunity to supply supplemental information or a new and more complete 398 form. If after supplying complete information the candidate still does not meet the requirements to sit for the examination, the candidate shall be formally notified by letter of the right to request a waiver of the requirement and to provide information or arguments to support the waiver request. The waiver request should be prccessed in accordance with ES-111.

2. If a candidate is finally denied the right to sit for an examination after a review of the complete experience, training and education information, and after denial of a waiver of the requirement that was deficient, the candidate shall be formally notified of the denial, the reason for the denial, and of the right to appeal under 10 CFR 2.103(b).

3. If a candidate is denied the right to sit for an examination or is denied a license for any reason not covered in the stan-dard, the candidate shall be formally notified of the reason for denial and of the right to appeal under 10 CFR 2.103(b).

4. Actions for processing the appeal from this point are the same l as C. 6, 7, 8, 9, 10, 11, and 12 of this standard except that the candidate is permitted to sit for an exam if the denial is l overturned instead of being issued a license as in section C.

O Examiner Standards 4 of 4

ES-201 Rev. 2 4/15/86 O

Qi ADMINISTRATION OF WRITTEN EXAMINATIONS TO REACTOR OPERATOR CANDIDATES - POWER REACTORS A. Purpose This standard specifies the various requirements and procedures for the preparaticn, administration, and grading of reactor operator license examinations. Examiner preparation, examination review by the facility staff, and proctor requirements also are included.

B. Assignment The assignment of a chief examiner will be indicated on Attachment 2 ES 103-2, l the Request To Administer an Examination. The chief examiner shall be respon-sible for ensuring that the written examination is prepared, administered, and graded in accordance with the examiner standards.

The assignment of the examination includes preparing, administering, and grading the examination unless other arrangeraents have specifically been made.

C. Orientation Trips D All examiners will prepare written examinations periodically. Preparation of an examination at a facility that the examiner has not previously visited may require that the examiner make an orientation trip to the facility a few weeks before the scheduled examination. The need for an orientation trip shall be determined by the examiner in consultation with the appropriate section chief. To minimize the need for orientation trips, examiners are expected to make maximum use of training material provided by the facility through self study and discussions with other examiners.

D. Provision of Literature Reference material to be used in preparing examinations should be requested from the facility staff far enough in advance of the examination to allow for possible delivery delays and for inventorying the material received. If the material is inadequate, it is essential to request additional material imme-diately from the facility training personnel. The training coordinator is usually the best person to contact for the material.

A list of appropriate reference material to be used as a guide is given in Attachment 1 to this standard. The examiner who requests this information shall inform the appropriate section chief of the date of request and person

contacted. During these initial contacts, the examiner shall inform the

)

facility contact of the requirements for administration of the examination,

, as given in Attachment 2 to this standard.

U Examiner Standards 1 of 18

ES-201 to this standard contains an example of the letter that will be mailed to the facility, formalizing the examination schedule and statement of requirements. Attachments 1 and 2 of this standard are examples for attachments to the letter. The appropriate section leader or chief is responsible for having this letter typed, signed by the regional branch chief, and sent. The letter snould be addressed to the person at the highest level of corporate management who is responsible for plant operations (e.g., Vice President of Operations) and should be mailed 90 days before the first examination date. The exact wording of the letter may be modified as necessary to reflect the situation.

E. Preparation of Examination The examiner shall prepare the examination and answers using Standards ES-202 and ES-203 as guidance. The examiner should conduct a detailed review of the examination using Attachment 1 of ES-107 as a guide. of ES-107 should be filed with the master copy of the examination. NRC Rules and Guidelines for License Examinations, Attachment 2, ES 201-2, should be included following the cover page in each copy of the examination.

F. Quality Assurance Review of Examination The regional section chief, or his designee, shall review the examina-tion in accordance with Standard ES-107. The completed examination shall be submitted for review at least 1 week before the scheduled date of its administration. If changes to the examination are necessary, the examiner shall be notified at least two working days before the adminis-tration of the examination, provided the necessary lead time was allowed.

If no instructions to the contrary have been received, the examination should be given as prepared.

G. Administration of Examination

1. The examiner should distribute the examination questions to the candidates.

2. The examiner should read the following instructions verbatim to the candidates. Additional items from Attachment 2 ES 201-2 may be discussed, as necessary.

During the administration of this examination the following rules and guidance apply:

a. Cheating on the examination means an automatic denial of your application and could result in more severe penalties.

b. You should sign the statement on the cover sheet that indicates that the work is your own and you have not received or been given assistance in completing the examination. This should be done after the examination has been completed.

I Examiner Standards 2 of 18

I ES-201 L

3. After passing out the examination, the examiner should ask the i O candidates to verify that all parts of the examination are.in their copy by page checking the examination, and then distribute answer sheet paper that has been furnished to the chief examiner by the facility in unopened packages.

4. The examiner should repeat the instructions that are included on the facing sheet of the examination by reading the following instructions verbatim:

a. Use only the paper provided by the examiner for answers.

b. Staple your copy of the examination questions on top of the answer sheets before turning in your papers.

c. The point value for each question is indicated in paren-theses after the question and can be used as a guide for the depth of answer required. If more points are assigned to a question, the question requires that more items be discussed.

5. The examiner should inform the candidatas that to pass the examina-tion they must achieve an overall grade of 80% or greater and at least 70% in each category.

6. The examiner should inform the candidates that there is a time limit of 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> for completion of the examination. For candidates

- taking one or more sections of a written examination, each section should be limited to one quarter of the allotted time per section.

After the examiner has completed the instructions, he should tell the candidates they have ten minutes to scan the examinations. After the candi-dates have scanned the examination and the examiner has answered any questions, the examiner should start the examination, record the time, and keep the candi-dates advised periodically of the amount of time that remains to complete the examination. Normally, a chalkboard is available and can be used for this purpose.

During the examination, candidates are not permitted to communicate or refer to any texts or descriptive material other than tables furnished by the examiner. If the examiner has asked a question that involves use of a formula or infrequently used constant, then this formula or constant will be supplied on the equation sheet. All reference material shall be furnished by the examiner.

H. Facility Staff Review of the Written Examination

1. There shall be no review of the written examination by the facility staff before or during the administration of the examination. Following the administration of the written examination, the facility staff shall be provided a copy of the examination and the answer key. The copy of the written examination provided should include pen and ink corrections for j changes made to questions during the administration of the examination.

The facility shall then have five working days from the day the exam is Examiner Standards 3 of 18

ES-201 given to provide written comments with supporting documentation to suggest additions or changes to answer key answers. These comments may be provided to the chief examiner before he leaves the site or they may be mailed to the appropriate regional office section chief. Facility staff should be informed when the exam and answer key are provided that their comments must be in the hands of the Chief Examiner or regional office Section Leader within five working days to be considered for the grading of the written examination.

2. A two hour post exam reivew attended by the NRC examiners may be held at the discretion of the chief examiner, if requested by the facility training staff. If this review is held the facility staff should be informed that only written comments that are properly supported will be considered in the grading of the exam.

3. The examination and answer key, as provided to the facility staff, along with comments and the NRC resclution of those comments shall be included in the final examination report. The final examination report is required by ES-104.C.1. Pen and ink corrections made for the applicants during administration of the written examination and supplied to the facility staff following administration may be changed to type written corrections for the final report.

I. Proctoring of Examinations All written examinations shall be adequately proctored to ensure the integrity of the examinations. Two individuals shall be available for proctoring. One proctor shall be in the examination room at all times giving his full attention to the candidates taking the examination. The proctor shall not reed facility procedures or other material, grade Gxaminations, or engage in any other activities in a manner or depth that may divert his attention from the candidates and possibly cause the examination to be compromised.

Before the administration of the examination, the proctors shall have a clear understanding of their responsibilities. The chief examiner is responsible for ensuring 100% practoring of the examination.

The chief examiner shall determine the means to be used to ensura ade-quate proctoring of the examination. Consideration shall be given to

1. using Office of Inspection and Enforcement (IE) part-time secre-tarial help

2. using more than one examiner

3. using IE resident inspectors

4. using local high school and/or college teachers / professors or other Federal, State, or local employees.

If a proctor who is not an NRC employee is used, the chief examiner shall be responsible for obtaining the proctor and ensuring that a contract has been properly placed with the proctor.

Examiner Standards 4 of 18

ES-201 At least one examiner shall be available to provide clarification to the O candidates on the examination questions. Therefore, if the person writing the examination is not available, the other examiners must be certain that they are familiar with the intent of the questions.

During the written examination the examiner responsible for answering candidate questions shall be particularly alert to questions indicating that terminology used in the examination is not familiar to candidates at that facility. The examiner should determine the terminology used at the facility and correct the terminology for all of the candidates sitting for the exam. The change may be made on a chalkboard,-if available, and called to the attention of all the candidates. When changes are made to questions during the exam, these correc-tions.should be made in pen and ink to the master copy and to the copy that is

'to be provided to the facility staff for review.

J. Length of Examinations Although the written examinations must be appropriately thorough and comprehensive, they should not be so long that a knowledgeable candidate cannot complete the examination in the time allotted. The duration of a power reactor examination is 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br />. Refer to Standard ES-202 for l

information on the scope of the written examinations. Reexaminations, which are partial examinations containing only one category, will be limited to one quarter of the allotted time. All candidates shall be informed of the time limits at the beginning of the examination.

Grading should be performed as expeditiously as possible. The number of points given to~ or taken off, for each answer should be indicated on the candidate's answer sheet, in red pen or pencil. Also, a brief nota-

tion as to the reason for less than full credit should be entered. This may be a notation of the correct answer, a missing item, an indication of poor method, or some suitable brief notation. The points and notations should be reproducible and distinguishable from the candidates answer when l

reproduced.

K. Grading of Examinations Grading shuuld be_ performed as expeditiously as possible. The number of points given to, or taken off, for each answer should be' indicated on the candidate's answer sheet, in red pen or pencil. Also, a brief notation as to the reason for less than full credit should be entered. This may be a notation of the correct answer, a missing item, an indication of poor method, or some suitable brief notation. The points and notations should be repro-ducible and distinguishable from the candidates answer when reproduced.

Grading of the written examination should not be delayed while awaiting facil-ity comments. However, all corrections to questions and answer keys shall be made before grading is considered complete and the grading of the questions for which the answer was changed must be reviewed. The original copy or legible, reproducible copies of the original proposed corrections shall be annotated with their disposition and kept with the copy of the master examination.

m After the grading is completed, Columns 3 and 4, " Candidate's Score" and

"% of Category Value," on the cover sheet shall be filled out. These scores Examiner Standards 5 of 18

4**

ES-201 shall also be entered on the front page of the appropriate operating exam

. report (form 157) and on a results summary sheet (Attachment 5 to this standard). Lab examiners shall complete these forms for those exams which they administerd or graded and shall forward the forms to the chief examiner. The chief examiner shall be responsible for ensuring that all forms are completed and summarized. The examiner shall conduct a detailed review of his grading using Attachment 1, ES-108, as a guide. Sufficient copies of the master exami-nation and answer key shall be reproduced so that at least one copy is forwarded to or retained in the regional office. If an appeal of the graded reactor oper-ctor written examination is received, the procedures in Standard ES-112 should b2 followed.

Changes to grading during the grading or review process shall be done by lining out the original grade in such a manner that the original grade is legible and a brief explanation for the change should be made on the candidates answer sheet.

The change should be initialed by the examiner making the change. Under no circumstances shall white out or other change obscuring methods be used to change the grading of examinations.

L. Administrative Details The grading examiner shall complete the written examination cover sheet showing the results of the grading and the appropriate portions of the

" Power Plant Examination Results Summary," ES-201 attachment 5, and the

" Examination Grading Quality Assurance Checkoff Sheet" Attachment 1, ES-108-1. The examiners in the team shall communicate the written grades to the grading examiner so that Examination Reports (Forms 157A, B, and C) and the " Power Plant Examination Results Summary Sheet" (ES-201 Attachment 5) are filled out as completely as possible before being forwarded to the regional office by certified mail. Written examination results should not be held pending completion of other portions of the examination. If operating examination results are not available at the same time as the written results, then appropriate sections of Form 157 should be completed and forwarded to the regional section chief. The chief examiner is responsible for ensuring that all results are reported to the section chief.

The chief examiner shall complete ES-201 Attachment 5 and assemble the following in one package to be forwarded to the regional section chief.

1. original and one copy of master examination and answers

2. all written examinations

3. all operating examination reports (NRC Forms 157A, B, and C)

4. Attachments ES-107-1, ES-108-1, ES-201-5, and ES-201-6.

5. copy of the corrected Examiner Assignment Sheet

6. copies of the as given simulator examination scenarios l When the final results have been approved by the regional office section chief and branch chief, a copy of ES 201-5 shall be mailed to the facility training manager and to the Management Assistant, Regional Support and Oversight sec-tion OLB-HQ.

If the written examination is administered much earlier than the operating ex-amination, the results of the written examination should be recorded on the Examiner Standards 6 of 18

~. - _. _.- . _- _ _ - . -.

ES-201 1

O " Power Plant Examination Results Summary Sheet" (ES-201, Attachment 5.) The graded written examinations, the results summary sheet and the grading quality review form shall be forwarded to the Regional Section Leader. After these results have been approved by the Regional Section Leader and Branch Chief, a copy of ES-201, Attachment 5 should be mailed to the facility training manager and the Management Assistant, Regional Support and Oversight Section, OLB. The final Examination Report (ES-104) should not be written until all portions of the examination have been completed.

M. Quality Assurance Review of Graded Examinations The appropriate section chief, or his designee, shall ensure that all examination results and documentation are completed and shall conduct an independent review of written answers after the examinations are graded, as required in Standard ES-108.

i 4

Examiner Standards 7 of 18

ES-201-1 O

ATTACHMENT 1 REFEFF* CE MATERIAL REQUIREMENTS FOR REACTOR / SENIOR REACTOR OPERATOR LICENSING EXAMINATIONS

1. Existing learning objectives and lesson plans (including training manuals, plant orientation manual, system descriptions, reactor theory, thermodynamics, etc.)

Training materials should include all substantive written material used for preparing candidates for initial R0 and SR0 licensing.

The written material should be inclusive of learning objectives and the details presented during lecture, rather than outlines. Training materials should be identified by plant and unit, bound, and indexed.

Failure to provide complete properly bound and indexed plant reference material will result in canceling and rescheduling of the examinations.

Training materials which include the following should be provided:

o 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 the applicable system.

o Complete and operationally useful descriptions of all safety-system interactions and, where available, B0P system inter-actions under emergency and abnormal conditions, including consequences of anticipated operator error, maintenance error, and equipment failure.

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

o Comprehensive theory material that includes fundamentals in the area of theory of reactor operation, thermodynamics, heat transfer and fluid flow, as well as specific application to actual in plant components. For example, mechanical theory material on pumps should include pump theory as well as descriptions of how these principles actually apply to major plant pumps and the systems in which they are installed (i.e. ,

Reactor Coolant Pumps, all ECCS pumps, Recirculation pumps, Feedwater pumps and Emergency Feedwater pumps). Reactor Theory material should include descriptions that draw explicit ties between the fundamentals and the actual operating limits followed in the plant (i.e., reactor theory material should contain explanations how principles relate to the actual curves used by operators to verify shutdown margin or calcu- i late an ECP). '

2. Procedure Index (alphabetical by subject)

Examiner Standards 8 of 18

l l

ES-201-1 n)

g I

V 3.

or safety)

All: administrative procedures (as applicable to reactor operation

4. All-integrated plant procedures (normal or general operating procedures)

5. . Emergency procedures (emergency instructions, abnormal or special procedures)

6. . Standing orders (important orders that are safety related and may supersede the regular procedures)

- 7. Fuel-handling and core-loading procedures,-(initial core-loading procedure, when appropriate)

8. Annunciator procedures (alarm procedures, including set points) t

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

10. Emergency plan implementing procedures

11. Technical Specifications

12. System operating procedures Piping and instrumentation diagrams, electrical single-line dia-O 13.

grams, or flow diagrams

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

15. Questions and answers that licensee has prepared (voluntary by licensee)

16. The following on the plant reference simulator

a. List of all readily available initialization points.

' b. List of all preset malfunctions with a clear identification number. The list should include cause and effect information.

Specifically, for each malfunction a concise description of the expected result, or range of results, that will occur upon implementation should be provided. Additionally, an indication of which annunciators are~to be initially expected should be given.

c. A description of simulator failure capabilities for valves, breakers, indicators and alarms.

d. Where the capability exists, an explanation of the ability to O vary the severity of a particular malfunction should be provit'ed, i.e., ability to vary the size of a given LOCA or steam leak, or the ability to cause a slow failure of a component such as Examiner Standards 9 of 18

ES-201-1 a feed pump, turbine generator or major valve (e.g. drifting shut of a main feedwater control valve.

e. An indication of modeling conditions / problems that may impact the examination.

f. Identification of significant differences between the simulator and the control room,

g. Copies of facility generated scenarios that expose the candidates to situations of degraded pressure control (PWR), degraded heat removal capability (PWR and BWR) and containment challenges (BWR) may be provided (voluntary by licensee).

h. Simulator instructors manual (voluntary by licensee)

i. Description of the scenarios used for the training class (voluntary by licensee)

17. Additional material required by the examiners to develop examinations that meet the requirements of these standards and the regulations.

O The above reference material should be approved, final issues and should be so marked. If a plant has not finalized some of the material, the chief examiner shall verify with the facility that the most complete, up-to-date material is available and that agreement has been reached with the licensee for limiting changes before the administration of the examination. All procedures and reference material should be bound with appropriate indexes or tables of contents so that they can be used efficiently.

O Examiner Standards 10 of 18

ES-201-2

. ,-~

( _,,) ATTACHMENT 2 REQUIREMENTS FOR ADMINISTRATION OF WRITTEN EXAMINATIONS

1. A single room shall be provided for completing the written examina-tion. The location of this room and supporting restroom facilities shall be such as to prevent contact with all other facility and/or contractor persor.nel during the duration of the written examination.

If necessary, the facility should make arrangements for the use of a suitable room at a local school, motel, or other building. Ob-taining this room is the responsibility of the licensee.

2. Minimum spacing is required to ensure examination integrity as

- determined by the chief examiner. Minimum spacing should be one candidate per table, with a 3-ft space between tables. No wall charts, models, and/or other training materials shall be present in the examination room.

3. Suitable arrangements shall be made by the facility if the candi-dates are to have lunch, coffee, or other refreshments. These arrangements shall comply with Item 1 above. These arrangements shall be reviewed by the examiner and/or proctor.

-s 4. The facility staff shall be provided a copy of the written examination

/

s and answer key after the last candidate has completed and handed in

\s_ -) his written examination. The facility staff shall then have five working days to provide formal written comments with supporting documentation on the examination and answer key to the chief examiner or to the regional office section chief.

5. The licensee shall provide pads of 8-1/2 by 11 in. lined paper in

unopened packages for each candidate's use in completing the exam-ination. The examiner shall distribute these pads to the candidates.

All reference material needed to complete the examination shall be

- furnished by the examiner. Candidates can bring pens, pencils, calculators, or slide rules into the examination room, and no other ~

{ equipment or reference material shall be allowed.

6. Only black ink or dark pencils should be used for writing answers to questions.

e 4

4 I

l Examiner Standards 11 of 18

_~ - . ~ , . . _ . . _ _ _ _ _ _ _ _ . . _ _ . _ , . - . . _ . _ . _ . , _ . _ _ . . _ . _ _ _ _ . . _ . , , _ . , , , , _ . _ , _ . . _ . . . _ _ _ _ _ _ . . _ _ _ _ _ __,

ES-201-2 NRC RULES AND GUIDELINES FOR LICENSE EXAMINATIONS During the administration of this examination the following rules apply:

1. Cheating on the examination means an automatic denial of your application and could result in more severe penalties.

2. Restroom trips are to be limited and only one candidate at a time may leave. You must avoid all contacts with anyone outside the examination room to avoid even the appearance or possibility of cheating.

3. Use black ink or dark pencil only to facilitate legible reproductions.

4. Print your name in the blank provided on the cover sheet of the examination.

5. Fill in the date on the cover sheet of the examination (if necessary).

6. Use only the paper provided for answers.

7. Print your name in the upper right-hand corner of the first page of each section of the answer sheet.

8. Consecutively number each answer sheet, write "End of Category " as appropriate, start each category on a new page, write only one side of the paper, and write "Last Page" on the last answer sheet.

9. Number each answer as to category and number, for example, 1.4, 6.3.

10. Skip at least three lines between each answer.

11. Separate answer sheets from pad and place finished answer sheets face down on your desk or table.

12. Use abbreviations only if they are commonly used in facility literature.

13. The point value for each question is indicated in parentheses after the question and can be used as a guide for the depth of ane.wer required.

l 14. Show all calculations, methods, or assumptions used to obtain an answer to mathematical problems whether indicated in the quertion or not.

15. Partial credit may be given. Therefore, ANSWER ALL P4RTS OF THE QUESTION AFD 00 NOT LEAVE ANY ANSWER BLANK.

16. If parts of the examination are not clear as to intrnt, ask questions of the examiner only.

17. You must sign the statement on the cover sheet that indicates that the work is your own and you have not received or been given assistance in ,

completing the examination. This must be done after the examination has been completed.

l l Examiner Standards 12 of 18 t

. . . . _ _ - _ _ - - . . . - - . . - - - . = . . - - .

ES-201-2 r

f  !

' ~

18. When you complete your examination, you shall:

a. Assemble your examination as follows:

-(1) Exam questions on top. '

(2) Exam aids - figures, tables, etc.

(3) Answer pages including figures which are a part of the answer.

l

b. Turn in your copy of the examination and all pages used to answer

the examination questions.

c. Turn in all scrap paper and the balance of the paper that you did

not use for answering the questions.

d. Leave the examination area, as defined by the examiner. If after leaving, you are found in this area while the examination is still

, in progress, your license may be denied or revoked.

l 1

1

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i l Examiner Standards 13 of 18 i

ES-201-2 ATTACHMENT 3 LETTER TO FACILITY FORMALIZING EXAMINATION SCHEDULE To:

Date:

Subject:

Reactor Operator and Senior Reactor Operator Licensing Examinations In a telephone conversation between Mr. (title, i.e., training coordinator) and Mr. (section leader, OLB) arrangements were made for the administration of the examinations at the (facility name).

The written examinations are scheduled for (date). The simulator /

operating examinations are scheduled for (date) and the (name) simulator. The plant oral examinations are scheduled for (date).

In order for us to meet the above schedule, it will be necessary for the facility to furnish the approved reference material listed in Attachment 1,

" Reference Material Requirements for Reactor / Senior Reactor Operator Licensing Examinations," by (date). Any delay in receiving properly bound and indexed reference materiaT V il result in a delay in administering the examinations. Our examinations are scheduled far in advance with consider-able planning to utilize our present limited examiner manpower and to meet the examination dates requested by the various facilities. Therefore, cissing the (date) deadline, even by a few days, likely will result in a long delay because it may not be possible to reschedule examinations at other facilities. Mr. has been advised of our reference ma-terial sets that are required, and the examiner's names and addresses where each set is to be mailed.

The facility management is responsible for providing adequate space and facilities in order to properly conduct the written examinations. , " Administration of Reactor / Senior Reactor Operator Licensing Written Examinations," describes our requirements for conducting these examinations. Mr. has also been informed of these requirements.

In addition, to better document simulator examinations, the chief examiner will have the facility simulator operator record prespecified plant condi-tions (i.e., plant pressure, temperature, pressurizer level, etc.), for each simulator scenario. The candidate will be responsible for providing this information, along with any appeal of his simulator operating examination.

Therefore, the facility training staff should retain the simulator examina-tion scenario information until all candidates taking the examination have either passed the operating examination or all appeals filed by the candi-dates who failed the operating examination have been completed.

Examiner Standards 14 of 18

ES-201-2 (O Attachment 2, also contains the Rules and Guidance that will be in effect h during the administration of the written examination. The facility management is responsible for ensuring that all candidates are aware of these Rules.

All reactor operator and senior reactor operator license applications should normally be submitted at least 60 days before the first examina-tion dates so that we will be able to review the training and experience of the candidates, process the medical certifications, and prepare final examiner assignments after candidate eligibility has been determined.

If the applications are not received at least 30 days before the exami-nation dates, it is likely that a postponement will be necessary.

This request for information was approved by the Office of Management and Budget under Clearance Number 3150-0101, which expires June 30, 1986.

Comments on burden and duplication may be directed to the Office of Management and Budget, Reports Management Room 3208, New Executive Office Building, Washington, DC 20503.

Thank you for your consideration in this matter. If you have any ques-tions regarding the examination procedures and requirements, please contact Mr. (a)propriate section leader and telephone number), or Mr. (0LB 3 ranch Chief) or regional section chief and telephone number).

Sincerely, (0LB Branch Chief or_ appropriate regional representative)

Distribution: Project Manager Resident Inspector Regional Section Leader Examiners Chief Examiner NRC Project Offices O

Examiner Standards 15 of 18

ES-201-4 O

ATTACHMENT 4 NRC/ FACILITY STAFF WRITTEN EXAMINATION REVIEW GUIDE Facility Examination Date

1. This examination and answer key is provided for your review and is a matter of public record as provided except that pen and ink corrections to the exam for the candidates during administration of the examination may be changed to typewritten corrections.

2. Written comments on this examination and answer key must be provided to the chief examiner or regional office section chief along with supporting material, if any, within five working days to be considered in the grading of the written examinations.

3. After comments and supporting material are provided to the chief examiner or regional office section chief, no other comments on the written examination will be accepted.

4. All comments and supporting materials supplied on this review are subject to release on request under the Freedom of Information Act.

Therefore, any material considered to be proprietary should be appropriately marked.

O Examiner Standards 16 of 18

i ES-201-5 ATTACHMENT 5 Power Plant Examination Results Summary xxxxxxxxxxxx -

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ES-201-6 O

ATTACHMENT 6 EXAMINATION ADMINISTRATION QUALITY ASSURANCE CHECK 0FF SHEET Plant / Unit Examination Date Examiner (s) Proctor (s)

EXAMINATION: Operator Senior Examination Administration Chief Examiner Item Description Initial /date

1. Adequate Spacing during examination

2. Examination Room and Restroom facilities adequate to prevent examination compromise.

3. Continuous proctoring maintained throughout examination

4. Examination and answer key provided to facility reviewers after completion of written examination.

Chief Examiner Signature Date O

Examiner Standards 18 of 18

c i

ES-202 Rev. 2 4/15/86

! SCOPE OF WRITTEN EXAMINATIONS ADMINISTERED TO REACTOR OPERATORS - POWER REACTORS (wi A. Purpose

! This standard provides guidelines for the content of each category of the reac-tor operator written examination. Guidance on question depth, format, sources and general preparation is also presented.

B. Scope

The required scope of the written examination is set forth in 10 CFR 55. To im-L plement this scope and to provide for identification and documentation of strengths and weaknesses within certain areas of knowledge, the written examina-tion shall be divided into the following four categories:

1. Principles of Nuclear Power Plant Operation, Thermodynamics, Heat Transfer, and Fluid Flow This category shall contain questions relating to basic nuclear reactor behavior, elementary nuclear reactor theory, technical terminology, and

! an appreciation of the processes taking place in a nuclear power plant.

These processes include controlled and variable parameters of the reactor, primary and secondary coolant, and auxiliary systems. Values that are ex-pressed as normal or operating parameters or values that are measured as resultant characteristics shall be included in this category.

I(G

' ' Also included shall be questions relating to the traces that one would see on recorders during normal and abnormal transients, with the emphasis on facility behavior rather than instrument characteristics. Secondary sys-tem transients that induce reactor transients also shall be subject ques-l tions in this category.

This category also shall contain questions on fundamentals of hydraulics and fluid flow, heat transfer and heat generation, and thermodynamics and

[ simple calculational problems to determine understanding in this area.

These questions will test the candidates' knowledge and understanding of the concepts of temperature measurement, density, viscosity, pressure, and volume and the effects of parametric changes on fluids. Questions relat-ing to the use of steam tables may also be included. The principles of heat transfer by conduction, convection, and radiation, as well as charac-teristics of heat exchanger operation and natural circulation, shall be investigated in this category. Also included may be questions concerning the applicability of these fundamentals to operational situations and transients and the ability to recognize and mitigate the consequences of

( core damage.

I Answering these questions may require mathematical ability including alge-bra and fundamental knowledge in reactor physics. Questions in this cate-gory shall be related to reactors in general and reactors of the type used at the facility.

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Examiner Standards 1 of 6 L

ES-202

2. Plent Design, Including Safety and Emergency Systems This category shall contain questions on the design features of the parti-cular facility, with emphasis on those systems that are designed to main-tain, and protect against, the uncontrolled release of radioactive mate-rials. The candidate should be able to reproduce, from memory, sketches or descriptions of various hydraulic, pneumatic, or electrical distribu-tion systems and mechanical components. Questions on design intent, con-struction, operation, and interrelationships of those systems most directly associated with normal nuclear power plant operation and reactor safety can also be included. The candidate should be familiar with the condi-tions that require the use of safety and emergency systems and why such protection is required, with emphasis on areas where a malfunction will require immediate operator action.

3. Instruments and Controls This category shall contain questions on the characteristics and interre-lationship of the nuclear, process, and radiological instrumentation and facility control systems. The candidate should have sufficient knowledge of the nuclear instruments (e.g., source, intermediate, and power), the process instruments (e.g., temperature, pressure, level, and flow), and radiological instruments (e.g., ionization, G-M, and scintillation), to answer questions concerning principles of detector operations, location and setpoints of instruments, and diagrammatic representation of instru-mentation systems. Questions on control systems (e.g., control rod drive, level, pressure, electrohydraulic control, and integrated control) will include function, operation, interlocks, and interrelationships with other plant systems.

A candidate is not expected to have the knowledge of an instrument techni-cian, but answers should indicate the ability to recognize the indications and consequences of improper instrument performance (e.g., overcompensa-tion, power failure, air supply failure, and signal failure), including the traces that recorders would show. He also should be able to make use of all available instrumentation to provide checks or verification of observed readingt,.

4. Procedures - Normal, Abnormal, Emergency, and Radiological Control This category shall contain questions on the knowledge and use of facility procedures incit: ding normal, abnormal, emergency, administrative, and radiological control procedures. The candidate is not expected to have normal procedures committed to memory but should be able to explain rea-sons, cautions, and limitations of normal operating procedures. In gen-eral, the candidate must demonstrate complete knowledge and understanding of the symptoms, automatic actions, and immediate action steps specified by abnormal and emergency procedures. Questions concerning radiological control procedures will be asked to the extent that the operator is re-sponsible for personnci protection against the hazards of radiation and for controlling, discharging, and monitoring radiological releases. Ad-ministrative procedures, including operating restrictions, limitations in the facility license, and Technical Specifications, may be included to the extent they are directly applicable to an operator and the safe operation of the facility.

Examiner Standards 2 of 6

ES-202

,m

) C. Facility Management Control The scope of the written examination will include aspects of the management philosophy as set forth in facility documents. Because the examination and license are applicable only at the facility under application, it is appropri-ate for the examiner to include the applicable administrative controls. These questions are best included in the categories covering operating procedures and health physics.

The continuous availability of health physics and chemistry personnel for rou-tine and emergency monitoring and investigation reduces the need of an operator to be proficient in the use of portable monitoring equipment. This fact should be considered when questions cre constructed in this category.

D. Accident-Related Questions It is recognized that the study of incidents or accidents at other reactor facilities can provide valuable lessons for an operator at his facility. It is appropriate and desirable to hypothesize accidents or circumstances leading to accidents at the facility under application and examine the candidate's analysis, corrective actions, and other responses. Therefore, postulating circumstances, in the examination, that are similar to those that have occurred elsewhere is both appropriate and realistic.

E. General Guidance m O) i

1. Technical Specification questions for reactor operators should be concep-tual in nature (e.g., recognition of limiting conditions for operation and Technical Specifications that exist for a given area).

2. Memorization of symptoms and automatic and operator actions of all proce-dures that require immediate action is necessary for the examination.

3. The examination should include questions to determine a candidate's under-standing of his responsibilities related to the administrative procedures, precautions, environmental and radiation release requirements, and pressure /

temperature limits.

4. Questions on health physics and chemistry procedures should be determined on the basis of the facilities' type of health physics coverage.

5. Extended definitions questions (e.g., 6-factor formula) should be avoided.

6. Questions on detailed system characteristics or instrumentation, such as annunciator logic or setpoints, should be avoided unless required for safety system operations.

7. Topics for the written examination should be based on the following:

a. for examinations at PWR facilities, the knowledges and abilities in NUREG-1122 (R0/SR0 K/A Catalog) that have sufficiently high impor-

/ tance ratings, as well as being deemed important by the exam devel-(j\ oper.

Examiner Standards 3 of 6

~

ES-202

b. facility reference material, including facility learning objectives used in the candidates' training program (s). .

c. past examinations given at the facility should also be reviewed to l avoid unnecessary redundancy in topics covered at the same site over short periods of time.

8. Sources of examination questions include:

a. the Examination Question Bank

b. examinations at similar facilities

c. personal files of questions and answers (yours as well as other examiners)

9. Examinations shall be 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> long. Include as many questions on the examination as can be reasonably answered in that time period. A rule of thumb is:

a. multiple-choice, true-false, matching, and completion items generally #

require no longer than 2 minutes to answer

b. short answer questions generally require 3-4 minutes to answer

10. All examinations questions should be " objective" in the following regard:

a. there should be only one correct answer

b. all qualified graders would agree on the amount of credit alloted for any given candidate response.

To meet the above stipulations, short answer questions should be as pre-cise and specific as possible to ensure that the candidate clearly knows what constitutes a fully correct response. " Discuss" type questions and other relatively vague wording of the requirements for a correct answer should be avoided.

11. The format of test questions should conform to the following stipulations:

a. at least 50% of the exam should consist of short-answer questions

b. no more than 25% of the exam should consist of questions requiring longer (essay) type responses

c. no more than 25% of the exam should consist of multiple-choice, true-false, matching, or completion (fill in the blank) questions

12. Multipart questions should be broken down into logical sequential parts.

The answer sheet should show points assigned for subparts of answers.

13. Double-jeopardy questions should not be used.

An example of a double-jeopardy question is:

1.3(a) Draw a single-line diagram of the cleanup system show-ing all automatic control valves.

(b) Explain the principal of operation for each control valve in part (a) above. (Rationale - If a candidate shows only (3) of (4) valves in part (a), he would lose points in part (b).)

Examiner Standards 4 of 6

ES-202 A better way to state the question is:

[]

1.3 Attached is a single-line diagram of the cleanup system.

For the valves marked A-D on the diagram:

(a) Identify the valve, and (b) Explain the principal of operation for the valve.

14. The value of a question should be based on its importance to safe, compe-tent operator performance, the amount of time required to answer the ques-tion, level / depth of knowledge of the question, and question difficulty.

The value of a question should be compared with that of other questions in the category to determine if the value is appropriate.

15. Questions should be read and reviewed for content and wording by the author and at least one other examiner or supervisor. Reviewers should try to put themselves in the position of the candidate when reviewing questions to ensure that the stipulations and requirements posed in the question are complete and unambiguous, that all necessary information is provided, that all unnecessary information is deleted, and that the answer in the answer key clearly follows from what is asked in the question.

16. Vague, "Open-ended" questions should be avoided. If a specific number of responses are required, the question should clearly state that expectation so the candidate will know when the answer is complete.

An example of an open-ended question is:

V 3.1 List the signals that will automatically isolate the charging and letdown systems.

A better way to state the question is:

3.1(a) List three signals that will isolate the letdown system.

(b) List two signals that will both isolate the letdown system and trip the charging (makeup) pumps.

17. The examination should be verified to see if it satisfies the requirements of Standards ES-201 through ES-203 and a quality assurance review sheet, Attachment 1 ES-107 shall be completed.

l

18. The examination should be submitted to the appropriate regional section chief at least 5 working days before the examination date for review and comment.

19. All equations required to answer parts of the examination should appear in the equation sheet or be explicitly asked for in the question itself. l

20. Diagrams or sketches should be used as attachments to written examinations.

Questions that request candidates to identify components and other items on these attachments should be asked. The use of these attachments is O preferred over the alternative that requires candidates to construct time-consuming, single-line diagrams and sketches. Make sure that diagrams and l Examiner Standards 5 of 6

ES-202 sketches are easy to read, clearly marked, and provide an effective and easily interpretable way for the candidate to demonstrate his knowledge of the topic / concept.

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Examiner Standards 6 of 6

ES-204 (Ov )

Rev. 2 4/15/86 ADMINISTRATION AND PREPARATION OF WRITTEN EXAMINATIONS FOR REACTOR OPERATOR CANDIDATES - NON-POWER REACTORS A. Purpose This standard specifies the difference in preparation and administration of non power reactor operator written examinations and power reactor operator examinations. The specifications in Standard ES-201, 202 and 203 apply when no difference exists for non power reactors. Sections of ES-201, ES-202, or ES-203 which are different for non power reactors are indicated in parenthesis after each paragraph heading.

B. Examination Administration The adm*71stration of the written examination will be consistent with that for power r(actors as specified in ES-201 with the following exceptions:

1. Pron sion of Literature (ES-201, paragraph D)

The reference material available from a non power reactor facility may be signi-ficantly more limited than the list indicated in Attachment 1 to ES-201. Refer-ence material which is unavailable should be deleted from the list on a case

( basis. Additionally, the letter sent to the reactor facility formalizing the

(~j examination arrangements should be addressed to the facility director or equiv-alent. If the letter to the facility director cannot be mailed in the time specified in ES-201, Paragraph D., due to scheduling conflict, the letter for-malizing the examination should be sent immediately after an informal schedule is agreed upon by the region and the facility.

2. Administration of Examination (ES-201, paragraph G.5 and G.6 and paragraph J) i) The examiner should inform the candidates that to pass the examina-tion they must achieve at least 70% in each category.

ii) The examiner should inform the candidates that there is a time limit of 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> for completion of the examination. For candidates taking one or more sections of a written examination, each section should be limited to 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br />.

C. Examination Preparation (ES 201, paragraph E)

The examiner shall prepare the examination and answers using Standards ES-202 and ES-203 as guidance, except as modified by this standard. The examiner should use Attachments ES-107-1, ES-108-1, and ES-201-6 for quality assurance checks of the examination, the examination grading, and the administration of the examination. The passing grade for noh power written examinations is at least 70% in each category. A copy of the examination and answer key should be g j forwarded to the appropriate regional Section Chief for review. Attachments V ES-107-1, ES-108-1, and ES-201-6 should be filed with the master copy of the examination.

Examiner Standards 1 of 6

r ES-204 D. Examination Scope (ES-202, paragraph B.)

The required scope of the written examination is set forth in 10 CFR 55. To implement this scope and to p.rovide for identification and documentation of strengths and weaknesses within certain areas of knowledge, the written examina-tion shall be divided into seven categories:

Category A. - Principles of Reactor Operation This category contains questions relating to basic nuclear reactor behavior, elementary nuclear reactor theory, technical terminology and an appreciation of processes taking place in a reactor. Answering these questions does not re-quire mathematical ability in excess of ordinary algebra or detailed and ad-vanced knowledge in reactor physics. Questions in this category relate to reactors in general or to reactors of the appropriate class.

Category B - Features of Facility Design This category contains questions about the design features of the particular facility, with emphasis on the reactor, auxiliary systems and experimental facilities, as applicable. It generally requires the candidate to reproduce, from memory, fairly detailed diagrammatic sketches or descriptions of various hydraulic, pneumatic or power distribution systems or reactor vessel and core components. It also inquires into design intent and the more important design parameters. Generally, parameters expressed as limits (e.g., maximum flow, maximum excess reactivity, maximum step reactivity insertioa, maximum pressure) or fixcd numerical velues for fabrication (e.g., enrichment, dimensions) are investigated. Elements of design and operation of the experimental facilities associated with the reactor should also be explored in this category.

Category C - General Operating Characteristics This category contains questions on controlled and variable parameters of the reactor and auxiliary systems. Values which are expressed as normal or opera-ting parameters (e.g. purification flow rate, reactor tank temperature, fuel temperature, storage tank level) or values which are measured as resultant characteristics (e.g., temperature coefficient, reactivity worth, pressure drop) are investigated. Questions relating to the manner in which power, reac-tivity, rod worths, or other parameters of this facility would change in re-sponse to rod manipulations, heatup, core born up, experiment insertion or other stimuli are in this catego"y. Questions relating to the traces that one would see on recorders, in response to these changes should also be included.

The questions should emphasize facility behavior rather than instrument charac-teristics.

Category D - Instruments and Control This category contains questions on the characteristics and interrelationships of the nuclear and process instrumentation and control systems. These ques-tions will inquire into the principles of operation of detectors, location and settings of instruments, diagrammatic representation of instrument and control systems and details of control rod drives design operation. It is not intended that a candidate must display the knowledge of an instrument technician (unless Examiner Standards 2 of 6

k ES-204

[^h it is part of his licensed responsibilities at a particular facility), but his answers should indicate the ability to recognize the indications and conse-

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quences of improper instrument performance (e.g., over-compensation, power fail-ure, air supply failure, signal failure) including the traces that recorders would show. He should also be able to use all available instruments to provide checks or verification of observed readings.

Category E - Safety and Emergency Systems This category contains questions on the design, construction, operation and interrelationships of the systems most directly associated with reactor safety, such as scram and other power reduction systems, pressure relief, spray systems, emergency power systems, and annunciated malfunctions. The candidate should demonstrate thorough knowledge of detailed design, characteristics, and operat-ing methods for these systems. He should also be familiar with the conditions which require the use of such systems, and the reasons why such protection is required.

Category F - Standard and Emergency Operating Procedures This category contains questions on the procedures for the operation of the reactor and auxiliary systems, including administrative controls. In general, a candidate must demonstrate complete understanding of the immediate action steps specified by abnormal or emergency procedures and to describe generally, the normal, abnormal and emergency operating procedures. If he is given n several steps in a normal operating procedure, he should be able to put them

( ) in proper sequence. Operating restrictions in the facility license may be in-V cluded herein, to the extent they are directly applicable to an operator.

Category G - Radiation Control and Safety This category contains questions on terminology, radiation hazards, radiological safety practices and fixed and portable radiation monitoring equipment. The candidate should demonstrate knowledge of the type and magnitude of radiation hazards which might be expected to be present and knowledge of the methods to cope with them. He should know facility regulations and the general provisions and precautionary procedures of 10 CFR Part 20. The candidate should be able to understand and utilize portable equipment and describe type, location, ap-proxinate range and alarms associated with fixed equipment. He should know the limitttions as well as the applications of this equipment.

E. Facility Management Control (ES-202, paragraph C)

The scope of the written examination is influenced, to a certain extent, by aspects of the management philosophy as set forth in facility documents. Since the examination and license are applicable only at the facility under applica-tion, the examiner shall consider the administrative controls in effect. This aspect is usually reflected in the examination areas of operating procedures and health physics. Procedures which clearly and comprehensively elicit the required operator action and require that even minor irregularities be immedi-ately referred to seninr operators necessitate less analysis and judgment by

/O the operator. The continuous availability of health physics personnel for rou-

) tine and emergency monitoring and investigation reduces the need of an operator Examiner Standards 3 of 6

ES-204 for proficiency with portable monitoring equipment. The converse of each of these examples is also valid. However, in order for management controls to be considered as sufficiently established, they should be reflected in the facility license or literature in a form binding on the operating staff. In all cases, the examination shall reflect (1) the level of knowledge necessary for the safe operation of the facility; and (2) the responsibility delegated by the facility to the operator.

F. General Guidance (ES-201, paragraph E)

The general guidance contained in Standard ES-201, is also applicable to written examinations for non power reactors. Attachment 1 is a results summary sheet for non power license examinations.

G. Examination Structure (ES-203, paragraph 8, C, D, E)

1. Each written examination shall be divided into seven categories in accor-dance with Section D of this standard. A cover sheet, with the format shown in Attachment 2, ES-204-1, shall be used on all written examinations.

2. The relative weight of each category in the examination, as a percentile of total worth, should be 14% 12% for each category, whenever possible. l However the relative importance of safety and emergency systems vary sig-nificantly over the range of sizes and types of Research Reactors. There-fore, in order to comply with the 10 CFR 55 criteria "...to the extent applicable to the facility..." the weighting of the examination categories should be based on the professional judgement of examiners experienced in the operation and examination of non power reactor facilities and approved by supervision. The general structure of the examination shall be such that a safe operator will score 70% or greater in each category. In addi-tion, the length of the examination shall be such that a candidate would complete the examination within five hours, thus leaving one hour for re-view.

O Examiner Standards 4 of 6

ES-204

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ES-204-2 Attachment 2 U.S. NUCLEAR REGULATORY COMMISSION REACTOR OPERATOR LICENSE EXAMINATION Facility: Reactor Type: Date Administered: Examiner: Candidate: INSTRUCfl0NS TO CANDIDATE Use separate paper for the answers. Write answers on one side only. Staple question sheet on top of the answer sheets. Points for each question are indi-cated in parentheses after the question. The passing grade requires at least 70% in each category. Examination pacers will be picked up six (6) hours after the examination starts. Category % of Candidate's  % of Value Total Score Cat. Value A. Principles of Reactor Operation B. Features of Facility Design C. General Operating Characteristics D. Instruments and Controls E. Safety and Emergency Systems F. Standard and Emergency Operating Procedures G. Radiation Control and Safety Final Grade 1 All work done on this exam is my own. I have neither given nor received aid. Candidate's Signature O Examiner Standards 6 of 6

 <  )

U ES-301 Rev. 2 4/15/86 ADMINISTRATION OF OPERATING EXAMINATIONS TO REACTOR OPERATORS AND SENIOR REACTOR OPERATORS - POWER REACTORS

A. Purpose This standard specifically pertains to the administration of the operating l examinations to applicants for reactor operator and senior reactor operator licenses at power reactor facilities. Generally, senior reactor operator " upgrade" examinations will only be administered to those operators who have held a valid (RO) license for at least 1 year. l Specific exceptions may be made for those individuals who by virtue of education and experience possess the credentials to apply for an " instant" senior reactor operator (SRO) license. Guidance for determining eligi-bility for license examinations is in ES-109.

B. Examination Requirements The scope of the operating examinations is covered in Standard ES-302 for reactor operators and senior reactor operators. However, for clari- [m fication it is necessary to specify the control manipulations that are C) required for each category of the operating examinations. For those' facilities that have a plant-referenced simulator, a simulator examination l will be required for reactor operator and senior reactor operator (instant and upgrade) examinations. The in plant portion of the operating examina-tion should be shortened as indicated in Section D of this Standard when a plant reference simulator exam is given. For candidates at plants without a plant-referenced simulator, reactor operators and instant senior reactor operators must perform a reactivity manipulation on their plant (usually a reactor startup) or obtain a certification from an NRC-approved simulator training program in'accordance with the require-ments of ES-109 B.2.d.e. and f or D.2.d.e. and f. Upgrade SRO candidates holding a valid R0 license on the facility for which the exam is being given, are not necessarily required to perform a reactivity manipulation as part of their operating examinations. These standards (ES-300 Series) apply to both the plant walk through and simulator portions of the i operating examination. C. Assignment Assignment of the task of administering the operating examinations is l made on the Request To Administer the Examination as set forth in Stan-dard ES-103. The examinations should be arranged on a time schedule mutually satisfactory to the. candidates, facility licensee, and examiners and should cover the scope, set forth in Stano'drds ES-202, 302, 306, 402 p or 404, as appropriate. . b n Examiner Standards 1 of 35;

ES-301 O D. Scheduling As a general rule, operating examinations are scheduled after the written cxaninations; however, other sequences are permissible. The same examiner shall administer the simulator and plant walk through parts the operating examination. If this is not possible because of schedule conflicts, the examiner's notes should be very complete so that the last reviewer has sufficient information to make the final evaluation. Examinations normally will be administered on regular work days although overtime may be required. It is desirable, whenever possible, to complete the examination of a candidate on the same day it is started. If comple-tion of the examination is not feasible, a logical stopping point shall be reached. At an operating reactor where the canaidates have not been certified at a simulator, it may be necessary to administer all of the actual reactor startup portions of the operating tests in one specified period of time to accommodate the utility load demands. In cases where a simulator is used for the administration of the operating test, special arrangements l cay be necessary to make the most efficient use of simulator time. On occasion, examinations may involve weekend or shift work, but in these cases this will have been prearranged by the examiner (or chief examiner) and the facility licensee. When large groups of applicants are to be examined at power facilities, the chief examiner should schedule the operating examinations so that l cach examiner will administer two examinations each day with a maximum of four examinations for each examiner. Under no circumstances should an examiner be required to administer more than five examinations in any one week. There is no specified time for the minimum or maximum length of an operating examination. However, for scheduling and resource officiency purposes, the normal length of the exam should be 4 to 5 hours. Operating examinations given at plants with plant reference simulators shall be comparable to operating examinations given at plants that do not have plant reference simulators. The time of administration may vary due to the additional time required for travel, briefing simulator cperators and candidates, and other delays associated with administering the simulator part of the operating examination. However, the actual length of the operating examination should approximate the normal guide-lines. The examiner should adjust the material covered on the plant walk through portion of the operating examination to account for the operations observed during the simulator part of the operating examina-tion, and he should not complete pages 3 and 9 of forms 157A and C or page 5 of form 157B when a simulator demonstration is included. The examiner may further reduce the redundancy of coverage by completing only 1 major, 1 auxiliary and 1 engineered safeguards system in the control room on page 4 of the 157A and 157C. These may be follow-ups on Examiner Standards 2 of 35

( (v/ ES-301 systems that were involved in the simulator portion of the examination or they may be systems that were not examined during the simulator operation. The examiner may also give the applicant credit for nuclear theory, thermodynamic theory, radiation protection, electrical systems, and emergency plan actions to the extent that these topics are covered by the simulator part of the examination. lhe simulator examinations should be scheduled reasonably close to the administration of both the plant walk through part of the operating examinations and the written examinations in order to use the examiner resources efficiently and to minimize the length of time between the start and finish of the entire examination process. The following guidelines should be followed unless special conditions exist:

1. Cold Examinat. ions The written axaminations should be scheduled 1 to 2 months before the fuel leading date.

2. Hot Examinations Normally the operating and written examinations shall be scheduled (UA) to be completed during one visit by a group of examiners at facili-ties when the simulator is located on the plant site. Special scheduling arrangements shall be negotiated with the facility when the simulator is remote from the plant site. In this case, the written examination may be conducted at the plant site or the simulator site.

i

3. General Several alternate methods can be used to complete the combination simulator and plant walk through parts of the operating examination when the simulator and plant are located on the same site. When tSis situation exists, every effort should be made to complete the simulator and plant walk through parts of the examinations on the same day. The ideal situation is three examiners examining one senior and two operator candidates or other combinations of three candidates. Tha alternates shown below are examples of schemes that can be used if less than the ideal situation exists. It is the responsibility of the chief examiner to ensure that all candi-dates are examined in accordance with the standards. See ES-302, Developing Cimulator Examinations for details.

a. Alternate 1

 / '

Day 1 - Two examiners work as a team on the simulator. Exam-( iner A administers the examination to Candidates 1, 2, and 3, while Examiner B administers the examination to Candidates 4, 5, and 6. The candidates are paired off so that two examiners Examiner Standards 3 of 35

ES-301 and two candidates are in the simulator control room simulta-neously. Each examination lasts about 2.5 hours. Day 2 - Examiner A administers the plant walk through part of the operating examination to this three candidates as does Examiner B. Each plant walk through portion of the examination shall last about 1.5 hours.

b. Alternate 2 Day 1 - Examiner A administers the simulator examination to candidate 1; simultaneously, examiner B administers the examina-tion to candidate 2. Both examiners and candidates proceed to the plant to conduct the walk through part of the operating examination thus completing the examinations for candidates 1 and 2. Afternoon examinations are similar except that the plant walk through part of the examinations are conducted first so that examiners do not have to reenter the plant security area. Each examiner completes two full combination simulator and plant walk through examinations.

c. Alternate 3 Two examiners conduct examinations at simulators with candi-dates 1, 2, and 3. Examiner A observes and discusses manipu-lations of controls with candidates 1 and 2 who are designated as operators. Examiner B examines candidate 3 at the senior level, and candidate 3 is assigned the role of shift supervisor.

The candidates rotate positions so that all candidates fill all positions. Questions are tailored to the appropriate level, senior operator or operator. Six or more candidates are examined on the simulator per 8-hour day. Adjustments can be made when an odd number of candidates are to be examined. Plant walk through examinations are completed on subsequent l days following the simulator examinations. 1 Senior operators and operators should be scheduled for an optimum mixture. l A senior operator with one or two operators is preferred. If this is not possible, senior operators can be designated as operators on a rotating basis. E. Orientation of Examiners Each examiner should become as familiar as possible with the specific facility through previous visits and the information supplied by the facility in preparation for the examinations. As a minimum, the chief examiner should arrange for a tour of the facility by each examiner accompanied by a facility staff member. This tour is usually made the day before oral examinations are scheduled to begin, should concentrate on the control room, and should not be conducted by one of the candi-dates. For examiners visiting the facility for the first time or who Examiner Standards 4 of 35

(x

      \
  'd                                                                               ES-301 have not made a site visit in a considerable length of time, a more extensive orientation is necessary. Orientation may also include use of the simulator if it is available without irepacting the facility's training.

Preplanned simulator examination programs may be tried out during the orientation period. To make certain that the candidates do not learn of the actual examination programs, the examiner should alter the programs used in the orientation periods and should not use the actual program when members of the facility staff are present. Suitable arrangements should be made by the chief examiner for more extended or additional orientation visits. F. Candidates All candidates for licenses at the facility under application are listed on Attachment 2, ES 103, the Request To Administer the Exarcination and normally should be administered both the written and operating examina- l tions. One exception is at facilities with a large number of applicants where the written examination often will be given a few weeks before the operating examinations. In these cases, where the written examinations under 10 CFR 55.21 and 55.22 have been graded and the facility licensee has been informed of the candidates who have failed, the persons who m have failed will not be given an operating examination. l (b

     \

Candidates sometimes will withdraw from the examination at the last moment. If the examiner encounters this situation when he arrives on site, he should request a letter withdrawing the application of the individual (s) from the facility staff. This letter should be forwarded to the appropriate regional administrator. In rare instances, candidates may withdraw after the examination has begun. The examiner will infcrm such candidates that this is cause for automatic denial of application and request the candidate to sign a voluntary withdrawal statement. G. Personnel Present The number of persons present during an examination should be minimal both to ensure the integrity of the examination and to minimize distrac-tions to the candidates. If an actual reactor startup or other reactivity manipulation is performed as part of the examination, a licensed operator or senior operator must be present in accordance with 10 CFR 55.9(b). During control room discussions, additional shift crew personnel will be present as required by NRC regulations. If the examiner believes that the number of persons or the noise level in the control room is exces-sive, he should request the shift supervisor or other facility staff personnel to take appropriate action. p In no case shall a member of the facility training staff or other candi-date be allowed to witness an operating examination. Examinations are l T'j not to be used as training vehicles for future candidates. Examiner Standards 5 of 35

ES-301 Another examiner may be present either to witness the examination as part of his training or to audit the performance of the examiner adminis-tering the operating examination. Other observers, such as resident l inspectors, regional personnel, researchers, or NRC supervisors, may be allowed to observe operating examinations if (1) the chief examiner has approved the request to observe the examination, (2) the candidate does not object to the observer's presence, and (3) the facility representa-tive has approved the request to observe. H. Use of Documents and Materials During the administration of the operating examination, the candidate l should be allowed and encouraged to make use of any of the information that normally would be available to a licensed operator at that facility, including calibration curves, previous log entries, piping and instrumen-tation diagrams, calculation sheets, and procedures. The examiner shall inform each candidate of this fact before the examination. The candidate also shall be informed that he will be held responsible for knowing from memory the immediate actions of emergency procedures. I. Reports of Examinations A separate Examination Report has been developed for each type of exam-ination: Form 157A for reactor operators, (Attachment 1), Form 1578 for upgrade senior operators (Attachment 2), and Form 157C for instant s:nior operators (Attachment 3). The front page of the appropriate report form will be filled out for each candidate. If only a portion of the examination is administered by an examiner, the front page of the form will be completed for the portion completed. The examiner should only make comments on the front page that are relevant to determining a pass or fail conclusion. He should expect such comments t0 be seen by the candidate and facility training personnel because each cindidate is sent a copy of his examination. He should recommend passing or tailing the candidate on the portions he administered in the appro-priate blocks (s) at the top of the 157. The chief examiner should approve or not approve for license at the bottom of the page. The examiner must recommend approval or disapproval of the application based on the results of the entire examination. If the candidate fails any or all parts of the writ, ten or operating examination, the examiner l must recommend denial. The responsible regional official will review the examination results and sign the appropriate block to issue or deny a license. If he does not cgree with the recommendation, the examiner or chief examiner shall be con-farred with before the recommendation is overturned. Although such dis-agreements are not common, they usually arise because of inadequate justi-fications in a denial recommendation. It is therefore very important for cn examiner to be complete and accurate in his grading aFd ccmmerts. See ES 302 and 303 for guidence on grading and justification b,f grading operat-ing examinations. Examiner Standards 6 of 35

(wJ ES-301 An Operating Examination Summary Report (Form 157 A, B, or C, page 2) will be prepared for each candidate upon completion of the operating examination. On this report, the examiner shall summarize his evalua-tion of the candidate's performance and his knowledge and understanding of and competence in the systems discussed. The examiner should use a designation of "S" for satisfactory, "M" for marginal, and "U" for unsatisfactory. The summary report is based on the examiners operating plant walk through l examination notes, the use of which is explained in Standards ES-303, ES-304, and ES-305. The summary report contains a column for indicating the page number of the notes where information justifying the evaluation for that subject can be found. This column must be completed when the evaluation is unsatisfactory or marginal. This is necessary to indicate to the review- l ing technical and legal personnel at headquarters or the regional office the specific reasons for the unsatisfactory (or marginal) determinations. (ES-303) contains additional guidance regarding justification.) J. Reference [ g 1. Title 10, Code of Federal Regulations part 55.23 and 55.25. l l, a t v Examiner Standards 7 of 35

ES-301-1 ATTACHMENT 1 OPERATOR EXAMINATION REPORT ES 301 nac roam wa. Pese i e s =ucts An asoutavoav counsension e a ' % wee a

     '8 #                                                                                                                         55-OPERATOR                                                                T'PE OsnEActoa   tvPE Os a Au EXAMINATION REPORT                                                                   '0*1"               'N'Y'At ihSvmuctica S pee.uss as se '     .

emessee te Pomer are hea Power meeresse $menos e en nee enese se asan pone teacta NON POWER a E 7 Aet E La%DeGa f 4 & kawa at ac tva goc a t egg WAITTEN ERAMINATIOas aOwi%inttat0 e

• Datt W AIV E D OPE R ATOR Ganoso ev Gaaot E v Atuat EON l$ecteen $$.2Fl p, Laitwa r 1  % 3  % 3 g a  %

a  % g Ga4 Des b lE C  % l0  % I t {s  % G l s AILEO OPE RATING TEST aowi%isttato av Davt A Alv ED

                                                                                                                                                     "'D (Sectroo $$ 23)

F AILE D seDT l l COLD 8848ULATOR TEST INet especette es th Asoctemet ADes.as,gtgang av Dart W4lVED JEstfres $&38J _ PAS 5EO FA8 LED cowet

• 5 6 9

t 1 1 l l e..-.

                                       .Ic APP 40vE *On OPE R ATon Lact N$E
                                                .NoAT,0N                                                         . . aw %, -

l... DO NOT AP'#0vE Fon OPE RAT 0a Lice %E

     '5At eco%se sspew ,                                                                         se m a     6.c av.m s m .                                   j ca*6 l Data Examiner Standards                                                                      8 Of 35

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  \
 -w ES-301-1 E S-301 f,"h, Form is7A. Pm 2                                    REACTOR OPERATOR OPERATING AND ORAL EXAMINATION $UMMARY REPORT EVALUATION
                                                                                                                                          *Page
                     *for eeth unsersfactorgr (~U"1. lost the pape number (s) Of the operarong ovat easmaneten notes on whoch the   RO    ""for ensetraterrory repenses og enJpenwd                                                                                    'V*

1, OPERATINo DolsCussiON O DEMONSTRATION 1.1 Preetsrtup or lastrument Checks 1.2 Console operstens e Men putet ons

h. Understanduqi

2. FACILITY EOuiPMENT e Mesor

b. Ausdiary

c. Enewwered Se'eeuerde Svstems e Electrical

 \

3 INSTRUMENTATION

e. Nuclear

b. Process

4. PLANT PROTECTION

S. PROCEDURE

S '

                         . No,me,

b. Offnormal/ Abnormal

c. Esuurgmasy

8. a. RE ACTIVITY EFFECTS (Escept conscie Operationi

b. THERMOOVNAMICS AND HYDRAULICS

7. ADMINISTRATIVE REOutREMENTS 8 EMERGENCY PL AN

9. RADIATION PROTECTION AND SAFETY

10. RESPONSIBILiteES COMMENTS I

b) (v/ es,. 2 Examiner Standards 9 of 35

ES-301-1 ES303 NRC Form 157A. Page 3 (9 841 OPERATING Aho OR AL (iXAMINATION NOTES A OPER ATING DEMONSTR ATION CHECK Okt l RE ACTOR ST ART UP l l START 4JP SPECIFICATIONS l l SIMULATOR DEMONSTR ATION 1.1 Pre-etartup or lastrument Checks. Tvpe of checkout. ispecifvl 11.1 Familiarity w.th check sheet 1.12 Accuracy swhen read.ng snstrufnents 1.13 Understand ng of wehat es tie.ng checked 114 Understanding of reasons for checkout 11.5 Effects of maw unctions 1.16 Knowedge of Contros Room reference date 1.1.7 Plant parameter verification IECP heet befence, etc.) 1.2 Connoie Operation a Init.at condit.ons-b Progrem-UNDE R ST ANDING 121 Ab iaty to predict response for specified program 12.2 Understanding of instrument response 12.3 Knoveledge of reactevity effects M ANIPUL ATION S 124 Follows procedures 12 5 Ot> serves and checke instrumentation 126 Ab.lity to follow specif.ed program accurately 127 (Jesterity and " feel" for console controls COMulNT5 tRene red for "u") Page J Examiner Standards 10 of 35

I t'

   \

N' ES-301-1 E S 303 NRC Form 157A. Page 4 / SYSTEMS / IS 84) 8 CONTROL ROOM I46epr. AanderP and Eerneered severwards Systems) 7A f 8 f C f D f E f F f G / M f 20 EQUIPMENT 21 Purpose 22 F w Path 23 Normal Parameters 24 Compoaeats 25 System Gehevor and Response 30 INSTRUME NT ATION 3.1 Detector 32 Mutfunction

       ~h

• 33 Control Room Indicaten

         /

40 PLANT PROTECTION 41 AWms/Setpoints 42 Safety System input 43 Interlocks 5.0 PROCEDURES 5g Normet Procedures 62 OffnormeltAbnormal Procedures 5.3 Emergency Proceerres 6 0A. RE ACTIVITY EFFECTS B. THEftMODYNAMIC ANALYSIS / THERMAL EFFECTS 70 ADMINISTRATIVE REQUIREMENTS 71 Technicad Specit<steoas 7.2 Facdety Requwements COMMENTS IMequerd for "U~l

     /N                                                                                             OcoNTiNuto ON nEvEnst Page 4 Examiner Standards                                          11 of 35
                                                            ,, . , _ , ,. n         .- -- .,---.                 - - - -           g      -, -

ES~301-1 f,aj, % isu.r ,s E$ 303 COMugNysf % O l l l l i i Page 5 I Examiner Standards 12 of 35

b. i ) ES-301-1 E5 303 NRC Form 157A, Page 6 / svsTEM5 / IS 841 8 CONTROL ROOM (Lewer and Fe&stoon instruments) IA / B [C [ D/ E [ 30 (NSTRUME NT ATION 31 Detectors 32 Moduact oas 3.3 Control Room ladicatens 34 Channel Components 35 Compensaten/ Discriminator 36 6aput to Control System 40 PLANT PROTECTION 4.1 Aisems/$stpoints

   ^

42 $sfety Syste* aw 43 faterlocks 50 PROCEDURES 51 Normal Proce&res 5.2 Offnormal/ Atmormel Procedures SJ Smerosasy N 7.0 ADMINISTRATIVE REQUIREMENTS 7.1 Techa. cal Specificatens 7.2 Facd ty Requirements COMMENT 5 (Megwed for "Lt~/ i i 1 [O Page 6 Examiner Standards 13 of 35

ES-301-1 ES303 NRC Form 157A, Page 7 / SYSTEMS / (9 84) B CONTROL ROOM (Enec rescali

                                                             /A / 8 / C / D [

20 E QUIPME N T 21 Purpose 22 Flow Path 23 Nortnet Perameters 24 Componenti 25 System Senacor or Response 30 IN ST RUME NT ATION 32 Interlockn 34 Control Room ind,ces on 50 PROCEDURES 5l Normas Procedures 5.2 Offnormaal Abnormal Procedures SJ Emergency Procedures 70 ADMINISTRATIVE REQUIREMENTS l l 71 Techn.cas specif<stions 7.2 Facility Requwements COMMENT 3. (Aequerect for "t/~) t 1 1 Page 7 l 1 Examiner Standards 14 of 35

    ,s f      I kJ ES-301-1 ES 303 NRC Form 157A, Page g                                                    /          SYSTEMS              /

19 84# C. REACTOR AND AUX!LIARY BUILDINGS iPower Reactors) 4 Mar. Audary, Doctrncal Safeguards, Fuel Hand 1mg. Red Wastel F ActLITY WALK THROUGH INortPower Reactorsi [ A / 8 / C / D / E / F f 20 EOuiPMENT 22 Fsow 9sths 23 Normal Parameters 24 Eavipment Location 25 System Behacor and Response 30 INSTRUME NT ATION 38 Local instrumentation 50 PROCEDURES S1 Normes procedures (Locad 5.2 Offnormall Atinormal Procedures (Locall EJ Emergency Processes (Laced [ \ 60A RE ACTIVITY EFFECTS i* I

9. THERMOOYleAteC ANALYS45/ THERMAL EFFECTS 70 ADMINISTR ATIVE REQUIREMENTS 7.1 Techr* cal Specif catens 72 Fac.t ty Requeremente 80 EMERGENCY PLAN 8t Action Levels 82 Response and Duties 83 Other Emergencies II,re, secursty, etc J 90 RADIATION PROTECTION AND SAFETY 91 Radiation Sources and Herards 92 Rad.ation Protection Procedures 93 Knowledge and Use of PortetWe lastruments 94 Weste D sposet Procedures 10 0 R E $ PONS 181 LITY COMMENTS

  /

r Page 8 Examiner Standards 15 of 35

                                                                                                                          $s

ES-301-1 E 5303 [ SYST E MS / NRC Form 157A, Page 9 (S 84) D On$CUSSsONS linterpreted heet Mesponsel f A ( 8 ( C/ O f 20 EOulPMENT 26 Components Retoonie 30 INSTRUME NT ATION 34 Control Room Ind. cat.ons 3.8 Automate Control 3.9 Atphty to Men.puiste Manuel Control 40 PLANT PROTECTION 41 Automat.c Actions 4.2 A4erm/Setpoints 50 PROCEDURES 6.1 Normal Procedures 52 OMnormal/ Abnormal Procedures 5J Emergersy hacedures 60 RE ACTIVITY EFFECTS AND THERMOOYNAMIC ANALYSl$ 63 Coe# cont EMeets/Reactm EMeets 66 Transent Analves/ Thermal EMects 70 ADMINISTR ATivt REQUIREMENTS 71 Technicai Spec t. cat.ons 72 Facility Requirements COMMENTS tRoouwed for U~) Pop 9 Examiner Standards 16 of 35

                     .                ._                    ..m..     . ._                   _ _                 _      _     _    ._            m  .

7^\ ES-301-1 ES-303 NRC Form 157A. Paes to 19 84) j5 s ( T-D. DISCUS $10N g 60 PRINCIPLES OF NUCLEAR POWER PLANT OR NON POWER REACTOR FACILITY OPERATION A RE ACTsylTY EFFECTS (Nuceer Theoryl 61 Sutcritace Muitewerion 62 De'eved Neutrons Effect 6.3 Coeffacents 64 Poison Effects 5 65 Long Term Esposure Effects t 8. THERMODYNAMICS AND HYDRAULICS

                                         $4 h Tehens 4

8.7 Fwse Oierereelsties ' 64 lasiewmeator on 69 tuengean Care Comerg/ Core Cooke 1 COMMEN15 theewored for *v*t i Page 10 Examiner Standards 17 of 35

ES-301-2 ATTACHMENT 2 SENIOR OPERATOR UPGRADE EXAMINATION REPORT ES 301 ua muctaas seoutAtoav counam o= m a ' *w=*t a mac % mis e.e. i

      '*'                              SENIOR OPERATOR UPGRADE 55-TY" 0' "E^cron      TYPE OF E.XAM EXAMINATION REPORT                                                          ER              INIW INSTRUCTONS Provase es the adormenon roousased for Power and hoower Reactors.

Screened noms do not apply to Newoower Reactors NON-POWER RETAKE tanu.oa te t mawe ata(tva tocarson IWWITYth EXAMcNAYtON aow.asisvtato ev Daf t WAIVED gggen net statom samoso av Gasos E v AtuAYeoN (3errass 65221 l PASSED CA,,oo., . .- j. . i, . a . . eamos = s le s l2 s ls s lt s l F AstEo OPERATING TE87 ace.a .srango e, para WAlvEC ($0cten $$ 23) F AtLED

                                                                                                                                     ! =         1 lems SetsOLATCR TEST taast asemansaar e,5 _           AussemeJ Ace #=,svenso ev                                                                   onru                     a a so um ~ ,,

l 1 RE consut NDAvaoN s.w%a t vat - e asu %e a ca t t APPROVE rOR SENIOR tsCENSE DO NOT AP* ROVE 80R SENIOR LICENSE

        .m. m . =,. -                                             j oa,.         o. ,, a < a, .o= ,,          .

pa .. Examiner Standards 18 of 35

ff'

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           )

ES-301-2 NRC Form flFB. Pose 2 (9 $4# ES 301 SENIOR OPERATOR UPGRADE OPERATING AND ORAL EXAMINATION

SUMMARY

REPORT avaLuatsom DESCRIPTION paGa NON POWER REACTORS SRO gyggg , l POWER REACTORS l 1 CONTROL ROOM 1 FACttfTY ADMINISTRAftON 11 sh.ft Twenovee 1.1 Facery Controle 1.1.1 Lags and Records 1.2 Fecary Pehrence Meteral 1 i Contrad Room Deie i 21 Tschacal Specif catens i 13 Emergency Pian 12 2 procedures 14 Plant Opersoons 12 3 Reest.on Proesci.on 12 4 Poins and lastrumentation Drawings t 2 S Computer y Entwnsted Crescal Pos. tion Deteeminsten 2 RESPONSIBILITY AND AUTHORITY 2 FACluTY WALK THROUGH ,/ \

\                     21 Emergency Piens                                        21 Plant Systeme 2.2 Piant Opeestion                                       2.2 Core Alteretsons 2 3 Fuel Looene                                           2.3 Redeten Protecten 2 4 Surve. seance 2 4 Securwy 2 S Secutify 3 DISCUSSIONS                                             3. DISCUS $10N 31 Trene.enis                                            31 Trene.ents 3 2 React.wiv EHects                                     3 2 Reactury ENects 3 3 Tr. --- c.nemes                                      3 3 Thermal EMects svMWs % s b O
\

b Examiner Standards 19 of 35

ES-301-2 O NRC F orm 1875. Psee 3

         'I 88'                                                                                                                E$304 OPERATING AND ORAL EXAMINATION NOTES l                    POWER RE ACTORS                              l                 NON POWER RE ACTORS 1 CONTROL ROOM                                                      1 FACILITv ADMINISTRATION                       E V A LUA TION 11 Sh ft Turnover                                                    11 Facdsty Controis 11.1 Logs and Records                                                a Logs and Records a Shif t S.eervisor                                             b. Equement Out of Servce

b. Operet.as c. Espenmental Facetes

c. Jumper and Ldied Leeds d Key Control d surve.ise we e Survedences e Teet'ne f. Other (Spec 4#

f Kev Contres e Other (Speer48

3. Maintenance 1.2 Control Room Referecce Dets 1.2 Facety Reference Materel 1_21 Techncol Specif cetens a Techncal Spec 6fcatens a Ch.nees b. Procedures

b. Reportang Requirements c. Pgeng and instrumentation Orewings

c. d Facety Curves d e Core Loading 12 2 Procedures t Other (Spec *rl 12 3 Redetion Protecten 1.3 Emergency Plan (Leave evafuerson NenH a Release Rates a. Dutes/ Personal Aangnments b Enoomsre Lanets b Evaeusten Crnere/ Types of Emsegences c Radiaten Work Perm.ts 14 Mont Operatens (teave evaurers NanH 12 4 Pe no and instrumentsten Dre ings a Startup/ Shutdown 12 6 Computer b Espenments 12 8 Piant Pe<emeter V er f. cat.on IECP, Hest Seience, etC . C $teady $ tate Operaten comenst N t s COMMENTS CONTINuf D ON THE Rf vf mSE e.,r >

Examiner Standards 20 of 35 {

O) ES-301-2 NRC Form 1878 Pege. E S 304 19 84r OPERATING AND EXAMINATION NOTES (Continued / 2 RESPON5ttiLITY AND AUTHORITY 2 FACILITY WALK THROUGH 21 Eevergency Piens 2.1 Pient Systems a Spech a Dutes

b. Types of Em.gences b.Soech

                  . .       _ c.   ..e                                                            l          I

d. Personnel Aangriments 2 2 Plant Operations 2 2 Core Afteratens

2. . sie,to. . Re n P.oced <e. l l 2 2.2 shutsown b. Fuel / Component Handhn.

a. u me, .. F ,Com on.n sio,s.e l l

b. A. tom.te l l

                         ..t_.._                                                                  l          l s
                         . .ot.,_...~.o_                                                          l          l 2 3 Fuel Headhag                                   2 3 Radietson Protection 2 31 Storage                                      a Personnel Exposure Contros 2 2 2 ..t..I,                                     b__ m                         l          l

2. so, ea.. Te.t.ng _

2 41 lastrumentation and Conteel c. Redweste Reisease 22_._, I I 2 . .._ity 2.. _ l l eoe..n,. l l l l 1 I I I I P s O cowvi~Ts co=Tiauso ou T~e anviais e. l Examiner Standards 21 of 35

ES-301-2 O NRC Form 1578. Poes 5 19 84: I1304

                                                                          /   vaamsee mts   l l
                                                                                 /

3 otsCUSSION

                                                                                      /
                                                                   ./ A / 8 /C / )..

31 Transees 311 Comoonents 3.1.2 tastrurr.ents

a. Control Room Indecations i

b Automatec Control l I I I 313 Reactor Protection l l l a Autornate Actions , I i

b. Alarm 5etooents _

l  ! 3 f.4 Analysis _

e. Coeffeeene affects tL Safety systern latereth 3 i s Pem.ou,es l l

                  . So.cw                                                   l      !

b. Spech 316 Phvoce sNects

s. Reacttwity effects

b. Thermal effects CoMMsNTS O Couussrs Comrimuso om iss RevsRss Examiner Standards 22 of 35 l l

1

7^N 1

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5 s

k ES-301-2 a.C ,- i r.. Ps.o .

ES 304 19 441 POWER REACTOn$ l NON POWER REACTORS . 1 - 3 DeSCUS$ SON iTheory of Nucasar Fecary Opererenes 3 DesCUSSION (Coa: - - 3 2 Reettwerv EMacts 321 Poner ermeessee and Decrosses a. Power increases and Decessee. 3 2 2 Asei and Redied Larners. Bases b. Rod Worth 3 2.3 Long Term Easoeure EHects C. Long Term famwe EMects 3 2 4 Nenon Osc.tievens d Esservment EMeets 3 2 5 Shuidown haerg.a e. shuidown Meripn/Esose. Reartrvey

                                                                                                                                ?

3 2 0 Dropped Red f. Droceed Rod /$tuch Red 3 2.7 Suncretzed BAdveaustion 8. Sutw:rinces Munehcanon 3 2 8 $suct Rod h. Cosmcsens , I 3 3 Tr _ _r.nemes and Hveevies 3 3 Thermal EMeca 3 31 Steam Tetwee a. Core Cochng

 /a k

s 3 3 2 Pressure-Temperesure Curvue b Hest besence

  \.                       3 3 3 enetrumentai.on                       e. Instrumentenon 3.3 4 Purre characteristics 3.3 5 taedecs,ete Care Coahne 3.3 5 Opostens Ansys.s 3.3 7 Water Hammer 3 3 8 Heat Seience e n . re
       \

l \ s O cOMwE=Ts cO*TimutD O= THE nEvEast Examiner Standards 23 of 35

ES-301-3 O ATTACHMENT 3 SENIOR OPERATOR EXAMINATION REPORT E$ 301 nace urc.Poe.a w a aructs An assutAvoav caaseeissions 19 S4i u n$$e '_wveen SENIOR OPERATOR TvrE or REACTOR TYPE oF 5.XAM EXAMINATION REPORT PowfR iNmAt (NSTRUCTPONS Pnmos se the ydormaten requested for Power and Non Powse Reactors - - Sooened werne do noe coch a > Non Power Reortors NoN POWER RETAKE (a=w.uaeeaname me ac i va Loc a v eon svRtTYEN ERAMcNATION ao ... a. o . . on e. ssNeon

• Aiv t D OPEnAron 6amoso e. ca sos E v atua riON f5srten 55 221 l 7ASSE D

c. .com. . . i . . I, . e . ,

G"'O' u sle s l2 s le s lt s l l f AtLED OPE m A f f MG TElY aces +staaeo s. oave

• Alv E D PASSE D

($seve= 55 22s f AtLED I mY l l coLo SJMulATOR TEST (Alot aunAcabe as hNoner Reactors) now.ai.staneo e. oAta marvfD

                                                                                                                                                                                        ~

rasses am pagg0 FAILED (vaawe %'t mE COMaet NO A TIOas w %. i s t t a av s6 an . .

• APPROVE 80m HNiOm LeCE NSE DO NOT APPnOvt FOa sa NaOn LeCENst me ,.< . o ..

[ . .. oe,. a .sa. . - . pa,, Examiner Standards 24 of 35

1 l, \

 >    d k)-                                                                                                                                                 ES-301-3 8eRC FORM 197C. Page 2 4 886                                                                                                                                        E 5301 SENIOR OPER ATOR OPERATING AND ORAL EXAMINATION $UMMARY REPORT E V ALU ATION
                                                                                                                                                                 *eaGE Nwases n
                     *For sera casenskvery ("t/~A Ast ene sees awneerW of she asereony ered esemannen asses en aAch me                               3RO              Fom veees ertory s          respeasse are espe w                                                                                                       -u-1 OPfaATING                                        O oisCussiOss      O onMONsTR ATiON ii P e             ,t   end ia.ms-ma Csea.

I2 Coasse Oss apea e Meaevuis.ea.

b. Unasqueneae 1.3 Piene Directeen and Centree 2 F AcetITY EOuiPMENT e Meier b Ausiiierv h

                         .      E,      ae ea se      di s.. e,a.

d Etsctacal 3 aNSTRUMENTATION j e feucteer b PreAn. 4 PLANT PROTECTION 6 PWlOCEDURES e toornet

b. ORnormase A6aarmas

                         & Sulupulur 4 e RE ACTIVITY EF F ECTS l$ supt Ceseele Operateal

b. THERMOOvNAMics AND MvDRAULics

                      ? ADMINISTR ATIVE REQUIREMENTS S RE SPONSitiLITil$ AND AUTMOmifit$

e Rad.eten Protection sad Centrol I b ivaeresare Plea a Other Det.a one Repe.eeinies COMWtNTS Page 2 Examiner Standards 25 of 35

ES-301-3 kmC FORM 157C. Pege 3 q,34: E1305 OPER ATING AND ORAL EXAMINATION NOTES A. OPE R ATING D EMONSTR ATION E V ALUA TION CHECK ONE l RE ACTOR $TARTUP l [ tT AR TUP CE R1:s tc Af f08st E ESR8ULATOR Dm*TRATtO8t i i 1 Pre Startuo or Iastewment Cher ke. Tvpe of Checkout faaecefri t i 1 F ern.fierity eu.th checksheet 112 Accuracy ownsa reading .astruraeats 113 undersionene of u=het e teas choc hed 114 Understeneng of eessoas for chec kout 1 1 Console Operet.oa e in t.et conet ons , _

b. Proyom

e. Understeneag i 21 Abetety to ored.ct respease for spec f.c proyem 12 2 Understeneae of instrument response 12 3 K nom = sedge of reect...tv ef+ects d Manicu set.ons 12 4 Fo48como procedures 12 5 Observes and checks astewmeaisten 12 6 Ab.t.tv so follom, specif.ed proerem acevreteev f.2.7 Dester.tv and " feet" for console coatects r 13 Plant / FecAtv Deection and Corittoa 13.1 Ab s tv to d.,oct piaat operet.on 13 2 P8 eat peremever veeit.cet.on If CP heer beesare ere f l 13 3 Techa.ces specif.cet.oa reau rements 13 4 E au.pmeat 005 reau.comenes t 3 $ I spe .menter F x d ties iNon Power Restpors orw,e COMMt ro T S Page 3 O

Examiner Standards 26 of 35

yy- [' \ N ES-301-3 NRC FORM 157C. Pe7e 4 (9 84) E S-305

                                                                                /                SYSTEMS                            /

B. CONTROL ROOM (Major, Ausikery and Enernerred Safeguards Systems) f A f 8 f C T D f E f F f G f H f 20 EQUIPMENT 21 Purpose 22 Flow Path 23 Normel Parameters 24 Components 25 Sysiam Behavior and Response 30 INSTRUMENTATION 31 Detector

  /"%
 /     j              3r Ma18 unction 33 Control Room ladication 40    PLA NT PROTECTION 41    Alarms /Setpoints 42 Safety System taput 43 invertocks 50 PROCEDURES 5.1   Normal ProceA es P

5 2 OttnormasiAbnormal Procedures- . 5.3 Einergency Procedures 60 A Reactivity Effects 8 TL.. _ _ _ _ Anseves/ Thermal Effects 70 ADMiw'*i W;,I i 40UIR EMENTS 71 Technicos Specifications 72 Facelety Requirements cou ufN15eneneereeter~u~)

       \

(' OCONTiNUED ON RE VERSE Pegs 4 A Examiner Standards 27 Of 35

                                                                                                            . ~

ES-301-3

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ES-301-3 O NRC FORM 157C, Page 7 19 see ES 306

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C. REACTOR AND AUXILIARY BUILDINGS IPower Renetors) IMetor. AUnihis!Y. Electrical Safeguarde, Fuel Het6ng! FACILITY WALK THROUGH INon-Power Reactors) [A / 8 / C / D [ E /F [ 20 EQUIPMENT 2.2 FhHu Paths 2.3 Normel Paremeters 24 Eouipment Locasion 25 System behov or and Response 30 INSTRUMENTS 38 Local lastrumentet on 50 *ROCEDURES 51 Normal Procedures ILocall 6.2 OffnormeUAbnormal Procedures flocall 32 gamesseney Pseusenes ILees11 / 6.0A. REACTIVITY EFFECTS i ( B THERMODYNAIACS ANALYSIS / Thermal ENects 7.0 ACMINISTRATIVE REQUIREMENTS 71 Techad Specif catione 7.2 Facehty Reorirements COMMENTS (Aegwren & *E/"J l

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ES-301-3 O NRC FORM 157C. Page 9 gg 34: E S-305

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D. DISCUSSIONS (Integrated Plant Response) T A ( Bf C f D f 20 E QUIPME NT 26 Components Response 30 (NSTRUMENTS 34 Control Room indecations 38 Automatic Control 3g Abelsty to Mensculate Manual Controt 40 PL ANT PROTECTION 41 Avtomatic Actions 42 Alarm /Setsents 50 PROCE DURES 5.1 Normel Procedures 5.2 Offncemal/ Abnormal Procedures l s2 sm. enc %,es 60 RE ACTIVITY EFFECTS AND THERMODYNAMIC AN ALYSIS 6 3 Coeffcont Effects /Raactivity Effects 66 Transent Analyse /Theemal Analyses 70 ADMINISTRATIVE REQUIREMENTS 7.1 Technecal Specefications 7.2 Facehty Re<luerements COMMENTS iRequered for 'V*l i Pope e t Examiner Standards 32 of 35 1

Q ,/ ES-301-3 esRC FORM 187C. Page toe tDest 68 306 D. Ol8CUSSION (Pomer Assetwel g 60 THEORY Of NUCLEAR P'MrtR PLANT OPERATION A REACTMTV EFFECT dNucteer Theorvf 8 A 9 Sutre tecer Mu*tisNet ea 6 A 2 Doeved Newwoas G Hect 8 A 3 CoeNegate 4 A 4 Po eaa iMacu

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m. e.e. to. es m 0 015CLSSa0N tho*Neer Reecsorsi T5 35 6 0 THEORY OF NON POWER REACTOR FACIUTY OPlRATsDes 6 i React very EMects e Supervices Mulig*caten b Dropped Rod / Stock Rod c CoeMeants d f sporenent (Norts e Long Term Esposure EMects t Rod Worth J Shutdown Meeg n!Escess Reactvey n Powee incessees and Decreases 6 2 Thermal IMects a C., Cochne b Heat Generce c tantrumenteren S 9 Reseten Protection Control e Source end Hage_rde of Radiation D Esposure Leiwis f 80 CFR M Facetys I

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4 h e i l@ I l. ES-301-3 ! NRC FORM 157C. Pep ,t (9 84: E S-305 i ' COMMENT 3(cont sy s i i i I i 4 5 i r I t 1 i i I i n i@ i . i i l r I i i i t I

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ES-302 Rev. 2 4/15/86 iO) V SCOPE OF OPERATING EXAMINATIONS ADMINISTERED TO REACTOR OPERATORS AND SENIOR REACTOR OPERATORS - POWER REACTORS A. Purpose This standard lists the general scope and objectives of the operating examina-tion. The operating examination is a practical oral examination that tests the candidate on operation of the reactor and associated plant systems. The oper-ating examination shall include a plant walk through on plant systems and their operation and may also include examination on a plant reference simulator or a startup demonstration (examination) on the facility reactor. The wide varia-tions in concepts, design, and operation of licensed facilities make it impos-sible to delineate precise procedures applicable to all facilities. The scope of the examinations, as described below, should be applied, as appropriata, to allow the examiner to make judgments in accordance with Standard ES-301. B. Examination Requirements All candidates for reactor operator (RO) and senior reactor operator (SRO) li-censes are required to be administered an operating examination except in cases l n where a waiver has been granted in accordance with 10 CFR 55.24. The scope and (N content of the examinations will depend on the type of license applied for (R0, instant SRO, upgrade SR0) and the availability of a plant reference simulator. When the operating examination includes a simulator examination, the plant walk through portion of the examination should be reduced by the material suffi-ciently covered on the simulator portion such that the operating examination is equivalent to an operating examination at a facility that d es not have a plant reference simulator. The clarification of reactivity manipulations is detailed in Standard ES-301, Paragraph B. This standard explains the scope of the oper-ating examination, as required by 10 CFR 55.23. C. Rules of Practice For all operating examinations, the examiner should brief the candidate on, or ensure that the candidate is aware of,

1. the general conduct, scope, and length of the examination and any other pertinent information

2. the fact that the examiner is a visitor at the facility and is to be so treated according to facility procedures

3. his right to seek clarification of the examiner's questions when necessary

4. the fact that the examiner cannot reveal the results at the conclusion of the examination v

Examiner Standards 1 of 33

ES-302

5. the candidate's obligation for demonstrating a responsible, safe attitude toward facility operation.

6. that the exam is open book and that he may use plant references that are normally available to operators.

Notes: (a) Attachment 1 to this standard (ES-302) should be used to brief each candidate just prior to the in plant walk through portion of the operating examination. (b) When a simulator exam is given it should precede the plant walk through part of the exam. The plant walk through part of the exam is easily adjusted to sup-port the systems, transients, procedures and knowl-edges tested on the simulator part of the exam. It would be more difficult to adjust the simulator exam, and the examiner may find it necessary to conduct a longer and more thorough plant walk through if the operating examination portions are given in reverse order. D. Developing Simulator Examinations

1. Reference material needed for preparing examinations should be requested from the facility in accordance with the requirements of Examiner Standard ES-201. A list of appropriate reference is provided in attachment 1 to ES-201.

2. The assignment of a chief examiner will be indicated on the Request To Administer an Examination. The chief examiner shall be responsible for ensuring that required simulator examinations are prepared, administered and graded in accordance with the examiner standards.

3. Each simulator examination should require candidates to operate during normal evolutions, instrument failures, component failures, and a major plant transient. The minimum requirements for the type and number of events for simulator examinations are depicted in Attachment 2. The four categories of events are defined as follows:

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a. Normal evolutions: evolutions such as boration power changes, power maneuvering with rods or core flow, or reactor start-up.

b. Instrument failures: includes nuclear or process instrumentation failures.

c. Component failures: a failure in which it is reasonable to expect that a scram may occur without prompt operator action.

d. Major plant transients: transients, such as a loss-of-coolant acci-dent or loss of electrical power, that would lead to an automatic scram or engineered safety system actuation.

Examiner Standards 2 of 33

ES-302

 /O   As depicted in Attachment 2, R0 candidates should be required to operate during

(") at least two normal evolutions. One of these evolutions should involve a sig-nificant change in reactivity, during which time the candidate should be posi-tion as the R0. The candidate may be placed in either the R0 or B0P position during the other normal evolution (s). R0 candidates should also be required to , operate in the R0 and/or B0P position during at least two instrument failures and two component failures. R0 candidates snould also be positioned as an R0 or B0P during at least one major plant transient. SR0 candidates who have not previously held a license (SR0 Instants) are sub-ject to the same requirements as R0 candicates, as described above. In addi-tion, SR0 Instants should be positioned as an SR0 during each of the four categories of events. SR0 candidates who have previously held an operator's license (SR0 Upgrades) should be positioned as an SR0 at least once during each of the four categories of events.

4. To maximize the usefulness of normal operations in the examination, the following guidelines are recommended:

a. Normal evolutions can be used as a backdrop on which to stage the emergency or abnormal situations. For example, an examiner may ar-range to have a main feedwater control valve fail passively (i.e., as is) and then ask the candidates to conduct a normal power change.

77 Selected short surveillances may be used to examine panel dexterity b. (V') (for example, exercising safety rods, paralleling the emergency die-sel generator with the grid),

c. Controls normally in automatic may be placed in manual, and the can-didates then asked to conduct a power maneuver.

For example, one or both main feedwater pumps may be placed in manual and the candidates asked to raise unit load.

d. Slower scenarios can be used for evaluating SR0 supervisory or re-source management skills. For example, a normal evolution, such as a power escalation from low power, can be used as the main scenario event. Constraints such as time limits or instrumentation degrada-tions may be added.

5. The minimum simulator requirements stipulated in D.3 are intended to en-sure that a range of events and evolutions are represented in each simula-tor examination. It is also suggested that, during the development of scenarios, examiners consider the range of events within each category (i.e., normal evolutions, instrument failures, component failures, major plant transients). For PWR examinations, an attempt should be made to include events resulting in degraded heat removal, degraded electrical power, and degraded pressure control. For BWR examinations, a balance should be made among events that result in core cooling challenges, con-

 /^\,          tainment challenges, and degraded electrical power. Moreover, the severity of events, as well as the demands they place on the candidates, should

() Examiner Standards 3 of 33

ES-302 be balanced to allow each candidate to demonstrate competence across a range of conditions.

6. SIMULATOR SCENARIO FORM Each planned simulator scenario should be recorded on a Simulator Scenario Form (Attachment 3). Each event comprising the scenario should be briefly described in the right column, the approximate time that each event will occur from the beginning of the scenario should be indicated in the left column, and the malfunction number should be listed in the middle column.

Attachment 4 is an example of a completed Simulator Scenario Form. This form should be referred to when filling in the Simulator Administration Form (See D.7), and should be reviewed with the simulator operator to en-sure that the events can be run successfully on the simulator. The Simu-lator Form can then be left with the simulator operator for his use during the administration of the scenario.

7. SIMULATOR ADMINISTRATION FORM A Simulator Administration Form (Attachment 5) should be developed for each scenario listed on the Simulator Scenario Form. A brief description of the scenario event (s) and the initial conditions should be recorded at the top of the form. The progression of the events should be depicted as follows. Plant conditions, indications and status should be recorded in the left column of the form. The sequence of expected operator (RO, SR0, 80P) actions that should be performed in response to plant status should be listed in the right column. The middle column should be used to indi-cate which candidate should be performing the action. An example of a completed Simulator Administration Form is provided in Attachment 6.

Every expected operator action need not be included on the Simulator Event Form. The examiner should list those actions / behaviors that will provide a useful basis for evaluating the candidate. When possible, setpoints and other parameters should be included to provide an objective method for evaluating candidate performance. Although expected candidate actions should be listed (to the extent possible) in chronological order, there are often certain actions that are required throughout the event (for instance, in the SRV failure example, candidates should monitor pressure and water level throughout the event). An asterisk can be placed next to these actions to show that they occur throughout the event. The Simulator Administration Form should be used during the administratio,1 of the examination to record examiner observations of candidate performance. Therefore, candidate expected actions should be widely spaced to allow examiners to annotate the expected actions and note other candidate actions / behavior as they occur.

8. COMPETENCY CHECKLIST In addition to providing broad, balanced coverage of plant events and evo-lutions, scenarios should be developed to ensure that there will be ample Examiner Standards 4 of 33

ES-302 [ opportunities to observe and evaluate candidates on all major competen-(3  ! cies. These competencies include:

1. Understanding / Interpretation of Annunciator / Alarm Signals.

2. Diagnosis of Events / Conditions Based on Signals / Readings l 3. Understanding of Instrument / System Response

4. Compliance /Use of Technical Specifications

5. Compliance /Use of Procedures

6. Control Board Operation (R0 & instant SR0)

7. Supervisory Ability (SRO)

8. Communications / Crew Interaction Attachment 7 provides definitions and components of each of these competencies.

l To check the coverage of the major competencies, examiners should fill in l the Competency Checklist for each scenario. To fill in the Competency l Checklist, designate each candidate in the simulator crew as either #1, #2, or #3. Indicate the status of each candidate by circling either "R0," "SR0(I)" (o

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(Instant), or "SR0(Up)" (Upgrade), located directly below " Candidate #." Re-view the expected actions on the Simulator Administration Form to determine which competencies will be displayed by each candidate during that scenario. Place a check in those checklist boxes which represent those competencies, for that candidate, for which the scenario will provide repeated, useful opportuni-ties to observe and evaluate. For example, if the first scenario will provide a good basis for evaluating Candidate #1 on his understanding and interpreta-tion of annunciator and alarm signals, a check should be made in the first box in the upper, left-hand corner. After completing the Checklist for the first scenario, it should be reviewed to determine which competencies were not checked, and therefore need to be ad-dressed in other scenarios. It is not expected that each scenario provide suf-ficient opportunities to assess every candidate on every competency. Rather, the purpose of the Checklist is to provide the examiner with an efficient meth-od to choose additional scenarios that will provide a complementary basis for evaluating candidates in terms of the competencies that will be displayed dur-ing the event. For example, in the example checklist (Attachment 9) additional scenarios are needed to evaluate the first candidate (an R0) on his understand-ing of instrument / system response, use of technical specifications, ability to operate controls, and communicate with the crew. Additional scenarios should provide opportunities to evaluate the second candidate (also an RO) on his ability to diagnose events / conditions, and use technical specifications and procedures. Finally, other opportunities are necessary to determine the third (SRO) candidate's understanding of annunciator / alarm signals, his understanding A V) l Examiner Standards 5 of 33

ES-302 of instrument / system response, his use of procedures, and his ability to supervise. Knowledges and abilities for 38 PWR emergency evolutions and numerous abnormal and normal tasks can be found in NUREG 1122: "Knowledges and Abilities Cata-log, for Nuclear Power Plant Operators: Pressurized Water Reactors." It is recommended that this list of events and tasks be reviewed. If an event se-lected for a scenario is included in NUREG 1122, the associated knowledges and abilities provides a source of topics for use in evaluating candidate competence. All simulator forms shall be forwarded to the regional office at least five working days prior to the scheduled start of examinations at the plant. The regional section chief or his designee shall review the simulator examination. If any changes are required, the regional reviewer will contact the author of the examination at least two (2) days prior to the examinations for correction. E. Administration of Examinations

1. Prior to Examination Administration

a. The day prior to the administration of a simulator examination, the examination team should review the examination together and discuss required procedures, technical specifications and spe-cial circumstances, etc. related to the scenarios to be run. If circumstances permit the examiners will practice representa-tive programs or specific malfunctions at the simulator with the simulator instructor,

b. Prior to the administration of the examination, the examiner should review the Simulator Examination :nd Event Forms with the simulator operator. The review should be aimed at instructing the operator on how to program the simulator and on ensuring that the scenario will proceed as planned, with respect to both the capabilities of the simulator and the likelihood of the ex-pected candidate actions. Any revisions to the scenarios should be documented on the simulator forms.

c. Before the examination a suitable communication system should be set up between the examiners and the simulator instructor to insert malfunctions without cueing the candidates. Reasonable precautions should be taken so that the simulator examination program is not revealed to the candidates before the examina-tion. One method is to assign predetermined times or power lev-els for the sequence of malfunctions so that both examiners and instructors are aware of what event is about to occur or is occurring.

d. Attachment 10 to this standard should be used to brief each group of candidates just prior to their simulator examination.

O Examiner Standards 6 of 33

ES-302 O 2. During Examination Administration V a. During the examination, examiners should use the expected actions / behaviors listed on the Scenario Administration Form to cue them as to what to look for. If the candidates perform as expected, there is no need to make any note other than a check next to the expected action. However, if the candidate performs in a way other than expected, the examiner should note what the candidate did (or did not do) next to or below the expected ac-tion. These notes should provide sufficient information to al-low the examiner to confidently judge candidate competence, but they need not include a moment-by-moment account of everything that transpired during the scenario.

b. A facility simulator operator may assume the role of personnel outside the control room that senior operators and operators consult or notify regarding plant operations. When this is the case, the examiners should listen to both sides of the conversa-tion, and the simulator operator shall be cautioned prior to the start of the examination not to volunteer information that is not asked for by the operators. The simulator operator should also be instructed on the time frame for returning information requested (i.e., fast time or normal time).

c. The examiners should limit discussions with the candidates dur-n ing the simulator examination so that candidates are not dis-

  \                tracted from operating the simulator. The questions asked by lb                  examiners during the simulator exercise should be limited to those that are necessary for assessing the candidate's under-standing of plant conditions and required operator actions dur-ing the simulator exercise. Even these questions should be deferred until a time when the candidate is not responsible for operating or close monitoring of the simulator, such as during certain normal operations.

d. Examiners are encouraged to request copies of simulator print-outs along with any other pertinent logs, recorder charts, com-puter typewriter printouts, or other materials to attach to their notes, if appropriate.

The simulatob forms should be reviewed to identify important plant parameters to be monitored during the scenarios. Prior to the administration of the examination, the examiner should re-quest printed records of selected parameters from the simulator plant parameter display system. For example, some of the useful parameters to collect during a steam generator tube rupture include: Main steam header pressures Steam generator steam pressures Steem generator levels (narrow and wide range) Pressurizer levels (nar ow and wide range) (O

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• Pressurizer pressures One loop leg narrow range pressure Examiner Standards 7 of 33

ES-302 Loop Tave RCS loop hot and cold leg wide range temperature Feed water flow Parameter readings should be collected at meaningful time inter-vals, typically once every three minutes, although this may vary depending upon the parameter, the nature of the event, and the simulator. These printouts are to serve as back up documenta-tion to augment the examiner's notes for the simulator part of the operating examination.

e. The chief examiner should request that the facility keep on hand copies of logs, charts, etc. until all candidates are licensed or all appeals are settled, as suggested by the letter as writ-ten in standard ES-201 attachment 3.

f. If the simulator should become inoperable, causing excessive delay of the examination, the chief examiner should discuss the situation with the responsible regional section chief so that a decision on whether or not to cancel the simulator part of the examinations can be made.

F. Grading of Simulator Examinations

1. As soon after the completion of the simulator examination as possi-ble, the examiner should rate the candidate's performance by complet-ing the Summary Evaluation Form (found in attachment 11). This evaluation should consist of a two-stage procev: (1) an evaluation of each competence; and (2) an overall evaluation.

2. Stage 1: To evaluate the candidate on a specific competence, the examiner should review the notes and documentation on the Simulator Event Forms that reflect that competence. For example, to rate the candidate on his understanding / interpretation of annunciator / alarm signals (competence #1), the Simulator Examination form should be reviewed to identify the candidate's actions and behaviors that re-late to this ability. Based on this review, the examiner should rate the candidate's level of this competence as either (S)atisfactory, (M)arginal or (U)nsatisfactory. Justification is required for each Marginal or Unsatisfactory rating. Justification may be in the form of a brief overall description of candidate performance in this area and an indication of where specific candidate actions reflecting this competence that support the rating can be found on the Simulator Event Forms.

3. Stage 2: After rating the candidate on the major competencies in the manner described above, the examiner should recommend an overall rat-ing of Pass or Fall. A rating of U on any one competency may be con-sidered an adequate basis for failure of the examination. However, the assignment of an overall rating must be based on the specific circumstances of candidate's performance during the examination.

O Examiner Standards  ? of 33

ES-302 Actual Reactor Startups { G. For those examinations that require an actual reactor startup or other manipu-lation of controls and/or instrumentation of the facility:

1. The examiner should inform the candidate and tee licensed operator present and/or the responsible supervisor that he (the examiner) will never intentionally ask the candidate to perform an act that violates facility regulations or procedures or which places the facility in a hazardous situation. If a requested act falls in these categories,

             -then the candidate, operator, or supervisor should indicate this im-mediately. If the examiner's intent is to determine whether the'candi-date would perform such an act, the question can be phrased in some manner other than requesting the act to be performed.

2. The examiner should ensure that it is understood that his presence does not alter the normal chain of command and that the candidate, during the examination, should make all reports and obtain all per-missions that normally would be required. All directions to the candi-date shall come from the responsible supervisor in accordance with the facility administrative procedures. The examiner shall only ques-tion and make requests of the candidate. The examiner should avoid asking distracting questions during the manipulation of controls.

3. The examiner shall not alter the set points or calibrations of any instrument or manipulate any control.

( 4. The licensed operator on duty should be informed that he should step in and take over control of the reactor any time there is an unsafe condition or there is reasonable assurance, in his opinion, that the reactor will shut down if conditions are not corrected. H. Conduct of Examinations Various phases of the operating examinations are listed below. Normally all examinations will include all four phases; although for " cold" examinations not performed at a simulator or for " hot" examinations where the candidates have been certified at a simulator, the manipulative portion of Phase A may not be required. Where a simulator is available, all of Phase A shall, and portions of Phases B and D may, be performed at the simulator. For senior candidates (instant and upgrade) portions of part B, Control Room, shall be conducted in the control room to ensure that the candidate can locate and use plant referen-ces, logs, and procedures.

1. The four phases of the examination for the reactor operator candidate gen-erally include:

Phase A, Operating Demonstration Manipulation of controls through a reactor startup, a simulator demon-stration, or an oral examination if a start up certification is approved in accordance with ES-109 (see Standard ES-303, Section E, for the methods for accomplishing this phase). Examiner Standards 9 of 33

l ES-302 l l l L Phase B, Control Room (Major, Auxiliary, Engineered Safeguards, Nuclear and Radiation Instruments, Electrical) I 1 Discussions, performance of checkouts, and use of procedures at supple-mentary instrument panels in the control room or in a plant reference simulator. Phase C, Reactor and Auxiliary Buildings Discussions, performance of checkouts, and use of procedures at selected l portions of the facility outside the control room. This should also in-clude discussions concerning radiation protection procedures, instrumenta-tion, hazards, and so forth. Phase D, Discussion (Integrated Plant Response, Reactor Theory, Thermodynamics, and Hydraulics) Discussions of a specific nature concerning overall plant behavior includ-ing response to transients based on nuclear theory and thermodynamics.

2. For the upgrade senior reactor o)erator candidate, the following substitu-tions, additions, or deletions siould be made in each of the phases:

Phase A, Operating Demonstration Simulator examination, if applicable. If not, a discussion of plant oper-ations to include part of a startup, shutdown or power level change. l Phase B, Control Room Administrative requirements to include shift turnover, surveillances, planned waste releases, and emergency plan implementation. Phase C, Reactor and Auxiliary Buildings Fuel handling, shutdown outside control rocm, and other procedures. Phase D, Discussion Similar to that for a reactor operator; however, topics shall be explored in more depth consistent with a senior reactor operator's responsibility and authority.

3. The operating examination for an instant senior reactor operator must be an appropriate blend of the examination requirements for a reactor opera-tor and for an upgrade senior reactor operator. The examiner must deter-mine that the instant senior reactor operator candidate has the requisite knowledge and ability as a reactor operator and also can function in a supervisory capacity as a senior reactor operator. The senior reactor operator candidate, whether upgrade or instant, must be aware that he is being examined for the highest position for which the senior reactor oper-ator's license is applicable on shift. Even if the senior reactor opera- l tor candidate is to be given a shift foreman's (or assistant shift Examiner Standards 10 of 33

ES-302

  ,o          supervisor's) position when he receives an SR0 license, the examination

( ) must be conducted assuming the candidate will function in the highest li-C/ censed shift position (i.e. shift supervisor). I. Scope of Examination The operating tests administered to candidates for reactor operator and senior reactor operator licenses must include, to the extent applicable, the following items as required by 10 CFR 55.23: 4

                                                                                             )

1. The candidate should perform prestartup checks on the reactor or other I checks (e.g., daily, recovery from scram) that a licensed operator would normally perform. When complete performance of all applicable checks re-quires a prohibitive amount of time, the examiner may select portions of the checklists and spot check items or use other methods he deems suitable to determine competence within a reasonable time. l

2. The candidate should start up the reactor from a substantially subcritical condition and raise power to a preselected value that is sufficient to use all nuclear instrumentation channels and introduce effects on reactivity (e.g., temperature increase and void formation) as may be appropriate. In the case of examinations administered at a nuclear power plant simulator, l the examiner may use other programs (i.e., malfunctions and/or abnormal conditions) to determine the candidate's understanding of, and ability to perform, manipulations at the control console.

Q 3. The candidate should describe his actions and responses to each alarm and ' .") annunciator signal and indicate the probable causes and significance thereof. The candidate should show a high degree of familiarization with emergency and operating procedures and should distinguish between actions or checks that he must take immediately and those actions that are logical followups.

4. The candidate should predict the approximate readings of all pertinent instrumentation for the conditions at which he will be operating and veri-fy that his predictions are accurate.

5. The candidate should describe the response of the system to control chang-es and verify that his description is correct. Normally, the candidate should make one or more changes of power level on a period or startup rate indicated by the examiner and permitted by the regulations of the facility.

6. The candidate should demonstrate familiarity with auxiliary and emergency systems at the facility and particularly indicate the interrelationships and interconnections between them and the reactor or reactor control system.

7. The candidate should perform such standard calculations (e.g., burnout, rod position, estimated critical position (ECP), and heat balance) as are consistent with an operator's responsibility at the facility.

O

  \    l w'

Examiner Standards 11 of 33

ES-302

8. The candidate should align and start, or describe the procedure for, sev-eral of the pertinent auxiliary and emergency systems.

9. The candidate should describe the operation and pertinent design and con-struction features of the reactor and auxiliary systems and indicate sat-isfactory familiarity with the overall facility, including the ability to locate and identify significant components and instrumentation.

10. The candidate should demonstrate the use of, and interpret, the readings of the portable radiation monitoring equipment that is available. {

11. The candidate should demonstrate his actions in the event of emergencies that may occur. He should possess a high degree of familiarity with du-ties required in the emergency procedures and be able to distinguish be-tween those actions he must take immediately, those which are followup actions, and those that affect persons at the facility for whom he has a safety responsibility.

12. The candidate should observe all rules and procedures regarding radiation safety and equipment and required radiation work permits and permissions and demonstrate a logical safe approach to questions involving radiologi-cal safety, including hypothesized situations.

13. The candidate should demonstrate familiarity with, and follow all, operat-ing procedures and standards of the facility including all notifications to supervision and other facility personnel. He should demonstrate that he knows when permission from other facility personnel is required before performing actions requiring such permission.

J. Systems and Subjects GGneric lists of systems and subjects have been developed for both pressurized-water reactors and boiling-water reactors (Attachments 12 and 13 to this stan-dard). While these lists are intended to be comprehensive, they are not all-inclusive. The examiner may select from these lists, or a list specific to the vendor type and model of the nuclear steam supply system, those areas that he chooses to cover during the operating examination. The examiner should di-versify his coverage and discuss as many of the systems and subjects as feasi-ble during a specific assignment. In preparing the program for the operating examination, the examiner should l avoid true/ false-type questions or questions with only two possible answers. Questions of this type increase the difficulty of determining satisfactory ur unsatisfactory responses, particularly if the candidate " changes his mind" be-cause of prompting by the examiner. For example, instead of asking, "If the steam generator safety failed open with rod control in automatic, would rods move in or out?", the examiner should ask, "If a steam generator safety failed open, what would be the primary effect on reactivity initially?" Then he should discuss rod control response and protective system response or reactivi-ty principles in more depth depending on the candidate's answer. In general, the examiner should try to avoid situations that could result in the candidate claiming to have given the correct answer even though he had to correct himself when the examiner felt that the basic understanding was not evident. Examiner Standards 12 of 33

ES-302-1 ATTACHMENT 1 BRIEFING CHECK LIST - OPERATING (PLANT WALK THROUGH)

1. I (the examiner) am a visitor. Escort responsibility for ensuring compli-ance with plant safety,' security and radiation protection procedures is dependent on you.

 - 2. Plant equipment should not be operated without appropriate permission from the operating crew. Nothing I say or ask will be intended for you to vio-late that principle.

3. If needed ask for clarification of questions during the exam, and if you feel the need for a break during the exam please ask. I will have to stop frequently to take notes during the exam for documentation purposes. My note taking does not depend upon your performance, I must document satis-factory as well as unsatisfactory performance.

4. This exam is open book. You may use reference material that will be available to you in the plant as an operator.

5. There is no specific time limit on the exam. We will take whatever time is necessary to cover the areas I have selected in the depth and scope required. (Here the examiner may also discuss the scope and estimated length of the exam. Scope and estimated length will depend upon the amount of material covered during the simulator part, if any.)

O O Examiner Standards 13 of 33

ES-302-2 ATTACHMENT 2 MINIMUM SIMULATOR REQUIREMENTS Normal Instrument Component Major Plant Evolutions Failures Failures Transients R0 R0 IP + 1 or 2 2 1 B0P

               +1 N/A                N/A               N/A       N/A SR0 Normal            Instrument         Component Major Plant Evolutions           Failures          Failures  Transients SR0 Instant

• 1p + 1 BP +1 2 1 1 1 SR0 Normal Instrument Component Major Plant Evolutions Failures Failures Transients SR0 Upgrade R0 optional optional optional optional B0P 2 1 1 1 SR0 C and Instructor Certification O

Examiner Standards 14 of 33

ES-302-3 ,O ATTACHMENT 3 N) SIMULATOR SCENARIO FORM Facility / Simulator: Scenario No. Examiners: Candidates: TIME MALF. NO. DESCRIPTION N_ O Examiner Standards 15 of 33

ES-302-4 ATTACHMENT 4 EXAMPLE OF COMPLETED SIMULATOR SCENARIO FORM Facility / Simulator: f4 nile ,- i Scenario No. 1 Examiners: A Sm.th Candidates: R N Onernfnr (RO) R Dno R Fie.nn (80P) C Ja n e. t S Gre. n (SRO) TIME MALF. NO. DESCRIPTION O I C- 25 In L l a,nif,'on- i c o *A n m , Sf-c.L State Xenon S to r to,/ onJ Sy ne (h e l, ,,u /o r m s ur v elIh ne e nn H PCI , Dee r ne ense r in 45 %

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O Examiner Standards 16 of 33

ES-302-5

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SIMULATOR ADMINISTRATION FORM Scenario No. Event No. Page of Brief

Description:

Plant Conditions Position Candidate Actions / Behavior o

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Examiner Standards 17 of 33

ES-302-6 ATTACHMENT 6 EXAMPLE OF COMPLETED SIMULATOR ADMINISTRATION FORM Scenario No, i Event No. 3 Page i of 2 Brief

Description:

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S 9p,.m a n P . l T;.'mpo. A, e D.mJl Teu,.stu,,. / D,,m , e e n A:nm,.;f kr, p,,mi, e,/A uc. Examiner Standards 18 of 33

ES-302-6 Im\ ATTACHMENT 6 (Continued) b EXAMPLE OF COMPLETED S1MULATOR ADMINISTRATION FORM Scenario No, i Event No. 3 Page 1 of 1 Brief

Description:

Initial Conditions: Plant Conditions Position Candidate Actions / Behavior To,Ln. L Ro/ Bop A fv T L . T :p A:lt 4~ nw- Rn/ Rap Verifv aut,rnn4k tm ode, J elec h :c d le n l , in ofsik sae R- s.o eN h.s BOP In',t de Suaorassina Pool Cnolie e O 90lmop Cented Ale, lel.I wh, had s.o.eti.J hu ,sRO RO Redate Condaue.+. i reeLde, 9,.,7cJ,3ud.,n n,- ney A ,nm:ote_;n F,eelmater to fh, Pec de. h I. Ra Shift readmde, Cod,,,1 ts sfa.fm,, le u l enn L 1 A aed gne. reeLmin, ,n In3 cyl1. ,I.

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ES-302-7 ATTACHMENT 7 GENERIC COMPETENCIES

1. Understanding / Interpretation of Annunciator / Alarm Signals: the ability to correctly interpret signals and alarms (with and without references, as appropriate), leading to correct actions in response to those alarms, including:

Verification of system alarm signals Operation of controls indentified in alarm response manual Verification that alarms are consistent with system status Knowledge of where to find explanation of alarm in control room annunciator book and the ability to follow those directions Carrying out the appropriate actions required by that alarm

2. Diagnosis of Events / Conditions Based on Signals / Readings: the ability to, and the appropriateness of, diagnoses based on trend analysis, including review of logs and plant computer, to guard against and mitigate out-of-spec conditions, including:

Ability to use steam tables Ability to use P& ids Use of reference material to assess and control plant status

3. Understanding of Instrument / System Response: Ability to locate, under-stand, and interpret instrument and system responses, including:

Verification of expected responses of systems Instrument checks Understanding of failure modes ar.d indications Monitoring automatic operation Use of necessary back-up detection / instrumentation

4. Compliance /Use of Technical Specifications: Ability to use tech specs to define plant condition (s) and the ability to operate the plant in accor-dance with tech spec requirements, including:

Knowledge of entry level tech specs system parameters Ability to operate within the bounds set by tech specs Ability to locate and understand / comply with appropriate tech specs (Note: R0s only held accountable for those tech. specs. that apply to them) Examiner Standards 20 of 33 ,

ES-302-7 I A 5. Compliance /Use of Procedures: Ability to locate, look up, and apply ap-propriate procedures (normal, abnormal, emergency, and administrative) in a timely manner, including: l (E0Ps/A0Ps): . appropriate performance of immediate actions without use of procedures Appropriate performance of subsequent actions with the use of procedures

                               - Ability to locate and look-up appropriate procedure (s)

Compliance with applicable precautions and limitations

                               - Application of the emergency plan

6. Control Board Operation (R0 & Instant SRO): Knowledge required to locate, and the skill required to manipulate / operate the controls on the control boards to attain desired plant or system response / condition, including:

4 Manual operation / dexterity Understanding of interrelationships among controls Ability to perform control board functions (e.g., paralleling ED/Gs; transferring between automatic and manual systems) Ability to operate automatic and manual systems v Acting in accordance with directives of supervisors and other control room personnel Timeliness of control board operations

7. Supervisory Ability (SRO): Ability to supervise the activities of reactor operators in the control room, including:

Overseeing activities of control room personnel i Observing trends and control room indications to determine overall plant condition Giving clear, concise directions in according with applicable procedures Making decisions based on integration of all relevant information Coordinating control room activities to ensure stable plant conditions

,f

( i Examiner Standards 21 of 33

ES-302-7

8. Communications / Crew Interacticy: Providing and receiving pertinent infor-mation, including:

            - Keeping appropriate personnel informed with respect to system status (inside and outside the control room)

Appropriateness /importance of information provided to others

            - Completeness, clarity, and accuracy of information provided
            - Acknowledgment of receipt of directions / communications
            - Request information as necessary
                                                                         \

O 1 i l l l l l O Examiner Standards 22 of 33

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ES-302-10 [) ATTACHMENT 10 V BRIEFING CHECK LIST - OPERATING (SIMULATOR)

1. Primary Responsibility - Operate the simulator as the plant until the exercise has ended.

2. Answer examiner questions during simulator exercise only if doing so will

                                                                           ~

not interfere with simulator operations.

3. Work as a team. Do communicate with each other. You are graded on commu-nication. It will benefit the exam process if you verbalize your observa-tions, analysis, and reasons for actions more than would be normal during operations.

4. Keep a rough log during each exercise that would be sufficient to complete necessary formal log entries.

5. The senior operator is tested at the level of responsibility of the senior licensed shift position (i.e., shift supervisor, senior shift supervisor or whatever the position may be titled).

6. A designated simulator instructor (or an examiner) will act as your auxii-iary operators, radiation health and chemistry technician, maintenance supervisors, plant management and anyone else you need to contact outsice a the control room area.

\ ) V Note: The chief examiner should ensure that the instructor (or examiner) who plays the role of other plant personnel is aware of the time scale for returning information to the operators. For example fast time could be specified for auxiliary operator checks or line ups to prevent long delays in simulator operations while maintenance and chemistry sample information is returned with normal time delays to present the candidates with the same analysis problems that they will face as operators.

7. The simulator instructor (or examiner) will give you a shift turnover be-fore the exercise begins. The shift turnover will include present plant conditions, power history, equipment out of service, abnormal conditions, surveillance due, and instructions for the shift.

8. You may take 3 to 5 minutes to walk the board before start of the exercise.

9. Control board switches may be purposely misaligned to enhance a simulated scenario or transient where appropriate and is not part of your evalua-tion. The examiner should not misalign switches during the scenario as an awareness drill.

Note: Chief examiner has the option to tell the candidates that no control board switches will be misaligned on a given scenario or

 /^g                      set of scenarios if no switches are misaligned and he wishes to i    i
 \d Examiner Standards                         25 of 33

ES-302-10 reduce the time it takes for the canJidates to complete the board walk down and accept the shift.

10. The simulator part of the examination will consist of two or three 45 minute to 1 hour exercises. There will be a short break between exer-cises to set up the initial conditions for the next exercise.

11. Do you have any questions?

O O Examiner Standards 26 of 33

I ATTACHMENT 11 ES-302-11 EXAMINATION

SUMMARY

SHEET

Date

Facility / Simulator Candidate Examiner Type of Exam: SR0 Instant SR0 Upgrade R0 RATING (Circleoneforeachcompetency)

S M U Understanding / Interpretation of Annunciators / Alarm Signals i 4 S M U Diagnosis of Events / Conditions S M U Understanding of Instrument / System Response 4 S M U Compliance /Use of Technical Specifications S M U Compliance /Use of Procedures S M U Control Board Operations (R0 & SRO Instant)

5 M U Supervisory Ability (SRO)

S M U Communications / Crew Interactions 4 Recommendations: Pass Fail Signature l l Examiner Standards 27 of 33

ES-302-12 ATTACHMENT 12 LIST OF TOPICS FOR ORAL EXAMINATIONS - BOILING-WATER REACTORS A. CONTROL ROOM SYSTEMS

1. MAJOR Turbine Generator Reactor Level Control Recirculation Control Rods and Control Rod Drives Electrohydraulic Control Turbine Bypass Main Condenser Circulating Water Condensate and Feedwater Mechanical Design (Fuel Assembly)

Reactor Vessel

2. AUXILIARY Reactor Building Closed Cooling Water Turbine Building Closed Cooling Water Control, Instrument, and Service Air Fire Protection Service Water Equipment and Floor Drainage Condensate Storage and Transfer Radioactive Waste (Solid and Liquid)

Fuel Pooling Cooling and Cleanup Demineralized Water Augmented Off Gas l Condenser Circulating Water ! Process Sampling Heating, Ventilation, and Air Conditioning l Reactor Water Cleanup Shutdown Cooling Head Cooling Containment Inerting Gland Seal and Exhaust Turbine - Generator Lube Oil Steam Jet Air Ejectors

3. ENGINEERED SAFETY FEATURES Residual Heat Removal High-Pressure Coolant Injection Low-Pressure Coolant Injection Standby Gas Treatment Reactor Core Isolation Cooling .

l Isolation Condenser Primary Containment l Examiner Standards 28 of 33

ES-302-12 p ENGINEERED SAFETY FEATURES (Continued) Containment Spray Low Pressure Core Spray l ' Core Flooding Auto - Depressurization Standby Coolant Supply Main Steam Line Restrictors Control Rod Velocity Limiter Main Steam Line Isolation Valves Standby Liquid Control Pressure Relief Secondary Containment High Pressure Core Spray l

4. NUCLEAR AND RADIATION INSTRUMENTS Source Range Monitors Intermediate Range Monitors Average Power Range Monitors Local Power Range Monitors Rod Worth Minimizer Rod Block Monitor Traveling Incore Probe Process Computer Rod Sequence Control Liquid Effluent V Area Radiation Monitors Gaseous Effluent Stack Gas Main Steam Line Radiation Off Gas System

5. ELECTRICAL Diesels Normal AC Supply Emergency AC Supply Normal DC Supply Emergency DC Supply Reactor Protection System Uninterruptible Power Supply B. REACTOR AND AUXILIARY BUILDING SYSTEMS Any system listed above including systems covered during the control room por-tion of the examination may also be covered during the walkthrough. The sys-tems listed below are also convenient for coverage during the plant l walkthrough.

Shutdown Outside the Control Room Fuel Handling and Storage ,O Rad Waste Examiner Standards 29 of 33

ES-302-12 l C. INTEGRATED PLANT RESPONSE TRANSIENTS l Turbine Trip , Loss of Generator Load Emergency Shutdown From. Full Power Scram - Cold Restart Scram - Hot Restart Load Change (at least 20%) Subcritical to Critical Normal Shutdown From Full Power Maneuver to Hot Standby Recirculation Pump Trip Feedwater Pump Trip Steam Pipe Break Recirculation Line Break Loss of Reactor Building Closed Cooling Water Loss of Instrument Air Rod Malfunction Control Instrument Failure Fuel Cladding Failure i O' 1 i O l Examiner Standards 30 of 33

ES-302-13 ATTACHMENT 13 f

 \

LIST OF TOPICS FOR ORAL EXAMINATIONS - PRESSURIZED-WATER REACTORS A. CONTROL ROOM SYSTEMS ~

1. MAJOR Reactor Pressurizer Reactor Coolant Pumps Primary System Steam Generators Control Rod Drive Systems Chemical and Volume Control Systems (CVCS)

Steam, Feed, and Condensate System Turbine Generator Reactor Protective System (RPS)

2. AUXILIARY

CVCS - Makeup / Letdown CVCS - Boration/Deboration Component Cooling Water m Shutdovn Cooling System (RHR, Decay Heat Removal)

Spent Fuel Pit Cooling [V ) Sampling System Fire Protection System Containment Air Recirculation and Cooling System Condensate Condenser Circulating Water Quench Tank Service Water Compressed Air System Auxiliary Feedwater System

3. ENGINEERED SAFETY FEATURES High-Presture Safety Injection System Low-Pressure Safety Injection System Safety Injection Tanks (Accumulators, Core Flood Tanks)

Containment Spray System Reactor Building Isolation Refueling Water Tank (Refueling Water Storage Tank, Borated Water Storage Tank) Containment Iodine Removal System Hydrogen Removal System Actuation Signals k Examiner Standards 31 of 33

1 ES-302-13

4. NUCLEAR AND RADIATION INSTRUMENT Startup Channels Intermediate Channels Power Range Channels In-Core Instrumentation Process Radiation Monitors Area Radiation Monitor

5. ELECTRICAL 230-kV Systems -

6900-V Systems 4160-V Systems 480-V Systems 120-V Systems DC Power Supplies Batteries Emergency Generator or Diesel Generators Lighting B. REACTOR AND AUXILIARY BUILDING SYSTEMS Any system listed above including systems covered during the control room por-tion of the examination may also be covered during the walkthrough. The sys-tems listed below are also convenient for coverage during the plant walkthrough. Sampling Syste.n Fuel Handling .ind Storage (Cold Plant) Liquid Waste Handling and Disposal Gaseous Waste Handling Solid Waste Handling and Disposal Diesel Generators Shutdown Outside Control Room - Charging System Shutdown Outside Control Room - Feedwater Station Shutdown Outsice Control Room - Control Panel Shutdown Outsice Control Room - Boration Chemical Addition Hydrogen Recombiners Station Gas (N2H2 ) Supplies Intermediate Cooling Systems Main Condenser Level Control System Auxiliary Feedwater Systems C. INTEGRATED PLANT RESPONSE TRANSIENTS Load Increase / Decrease - Auto Control Load Increase / Decrease - Manual Control Load Rejection Turbine Trip Feedwater Pump Trip Rod Malfunction Primary System Leak Examiner Standards 32 of 33

                               .x._...._. _ _ _ . . .                   . _ _ _ _ . _ . _ _  . _ _ _    . _ . _   . _ _ _           ._           _ . . _ .

E ES-302-13 INTEGRATED PLANT RESPONSE TRANSIENTS (Continued) Steam Leak l Reactor Coolant Pump Trip i Control Instrument Malfunction Steam Generator Tube Failure Fuel Cladding Failure Loss of.Feedwater 7 Loss of Component Cooling l Reactor Scram i Subcritical to Critical Loss of Instrument Air i 6 f 1

                                                                                                                                                                  -1 l

\ l l l Examiner Standards 33 of 33

l /' ES-303 Rev. 2 4/15/86 INSTRUCTIONS ON USE OF FORMS FOR OPERATING EXAMINATIONS ADMINISTERED TO REACTOR OPERATORS - POWER REACTORS A. Purpose This standard provides guidance to the examiner on the use of the examination forms during the course of the operating examinations. Form 157A has been de-signed to minimize the amount of note taking and to make best use of the time necessary for the examinations. Separate forms have been developed for the reactor operator (RO) examinations (Form 157A), the upgrade senior reactor (SRO) examination (Form 1578), and the instant SR0 examination (Form 157C) (Attachments 1 through 3 of ES-301). B. General The examiner is ultimately responsible for making a professional, subjective judgment on whether a candidate should pass or fail this segment of the examina-tion. The forms pertaining to the operating examination should only be used as an aid to the examiner in conducting the examination and as a means of document-ing the bases for the examiner's pass or fail determination. This determination is based on an audit of the levels of knowledge and abilities of the candidate, and, as such, all of the applicable areas defined in Standard ES-302 should be [s explored in varying degrees of depth. N.)T The examiner will specify his evaluation of the canoidate's observed performance and knowledge and understanding of and competence in the subjects and systems discussed by placing an "S" for satisfactory, an "M" for marginal, and a "U" for unsatisfactory in the appropriate space. The following criteria are to be used for the evaluation. S - Excellent to Good Working Knowledge and Understanding of the Subject or Systems The candidate may have some slight or minor difficulty relating to system inter-actions. Competence in the operation of equipment associated with system is very good although there may be some hesitation while performing some tasks. The candidate, however, appears to be familiar with the equipment and procedures. M - Fair Working Knowledge and Understanding of Subject or Systems Candidate may have difficulty answering questions in depth and in relating the interactions of systems. Competence in operation of equipment is generally good. The candidate, however, shows some lack of familiarity with the equipment and procedures. An example of a marginal evaluation is one where a candidate initially provides a wrong answer then later recognizes the mistake with little prompting and cor-

  ^g  rects the answer. If the candidate gives a wrong answer to a question with only two possible answers (e.g., rods go in or rods go out) and then corrects the answer, the examiner should expand the questioning to ensure that the candidate Examiner Standards                     1 of 6

ES-303 understands the system or event and is not guessing. If this happens several times in the same area, the marginal evaluation should be changed to an unsatis-factory. All unsatisfactory and marginal evaluations shall be supported by de-tailed notes stating the particular action or response that resulted in the un-satisfactory evaluation. The supporting notes should be as specific as possible; use of general statements such as "did not know decay heat removal system" should be avoided. The use of marginal evaluations should be minimized. Areas where a candidate's knowledge is marginal should be explored further in an at-tempt to determine if an "S" or a "U" rating is warranted. If the marginal evaluation stands, supporting notes shall be included. U - Poor Working Knowledge and Understanding of Subject or System Answers given by the candidate are incorrect and incomplete and/or he is unable to provide an answer. The candidate shows obvious unfamiliarity with subject and/or system as evidenced by hesitant answers, need to search for information, inability to locate control board indications and/or controls, and lack of know-ledge of procedural steps to operate Systems. Justification should be explicit in what action was unsatisfactory and ghy. For example: " Candidate instructed R0 to close MSIV's ta violation of W 3.1.4, Section 4.7.3b." Use of state-ments such as "gave correct answer only after prompting" is not acceptable documentation of an unsatisfactory rating. Additional justification is required because the examiner admits that the correct answer was given. The examiner should allow, and in fact encourage, the candidate to draw diagrams, flow paths, or other visual representations. This serves two purposes:

1. I allows the candidate to better express himself when providing an answer or explanation to the examiner.

2. It provides additional documentation to support a pass or fail determina-tion.

These visual representations may not be made on the reverse pages of the forms p;rtaining to the oral examination. These diagrams should be on one side of a separate sheet of 8 x 11 paper. Notes should not be made on the back of any page of the form 157. Additional pages may be added for examiner notes. C. Rules of Practice The rules of practice are set forth in Standard ES-302. These rules should be cxplained to, and understood by, each candidate. D. Conduct of Examination The procedure for conduct of the examination, as specified in Standard ES-302, is applicable for reactor operator candidates. The method of examination (non-plant-specific simulator) shall include a startup, systems, procedures, and transient analysis discussion in the control room; and a discussion of selected systems and procedures at their location in the plant; and may include a " sit-down" theory discussion if those topics are not covered during the other two parts. Typical time requirements for this examination are as follows: Examiner Standards 2 of 6

ES-303 [ 1. discussion - 3/4 to 1 hour

   . Q]   2.

3. control room - 2 to 2-1/2 hours walkthrough - 1/2 to 3/4 hour If reactor startups are required for a group of candidates, they generally will

         .all be performed in 1 day to minimize plant downtime. In such cases, the " Dis- ~

cussion" and " Control Room," phases of the oral examination can be shortened if some of the required items are covered during the startup. If a plant-specific simulator examination is administered, items covered at the simulator should not be covered again during the plant walk through portion, thus further shortening the operating examination. It is necessary, however, that the examiner give a

<          complete examination as is explained in Section E, " Detailed Instructions," of this standard.

4 The operating examinations are audits of selected areas that each candidate is-responsible for knowing or in which he must demonstrate competence. As such, the examiner must make a complete audit of each candidate to justify granting a

          ' license. It is sometimes necessary to go significantly beyond the average operating examination time periods to complete the audit. In a relatively few                                  l cases, where a candidate has clearly shown deficiencies and there is no doubt

, of a denial, the examiner may omit some required coverage. In such cases he should attempt to include as much coverage of the subject area as possible within the ." average" operatir.g examination period. .l E. Detailed Instructions p i 1. Operating Demonstration (Form 157A, page 3) This phase of the examination may be completed by one of three methods: T

a. actual reactor startup or other reactivity manipulation on the plant For an actual reactor startup or other reactivity manipulation, the examiner shall evaluate the candidate's knowledge and/or performance for every subject on page 3 of Form 157A.

b. startup certification on a simulator as part of an approved NRC program In lieu of an actual plant startup, the candidate may have successfully completed a startup certification program using a simulator. If the examiner is not required to evaluate the candidate on the " Operating Demonstration" phase of the examination, it is recommended that one or

,                  more candidates per assignment be audited on this phase.                        This audit may be performed by a " talk-through" of a startup with a candidate. In this instance, Items 1.2.4 through 1.2.7 pertaining to manipulation should be marked "Not Applicable (N/A)." Items 1.1.1 through 1.1.7 of the examiner

. notes should be completed. This may be accomplished by using a routine functional or other surveillance checklist for which the operators are responsible. ( i 4 Examiner Standards 3 of 6

ES-303

c. simulator examination During the manipulation portion of the examination, simulator or plant startup, the candidate will be evaluated on both his understanding and his ability to safely and competently manipulate the controls.

If a simulator examination is conducted, Simulator Forms (Attachments 5 and 11 of ES 302) should be completed instead of pages 3 and 9 of NRC form 157A and a note on page 3 should direct attention to these forms.

2. Control Room (Form 157A, B, or C)

The portion of the Examination Report pertaining to the control room con-sists of three pages, and the format in Forms 157A and C is a matrix type that allows the examiner to select with ease the systems and subjects he wishes to discuss. A generic list of systems and subjects for pressurized-water reactors and boiling-water reactors is included in Standard ES-302. The systems are selected from the applicable generic list. The system selected will be listed at the top of the columns. The subjects that can be discussed are arranged on the left-hand side of the page. To make best use of the time required for the administration of the exami-nation and provide a uniform and reasonable basis for the issuance of a license or denial of an application, the examiner shall use the following procedure for each applicant:

a. The " Control Room" section dealing with major, auxiliary, and engi-neered safeguards systems shall contain a minimum of two systems from each category. All six systems should be evaluated in at least six subject areas. If a simulator exam is given a minimum of 1 system l from each category shall be required. l

b. For the " Nuclear and Radiation Instrument" section, the examiner should select two nuclear and one installed radiation system. Only one nuclear and one radiation system need be documented on the form 157 if the simulator part of the examination included procedures or transients associated with nuclear instrumentation.

c. For the " Electrical" section, the examiner should select a minimum of one normal and one emergency supply system. In this case five subjects for each system should be adequate for a determination of the knowledge and/or competence of the candidate.

During the course of the discussions on the control room, the examiner should require the candidate to demonstrate his understanding and familiarity by locating and explaining

a. control board instrumentation

b. control board controls

c. piping and instrument diagrams

d. procedures

e. Other related reference data (such as logs, tag outs, and Technical Specifications)

Examiner Standards 4 of 6

          .           ~ .     .-                          _.                - -          _ - - - -                                                              , . . - . - - . -                                    - - .

e i-

ES-303 I

        ^
     /      \                    The candidate's response to at least three abnormal and/or emergency proce-

Q dures should be evaluated during the control room phase of the examination.

l L These areas need not be documented on the form 157 if they were demon- I strated during a simulator examination. l l

3. Reactor and Auxiliary Buildings

~

The control room licensed personnel are responsible for directing the ! activities of all facility personnel in areas that could affect the safety of the plant and as such should be familiar with plant layout, design,

local procedures, and radiological and safety conditions. The examiner may evaluate the candidate's knowledge in this phase by a variety of

, methods: i

a. He may select at least two systems from the list of items for the

                                        . reactor type and discuss a minimum of five subjects for each system.

I b. From control room discussions, he (or the candidate) may generate a i list of items that require local monitoring, verification, or mani-j' pulation.

c. He may select at least two procedures with actions that are performed I in'the plant.

l- These or alternate methods should be used for the plant walkthrough part- , of the examination with the following guidelines: , a. Th'e response to at least one local emergency procedure should be evaluated.

b. One entry into a radiation-controlled area should be made.

c. The examiner should diversify his coverage of the plant for a group of candidates.

. The examiner should evaluate the candidate's knowledge of the facility's Emergency Plan as it pertains to the job responsibilities. Although the senior operator in charge is usually responsible for classifying and imple-menting the appropriate action levels, the R0 should'know those levels and his response and duties for each one.

The portion pertaining to radiation protection and safety will be completed

by the examiner exploring those areas that are within the candidate's re-i~ sponsibility for personnel protection and for the control and discharge of radioactive wastes.

1 During the control room and plant walkthrough, the examiner will evaluate the candidate's responsibility associated with personnel safety, security, i and the safe operation of the facility. This evaluation need not be per-formed by direct questioning of the candidate but may be accomplished by observing his response to unexpected or incorrect existing plant conditions. Examiner Standards 5 of 6 i

    - ,     -~~.-+--,a-.          ,,-     , - - - . - - . , . - - , - - - -     ,-r---          - - - - . - - - - - . , . - - . , - . . . . - - ~ - - - . - - -              ~ . - , , - - - - , - - - - - . - - - -

ES-303

4. Discussion The final section of the examination is the " Discussion" and is divided into two parts, both of which shall be used by the examiner:

a. Integrated Plant Response

b. Principles and/or Theory of Nuclear Power Plant Operation When a simulator part of the operating examination is not included, the l examiner is required to explore in detail the candidate's knowledge of the integrated plant response including applicable procedures for at least two plant transients. This portion of the examination need not be a separate l discussion. In fact, it may be more useful and efficient to combine this phase with other portions of the examination. For example, by postulating a plant upset condition such as a reactor scram, the examiner may include in the discussion one or more of the plant systems required to be covered in the control room discussion.

If a simulator demonstration is involved, NRC Simulator Forms (Attach-ments 5 and 11 of ES 302) should be completed instead of page 9 of NRC l Form 157A and a note on page 9 should direct attention to these forms. The " Principles of Nuclear Power Plant Operation" portion of the notes must be completely filled in with evaluations for each candidate in every subject. Again this discussion may be combined with other areas for exami-nation continuity and efficiency. It is important for the candidate to use and explain existing plant information for this phase of the examiaa-tion. Examples include reactivity data used in estimated critical posi-tion (ECP), computer generated core data, pump head curves, and so forth. O Examiner Standards 6 of 6

   /'s                                                                                         ES-304 V
        /                                                                             Rev. 2 4/15/86 INSTRUCTIONS ON USE OF FORMS FOR OPERATING EXAMINATIONS ADMINISTERED TO UPGRADE SENIOR REACTOR OPERATORS - POWER REACTORS A.        Purpose This standard provides guidance to the examiner on the use of Examination Form 1578 during the course of operating and oral examinations for upgrade senior operator candidates.

B. General A letter from H. Denton (NRC), dated March 28, 1980 required that oper-ating examinations be administered to upgrade senior operator candidates. Previous policy to waive this portion of the examination and administer only a written examination was superseded by this new requirement. C. Rules of Practice-The rules of practice set forth in Standard ES-302, Section C, also apply during this type of examination and should be discussed with the candidate as indicated in Standard ES-302. The candidate should be

   ,-m,        informed that he will be examined-at the highest onshift level that he
 -/            can occupy with a senior reactor operator (SRO) license, for example, V)           shift supervisor.

D. Conduct of Examination The conduct of an upgrade senior reactor operator examination is also specified in Standard ES-302. Generally, this examination is administra-t .tive in nature and aimed at evaluating the candidate's knowledge of his responsibilities as a shift supervisor. The candidate should display the ability and attitude of responsibility for safe operation and espe-cially to assume a management role during plant transient and upset conditions. l L Differences in administrative controls and facility design will affect the senior operator's responsibilities, but in general the following items should be used as guides for the scope of the senior operator examination.

1. The senior operator, in directing licensed activities, must evalu-ate plant performance, particularly during nonroutine events, and make operational judgments accordingly. He should therefore have a higher degree of knowledge in areas such as operating character-istics, reactor behavior, and instrument interpretation than a reactor operator.

4 O U Examiner Standards 1 of 3

ES-304

2. The senior operator, in directing licensed activities, must have a wider and more thorough knowledge than a reactor operator of facility l administration controls and methods, including limitations imposed by regulations, particularly the limitations set forth in the Technical Specifications and the bases for each of the specifications. I

3. The senior operator often will be assigned comprehensive actions during facility emergencies and abnormal conditions and should demonstrate knowledge of these assignments.

4. The senior operator often will be assigned responsibilities for auxiliary systems that are outside the control room and are not normally operated by licensed operators. The most common example is a waste disposal and handling system for which the licensed operator's responsibility ends when the fluid passes the last instrument that has console display. Usually, the senior operator has additional responsibilities. In such a case the senior operator candidate must demonstrate knowledge of system design concerning maximum permissible concentration, effluent release rates, and other aspects if appropriate.

Examination Report Form 157B has been prepared for use by the examiner when administering the upgrade senior reactor operator examination. This form has been designed to ensure uniformity in the administration of the examination, minimize the amount of note taking, and make best use of the time required for the examination. The notes will provide the basis for recommending the issuance of a license or the denial of the application. Refer to Section B of Standard ES-303 for an explana-tion concerning the method of determining pass and fail criteria and awarding "S", "M", or "U" ratings. E. Detailed Instructions

1. The " Control Room" section (page 3) is divided into tvio major subsections, "(1.1) Shif t Turnover" and "(1.2) Control Room Refer-ence Data." The examiner shall evaluate the candidate's knowledge for each of the subjects listed on this page.

For Section 1.1, the examiner should use at least one piece of existing or out of-service equipment (or hypothesize one) and follow through with the required procedural and administrative requirements pertaining to it, including its restoration to service. For Section 1.2.3, the examiner should discuss at least one type of planned radioactive waste release (gaseous, liquid, containment purge) with the candidate. O Examiner Standards 2 of 3 {

    /]                                                                           ES-304

2. Responsibility and Authority The portion pertaining to the senior operator's responsibility and authority (page 4) is divided into five rajor subsections:

             "(2.1) Emergency Plans", "(2.2) Plant Operations", "(2.3) Fuel Handling", "(2.4) Surveillance Testing", and "(2.5) Security."

Each of the subjects listed under the major subsection must be evaluated to the extent necessary to determine the senior candi-date's knowledge of these areas. The shift supervisor is generally designated as the emergency coordinator during implementation of an emergency plan action level and remains in that capacity until appropriately relieved. Each candidate will be evaluated in this regard during discussions concerning the emergency plan. All parts of Section 2.1 should be completed by the examiner. For Section 2.2, the candidate should be evaluated on at least one aspect of plant operations, for example, startup or shutdown. This discussion should emphasize the supervisory responsibilities. Discussions concerning fuel handling should be conducted at the appropriate location (e.g., fuel-handling bridge and spent fuel pool), if at all feasible. 73

  !   }

V 3. Discussion The " Discussion" section (pages 5 and 6) consists of three major subsections: "(3.1) Transients," "(3.2) Reactivity Effects," and

             "(3.3) Thermodynamics and Hydraulics."

For Section 3.1, the examiner should explore the candidate's know-ledge and understanding of at least two plant transients. Each of the subject areas on this page should be evaluated. The simulator examination should be substituted in lieu of this discussion phase if appropriate. The examiner should complete the evaluation of at least six of the eight topics listed under Sections 3.2 and 3.3. F. References Letter from H. Denton (NRC) to All Power Reactor Applicants,

Subject:

Qualification of Reactor Operators and Licensees, Mar. 28, 1980. O. i Examiner Standards 3 of 3 l-

ES-305 Rev. 2 4/15/86 INSTRUCTIONS ON USE OF FORMS FOR OPERATING EXAMINATIONS (~N ADMINISTERED TO INSTANT SENIOR REACTOR OPERATORS - POWER REACTORS (v) A. Purpose This standard provides guidance to the examiner on the use of the Exam-ination Form 157C during the course of operating examinations for instant senior reactor operator candidates. J B. General Operators are required to hold a reactor operator (RO) license for 1 year before they are eligible to apply for a senior reactor operator (SR0) license. Exceptions are allowed, however, for those candidates who possess the necessary education, experience, and training to assume a supervisory role immediately. Standard ES-109 covers eligibility requirements to obtain R0 and SR0 licenses. C. Rules of Practice The rules of practice set forth in Standard ES-302, Section C, also apply during this type of examination and should be discussed with the candidate as indicated in Standard ES-302. The candidate should be p informed that his examination will cover the knowledges, skills, and r j abilities from the licensed operator level to the highest on shift level (,/ - of a licensed senior operator at his facility (shift supervisor, for example). The license or denial evaluation based on this examination 4 shall be made on an overall basis at the senior license level and no separate evaluation at the operator level shall be made. D. Conduct of Examination ' The conduct of an instant senior reactor operator examination is also specified in Standard ES-302. This examination is the most difficult and time consuming to administer because the candidate must be evaluated for two different levels of responsibility. The examiner must assure himself that the candidate has the necessary skills and abilities as a reactor operator and has the required knowledge and supervisory capabil-ities to function as a senior reactor operator. Therefore, the instant senior reactor operator examination must be a balanced combination of the reactor operator (ES-303) and the upgrade senior reactor operator (ES-304) operating examinations. Examination Report 157C has been developed for this purpose.

   / g Examiner Standards                     1 of 5

ES-305 E. Detailed Instructions

1. Operating Demonstration (Form 157C, page 3)

This phase of the examination is to be conducted in a manner similar to that specified in Standard ES-302, Section E. If a reactor startup demon-stration is performed, all of Sections 1.1, 1.2, and 1.3 must be completed. If a simulator examination is a part of the operating examination simula-tor forms (ES 302 attachments 5 and 11) should be completed instead of l pages 3 and 9 of form 157C and a note on page 3 should direct attention to the simulator forms attached. If the candidates have completed a startup certification and no simulator part is included then sections 1.1, 1.2 and 1.3 on page 3 should be audited on at least one candidate (Items 1.2.4 through 1.2.7 are not applicable). Section 1.3 should be completed for all candidates unless tested on the simulator part of the operating examir.ation. In the case of a startup certification, this section may be combined with other control room dis-cussions, and in the case where a simulator examination is involved these knowledges and abilities may be tested during the simulator examination.

2. Control Room (Form 157C, pages 4, 6, and 7)

The portion of the examination pertaining to the control room should be conducted similarly to that of the reactor operator examination (see Standard ES-303) in accordance with the following minimum requirements. If the examination includes a simulator part of the operating examination the system documented on pages 4 and 6 may be reduced to one for each type. Dge Systems Subject areas 4 Two major 6 4 Two auxiliary 6 4 Two engineered safeguards 6 6 Two nuclear instruments 6 6 One radiation monitoring 6 7 One normal electrical 5 7 One emergency electrical 5 The scope of coverage in this phase of the examination for the instant senior reactor operator candidates shall be more thorough than that for the reactor operator candidates. For the senior reactor operator, more emphasis should be placed on the procedural and administrative require-ments sections than for the reactor operator. The line of questioning for a reactor operator should be from a systems standpoint (e.g., hardware, instruments, and numerical values) for all systems covered; for an instant senior reactor operator, the examiner should also explore these areas from a functional viewpoint. Two examples of completed page 4s, one for a reactor operator, the other for an instant senior reactor operator, are attached to this standard. Several items should be noted concerning these two examples. Although the minimum number of required subject areas is six, (except for operating l Examiner Standards 2 of 5

ES-305 examinations with simulator parts) the e/amples show seven and more. This [mj V is indicative of a more comprehensive examination. Also, for the instant 1 senior reactor operator, the subjects in Items 5.0 through 7.0 are empha-sized more than those in Items 2.0 through 4.0. 4 1

3. Reactor and Auxiliary Buildings (Form 157C, page 8)

This phase of the examination is similar in conduct to that of the reactor operator (see appropriate section in Standard ES-302 for required coverage). The examiner must, however, broaden the scope of questioning to include the responsible areas of senior reactor operator knowledge and competence. Fuel-handling operationi should be included if practical.

4. Discussion (Form 157C, pages 9, 10 and 11)

The " Discussion" portion concerning responsibility and authority should be completely filled out for all candidates with the exception that knowledge demonstrated during a simulator examination does not have to be covered again during this discussion. Section 8.A. should be approached from both the reactor operator and senior reactor operator levels; the remain-ing subjects are primarily at the senior reactor operator level (see Stan-dard ES-304 for further explanation). During the nonsimulator operating examination, the examiner is required to explore in detail the candidate's knowledge of the integrated plant re- [

    \

sponse, including applicable procedures for at least two plant transients.

 \           For examination continuity and efficiency, it may be useful to combine this phase with the discussion on control room systems.

If a simulator demonstration is involved, Simulator Forms (Attachment 5 and 8 in Standard ES-302) should be completed instead of pages 3 and 9 of NRC Form 157C. During plant transient for which the applicant is the se-nior reactor operator (SRO) it is important for the examiner to evaluate the candidate's ability to maintain a perspective directed toward total plant coordination. The candidate should step back and maintain a " big picture" outlook regarding the transient. This is mach easier to accom-plish during a simulator demonstration, but it shall be evaluated during a plant examination if no simulator examination is involved. A

 /    n V

Examiner Standards 3 of 5

ES-305-1 ATTACHMENT 1 SAMPLE REACTOR OPERATION EXAMINATION REPORT Reactor Operator

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ES-305-2 [ ATTACHMENT 2 SAMPLE INSTANT REACTOR EXAMINATION REPORT Instant Senior Reactor Operator

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I Examiner Standards 5 of 5

' [N ES-306 Rev. 2 4/15/86 3 ) SCOPE AND INSTRUCTIONS FOR OPERATING EXAMINATIONS ADMINISTERED AT NON-POWER REACTORS A. Purpose-This standard specifies the difference in the scope of the operating examina-tions administered at non power reactors from those administered at power reac-tors. Instructions specifically for operating examinations at non power reac'- tors are included. The specifications in Standards ES-301 through ES-305 apply when no differences exist for non power reactors. Sections of ES-301 through ES-305 which are different for non power reactors are indicated in parenthesis after each paragraph heading. Where no differences exist, the specifications are not repeated in this standard, therefore, a knowledge of ES-301 through__ ES-305 is necessary when using this standard. B. Examination Requirements (ES-301, paragraph B) Non power reactor facilities do not have plant-referenced simulators. Refer-ences throughout standards ES-301 through ES-305 to the situation where a plant-reference simulator exists are not applicable to non power reactor facilities. However, non power reactor 6perator and instant senior operator candidates will . normally be required to perform actual reactor startup and shutdown demonstra-m tions. ~

                                                                                        ~'

C. Scheduling (ES-301, paragraph D) , The nominal length of operating and oral examinatinos are shorter for non power reactors than for power reactors due to the limited size and complexity of non-power reactors. There is no minimum or maximum length of operating examinations; however, for scheduling purposes, the normal length of exams is as -follows:

                                                           ~~

1. R0 - 2\ to 3k hours

2. upgrade SR0 - 1% to 2 hours

                                                                                           ~

3. instant SRO- 3 to 4 hours j D. ReportsofExaminations(ES-301,paragraphII The Examination Reports described in Standard 301TES 301, Attachments 1 through 3) are designed to be used for non power reactor examinations also.

Those portions of the report which are only applicable to power reactor candi-dates are shaded or included as a separate column on the Examination Report form. The general guidance contained in Standards 301 through 305 is also applicable to non power reactor examinations. Detailed instructions for com-pleting Examination Reports for non power reactors are contained in para-graph I of this standard. E. Rules of Practice (ES-302, paragraph C) The rules of practice specified in paragraph C of ES-302 are applicable to non-O power reactor examinations also. Note that most non power operator candidates are required to conduct an actual reactor startup. Examiner Standards 1 of 9

ES-306 F. Conduct of Examinations (ES-302, paragraph H) l The guidelines provided in this paragraph of ES-302 for reactor operators and instant senior operators are also applicable to reactor operator and instant s nior operators at non power reactors (except that Phase C, Reactor and Auxil-iary Building should read Facility Walkthrough). The upgrade senior operator will generally include the following phases: Phase A, Facility Administration Administrative requirements to include facility controls, facility reference caterials and emergency plan implementation. Phase B, Facility Walk Through Walk through of systems and procedures from outside control room, to include plant operations, core alterations and radiation protection. Phase C, Discussion Discussions of a specific nature concerning overall plant behavior including r;sponse to transients. G. Scope of Examination (ES-302, paragraph I) l The scope of the non power reactor operating examination must include those areas sper.ified in Standard 302. H. Systems and Subjects (ES-302, paragraph J) l Generic list of systems and subjects has been developed (Attachment 1 to this I standard). The examiner may select from this list, or a list specific to the vendor type and model of the reactor to be. examined on, those areas which he desires to cover during the operating-oral examination. The examiner should diversify his coverage and discuss as many of the systems and subjects as feasible during a specific assignment. I. Instructions for Completing Notes (ES-303, paragraphs B, C, and D)

1. General G:neral guidance for completing the Examination Report is contained in Stan-dard 303, paragraph B, and is fully applicable to the completion of notes for a non power reactor operating examination. An operating test administered to a reactor operator or instant senior operator candidate at non power reactor facilities will nearly always require actual reactor startups by the candidates.

Upgrade senior operator candidates will not normally be required to startup the reactor. If a malfunction should prevent actual operation of the reactor after the examiners have arrived at the facility, the reactor startup may be " walked-through". If the malfunction occurs prior to the examiners departure for the facility, the examinations should be delayed until the malfunction is corrected. O Examiner Standards 2 of 9

w - ~ q>-

          ~
                                    - ',                                                              ES-306

[ The most common method of examination for reactor operators and instant senior i']# : 1 operators is to have a " sit-down" period during which discussion items are covered, and a typical reactor startup checkiist is di.scussed, followed by a facility tour. The examination is then completed with a reactor startup demon-stration. Typical time requirements for this examination are:

1. discussion - 1/2 to 3/4 hour , l

2. walk through - 3/4 to 1 hour- )

3. control room - 1 to I hours  ;

i If possible, examinatiens should be scheduled so that reactor startup demon-1strations coincide with predicted or scheduled facility down times. The upgrade senior operator examination typcially will haVe a " sit-down" period during which administrative and supervisory items are covered and a facility tour which will stress administrative aspects of radiation safety and details

                 'of fuel handling. Typical time requirements for this examination are:

1. discussion - 1/2 to 3/4 hou'r

2. walkthrough - 3/4 to 1\ hour Administration of Exams (ES-302, paragraph E)

2. l

a. Operating Demonstration (Form 157 A or C, page 3) r~ This phase of the examination'for the reactor operator and' instant' senior (V , operator Gill normally be completed.by having the candidate perform an actual reactor startup or other reactivity'Nnipuldtion on the reactor. Instant'se-nior operator candidates are required'to perform the actual manipulations of a startup and should be placed in the position of a reactor operator'for the de-monstration. The examiner shall evaluate the can'idate's d knowledge and/or per-c formance for every subject on this page. In general, the operati'ng demonstra-

      ~
                ;t. ion should require the candidate to manipulate the controls to achieve criti-dality, attain a specified period during a power' increase, steady the reactor at a predetermined power level and place the reactor controls in automatici

_ ,,The candidate should also demonstrate,the ability to conduct a normal reactor sla:tdown or manual reactor scram. The type-of pre-startup check. performed should be specified, incluoing the pro-cc8ure number if applicable' Similarly, a description of the console operations should be specified, including.the initial conditions of the reactor. If ,a reactor malfunction prevents actual reactivity manipulations after the examination process has begun, the operating. demonstration may be performed as a " walk-through". This will be indicated on'page 2 of the report by checking - tRe'" Discussion" block. An appropriate explanation of the circumstances re-

        ~'

sulting in a. walk-through demonstration should be included on the cover sheet of the report. ,

b. Control Room (Form 157A or C, pages 4, 6 and 7)

The portion of the Examination Report pertaining to the control room consists i of three pages, and the format in Forms 157A and C is a matrix type that allows Examiner Standards 3 of 9 1

ES-306 the examiner to select with ease the systems and subjects he wishes to discuss. A generic list of systems and subjects which can be used as general guidance in selecting systems at a specific facility is included as Attachment 1. l The systems may be selected from this generic list. The system selected will be listed at the top of the columns. The subjects that can be discussed are arranged on the left-hand side of the page. Attachment 1 is not meant to be l an all inclusive list. Consideration must be given to the unique features of cach facility. To make best use of the time required for the administration of the examination and provide a uniform and reasonable basis for the issuance of a license or d:nial of an application, based upon the facility design, the examiner should use to the extent possible the following procedure for each applicant: NOTE: Variations to the procedure are permitted where the design of the non power reactor facility limits the areas and the extent of questions that can be addressed during the oral examination.

1. For reactor operator candidates, the " Control Room" section dealing with major, auxiliary and engineered safeguards systems will contain a minimum of two major systems, one auxiliary and one engineered safeguards system.

All four systems should be evaluated in a least six subject areas.

2. For instant senior operator candidates, the " Control Room" section dealing with major, auxiliary, and engineered safeguards systems will contain a minimum of two systems from each category. All six systems should be evaluated in at least six subject areas.

3. For the " Nuclear and Radiation Instrument" section, the examiner should select one nuclear and one installed radiation system, as a minimum, and at least six subjects in each system should be explored.

4. For the " Electrical" section, the examiner should select at least one electrical system for evaluation. The system selected should also be evaluated in at least six subject areas.

During the course of the discussions on the control room, the examiner should require the candidate to demonstrate his understanding and familiarity by locating and explaining:

a. control board instrumentation

b. control board controls

c. piping and instrument diagrams

d. procedures

e. other related reference data (such as logs, tag outs, and Technical Specifications)

A reactor operator candidate's response to at least two abnormal and/or emer-gency procedures should be evaluated during the control room phase of the - examination. An instant senior operator candidate's response to at least four l abnormal and/or emergency procedures should be evaluated during this phase. For those non power reactor facilities that do not have sufficient abnormal and/or emergency procedures in use, the examiner should evaluate abnormal and/ or emergency procedures to the extent possible at that facility. Examiner Standards 4 of 9

ES-306 1 c. Facility Administration (Form 1578, page 3) This phase of the examination for the upgrade senior operator will normally be completed in the control room and consists of " talk-throughs" of various admisistrative controls necessary for the safe operation of the reactor. Por-tions of this phase may also be completed concurrently with the facility walk-through and discussion phases. At least one facility control procedure and one facility reference in addition to the specified topics listed on page 3 shall be evaluated. The plant operations dic:ussion should emphasize supervisory re-sponsibilities,

d. Facility Walk Through

1. Reactor Operator and instant senior operator (Form 157A page 8 or Form 157C, pages 8 and 10.)

The control room licensed personnel are responsible for directing the activities

       -of all facility personnel in areas which could affect the safety of the plant and as such should be familiar with plant layout, design, local procedures, and radiological and safety conditions. The may evaluate the candidate's knowledge in this phase by a variety of methods:

a. He may select at least four systems from the list of items and discuss a minimum of five subjects for each system.

q b. From control room discusssions, the examiners h1ay generate a list of items which require local monitoring, verification or manipulation. (U j

c. The examiner may select at least two proceduras whose actions must be per-formed in the plant.

These or alternate methods should be used for the plant " walk-through" phase of the examination with the following guidelines:

a. The respor.se to at least one local emergency procedure should be evaluated.

b. One entry into a radiation controlled area should be made. As an alternate a discussion of handling radioactive materials may be conducted.

c. The examiner should diversify his coverage of the plant for a group of candidates.

d. For these non power reactors having associated experimental facilities the examiner should include discussions related to insertion, removal and haul-ing of' experiments including administrative controls, to the extent the operator or senior operator is responsible.

The examiner should evaluate the candidate's knowledge of the facility's Emer-gency Plan as it pertains to the job responsibilities af a reactor operator. Although the senior operator in charge is usually responsible for classifying and implementing the appropriate Action Levels, the R0 should know those levels and his response and duties for each one. In addition, the operator must be O) t v able to respond to other emergencies such as fire and security intrusion. Examiner Standards 5 of 9

ES-306 The Radiation Protection and Safety portion will be completed by the examiner exploring those areas within the candidate's responsibility for personnel pro-tection and for the control and discharge of radioactive wastes. During the course of the control room and plant walk-through the examiner will evaluate the candidate's responsibility associated with the safe operation of the facility. This evaluat' ion need not be performed by direct questioning of the candidate but may be accomplished by observing his response to unexpected or incorrect existing plant conditions. Senior Operator candidates should also be evaluated on their knowledge of fuel-handling operations and equipment.

2. Upgrade Senior Operator (Form 157B, Page 4)

Since an upgrade senior operator has previously passed an operating test, the facility walk-through for these candidates is limited primarily to aspects of reactor facility operations for which a senior operator is solely responsible or for which a senior operator's responsibilities are significantly different than that of an operator. The following guidelines apply to the facility walk-through for upgrade senior operators:

a. Each item on page 4 of Form 1578 should be evaluated.

b. Candidates knowledge of fuel handling should be evaluated at an appropriate location outside the control room from which core alterations are performed.

c. One entry into a radiation controlled area should be made if feasible. As an alternate, a discussion of handling radioactive materials may be conducted.

In the area of facility operations, the candidates knowledge and use of local procedures or experiment facilities shall be evaluated. Additionally, a brief check of the candidates systems and operational knowledge should be made. If a candidate appears to be weak in these areas, more extensive coverage in these areas should be performed and documented in the comments section.

e. Discussion (Form 157A, pages 9 & 10, Form 1578, pages 5 & 6, Form 157C, pages 9 & 10)

The initial section of the examination is the Discussion portion and is divided into two parts, both of which must be used by the examiner:

a. Integrated Plant Response b 1. Principles of Nuclear Hon Power Reactor Facility Operation (furm 157A)

2. Theory of Nuclear Non Power Reactor Facility Operation (Forms 157B and C)

During the oral phase the examiner shall examine in detail the candidate's know-ledge of the reactor transient response including applicable procedures for at least one transient. The back of the examination notes may be used for sketches Examiner Standards 6 of 9

ES-306 f%

 \j or additional sheets may be attached. This portion of the examination need not be a separate discussion. In fact, it may be more useful and efficient to com-
      -bine this phase during other portions of the examination. For example, by pos-tulating a plant upset condition such as.a reactor scram, the examiner may in-clude in the discussion one or more of the plant systems required to be covered in the Control Room discussion.

The Principles of the Nuclear Non Power Reactor Facility Operation (Theory of  ; Nuclear Facility Operations for senior operators) portion of the notes must be i completely filled in with evaluations for each candidate in every subject. Again this discussion may be combined with other areas for exam continuity and efficiency. It is important for the candidate to use and explain existing plant information for this phase of the examination. Examples include reactivity data used in ECP's and reactivity changes due to approved experiments. I

   \
    \

Examiner Standards 7 of 9

ES-306-1 ATTACHMENT 1 TOPICS FOR OPERATING EXAMINATIONS - NON-POWER MAJOR SYSTEMS: reactor reactor power level control control rods control rod drives primary system secondary system mechanical design (fuel assembly) reactor vessel pool - took core contruction AUXILIARY SYSTEMS: reactor building cooling water control, instrument, service air (compressed air system) sampling system fire protection system service water system equipment and floor drainage containment air recirculation radioactive waste (solid and liquid) demineralized water heating ventilation and air conditioning l reactor water clean-up/make-up beam tubes thermal columns pneumatic tube systems incore experiment tubes chemical additions Engineered Safety Features: decay heat removal core spray l core flooding control rod velocity limiter containment / reactor building isolation reactor building isolation reactor protective system Nuclear and Radiation Systems: startup channels log N channels safety channels O Examiner Standards 8 of 9

                      -           . - = - - . _    . - - .   .-. .- .. .          - - -._ - .                       - . ,     -

T b

ES-306-1 )

t f(\

              , Nuclear and Radiation Systems:              (continued)

_ incore instrumentation /incore probe

-liquid effluent monitors process radiation monitors

                     -area radiation monitors gaseous effluent stack gas Electrical normal AC' supply emergency AC supply normal DC-supply

. emergency DC' supply reactor protection' electrical power system batteries Reactor Facilities s fuel handlirig and storage exposure rooms beam tubes- , thermal columns

pneumatic tube facilities

j. ' liquid waste handling and disposal

gaseous waste handling

!' solid waste handling.and disposal a leactor Transient Response Power increase / decrease - auto control Power increase / decrease - manual control 4 emergency shutdown from full power I. scram --hot restart sub critical to critical normal shutdown from full power rod malfunction

                    -prir..ary system leak

+ control instrument malfunction ' , fuel clad failure l' r 4 i i' i l I: . i Examiner Standards 9 of 9

     .. _.-.;__._                               .,____.___..._._.-___,..-.__-__.a.            . _ _ . - _ _ _ , _ ,       . _ _ , .

O V ES-401 Rev. 2 4/15/86 ADMINISTRATION OF WRITTEN EXAMINATIONS TO SENIOR REACTOR OPERATORS - POWER REACTORS A. Purpose This standard specifies the difference in preparation of senior reactor operator written examinations and reactor operator examinations. B. Preparation of Examination The examiner shall prepare the examination questions and answers using Standards ES-402 and ES-403 for guidance. One copy of the examination and one copy of the answers shall be forwarded to the appropriate l regional section chief for review. The " Written Examination Quality Assurance checkoff sheet", attachment 1, ES 107, should be filed with the master copy of the examination. The examiner shall conduct a detailed review of his examination using attachment 1, ES-107. A second n examiner shall perform a brief review of the written examination and answer key using attachment 1, ES 107; and the regional office operator (V ) licensing section chief should sign attachment 1 ES 107 to indicate that the examination has been reviewed. C. Administration and Grading Administration and grading of the senior reactor operator written examination is the same as for the reactor operator written examina-tion as specified in ES 201. ES 104 describes the post examination activities and reports. ES 107 and ES 108 describe the quality assurance programs for review of the examination and the grading. i Examiner Standards 1 of 1

    - . . .              --       ~ ~ -         .~  - - - .                           . . - - . - . - .    .                      -- -.

s a ES-403 Rev. 2 4/15/86 l STRUCTURE OF WRITTEN EXAMINATIONS ADMINISTERED TO' . SENIOR REACTOR OPERATORS - POWER REACTORS

                     'A.      Purpose-This standard specifies the format, category weights, and depth of knowledge for senior reactor operator written examinations.

i B. General Structure p Each written examination shall be divided into four categories in accordance F with Standard ES-402. C.. Cover Sheet ! A cover sheet, with the format shown in attachment 1 ES-403-1, shall be used on ! all written examinations. This sheet will provide for' ready identification of. the structure of the examination and, subsequently, of the relative strengths ' and weaknesses of the candidate after the examination has been graded.

                     - All items in the upper corner of the cover sheet, except the name of the candi-

- date (and sometimes the date administered),.should be filled out when the exami-i- nation is prepared and reproduced. The reactor type aids headquarters in readily l_ correlating the. examinations of similar facilities and should be as descriptive

- as possible (e.g., BWR and PWR-W). The " Examiner" line shall contain the name of the examination author. The first two columns on the cover sheet should be filled out at the time of the initial preparation.

4 D. Weighting of Categories The relative weight of each category in the examination, as a percentile of total worth, shall be 25% i 3% for each section. Category 5 shall be weighted

so that 15% i 1% (60% i 4% of the category) consists of theory of nuclear plant j operations and 10% i 1% (40% i 4 of the category) consists of theory of fluids and thermodynamics.

i l E. Value of Questions i The examiner shall assign a point value to each question and indicate this value j .in parentheses after the question. The point value of a question is a judgment factor based on the combination of the following factors: significance of the

knowledge to the senior reactor operator, difficulty of the question, amount of i time required to answer the question, depth of knowledge required to answer the question, and the content of the question.

The general structure of the examination should be such that a safe and compe- ! tent operator will score above 80% on the entire test and above 70% in each \ Examiner Standards 1 of 3 l

                                                               ~

ES-403 category. The percentage attained in each category will be used, in conjunction with operating test results, to identify strengths and deficiencies of the candidate. When the candidate is sent the results of his examination, a copy of the graded examination shall be forwarded to the candidate. If a candidate failed the written examination, a copy of the final approved answer key shall also be forwarded to the candidate. A copy of the " Examination Results Summary Sheet" (Attachment 5 ES 201) shall be sent to plant management (training department) for their use in developing retraining and requalification programs, and to the Management Assistant, OLB. O l O l Examiner Standards 2 of 3

 ,G                                                                                                                                                                                                                                                          ES-403-1

(' l Attachment 1 U.S. NUCLEAR REGULATORY COM4ISSION SENIOR REACTOR OPERATOR LICENSE EXAMINATION Facility: Reactor Type: Date Administered: Examiner: Candidate: INSTRUCTIONS TO CANDIDATE: Use separate paper for the answers. Write answers on one side only. Staple question sheet on top of the answer sheets. Points for each question are indi-cated in parentheses after the question. The passing grade requires at least 70% in each category and a final grade of at least 80%. Examination papers will be picked up six (6) hours after the examination starts.

                                                                                                                                                     % of Category    % of                            Candidate's                                    Category Value      Total                               Score                                       Value                                                                                            Category I

t

5. Theory of Nuclear l \ Power Plant Operation, Fluids, and Thermo-dynamics

6. Plant Systems Design, Control, and Instrumentation

7. Procedures - Normal, Abnormal, Emergency, and Radiological Control

8. Administrative Pro-cedures, Conditions, and Limitations Totals Final Grade All work done on this examination is my own, I have neither given nor received aid.

p Candidate's Signature i Examiner Standards 3 of 3

gy ES-601 ( ) REV 2 4/15/86 0 ADMINISTRATION OF NRC REQUALIFICATION PROGRAM EVALUATION A. Purpose This standard establishes the procedures for administering the NRC evaluation of utility requalification programs Included are methods of selecting util-ities to be evaluated, methods of auditing, evaluation criteria, action guide-lines, and required administrative forms and records. B. Program Description The NRC regional staff will determine the schedule for facility audits based on the criteria described in Paragraph C below. During these audits, the staff shall evaluate the strengths and weaknesses of the facility requalification program. The methods to be used to conduct this evaluation are (1) to adminis-ter an NRC-developed written examination, and (2) to conduct NRC simulator-oral operating examinations. The evaluation program will include as a minimum (1) simulator-oral operating examinations administered by NRC-certified examiners and (2) a complete NRC prepared written examination for each facility selected for audit. The exami-fm nations should emphasize operational rather than theoretical knowledge. The ( ) content of the examination should be about 60% of that for a standard licensing

k. '

examination, and time allowed to complete the written examination shall be limited to 4 hours. Review of facility grading of previously administered written requalification examinations also may be performed. This effort, to-gether with an evaluation of actual operating experience, will provide an indi-cation of the effectiveness of the licensee's overall operator requalification training program. The intent of this program is to conduct the full evaluation of 20% of the operators and senior operators at 50% of the facilities each year. Whenever resources are inadequate to conduct this level of effort, the number of facilities evaluated will be reduced. C. Selection Criteria The regional administrator or his designee will establish the priority of facil-ities to be evaluated based on the following inputs:*

1. licensee event report history and recent facility performance, which relates to licensed operator performance

2. previous ratings on Systematic Assessment of Licensee Performance (SALP),

Criterion 7, Training Effectiveness and Qualification

         *These are not intended to be all inclusive. Other selection criteria may be appropriate as determined by the region.

Examiner Standards 1 of 13

ES-601

3. recent operator licensing and NRC requalification examination results

4. licensed operator and senior operator training program accreditation (such {

as the Institute of Nuclear Power Operations' (INP0) Facility Training Accreditation Program)

5. recommendations by senior resident inspectors or NRC examiners

6. results of routine inspection of the facility licensed operator training program

7. number of shifts and number of licensed operators

8. size of plant training staff in relation to the number of licensed operators For the above criteria, the following policies apply:

1. Any plant evaluated as SALP Category 3 in the area of licensed operator training effectiveness and qualifications or any plant with a large number of errors by licensed operators or that has had a particularly serious error committed by licensed operators should be assigned the highest priority.

2. Except as specified in (3) below, any plant that has not been evaluated in the previous 2 years shall be selected.

3. Any plant evaluated as SALP Category 1 in the area of licensed operator training or having an INP0-accredited Operator Requalification Program may be considered for a 50% extension of the nominal biennial evaluation (e.g., NRC participation every 3 years).

D. Examination Format The following guidelines should be observed:

1. During every site visit to conduct requalification program evaluations, the NRC examiners shall administer an NRC prepared written examination and simulator-oral operating examinations to 20% of the operators and senior operators. The 20% should include a representative sample of licensed personnel; for example, 20% of on shift operators and senior operators and 20% of non operating shift operators and senior operators.

Personnel who have passed an NRC license or requalification examination within the last year may be excluded from consideration for the 20% sample. NRC-administered oral examinations are permitted regardless of whether they are normally administered as part of the facility's NRC-approved requalification program.

2. In addition to the written examinations prepared by NRC examiners, copies of a previous facility-administered written examination may be graded by an NRC examiner. The examiner should compare NRC grading and facility grading as part of the requalification program evaluation.

Examiner Standards 2 of 13

ES-601

/7

3. For facilities with plant-referenced simulators, the requalification audit examination should include an evaluation of 20% of the operators and se-nior operators on the simulator.

4. The NRC administered requalification examination shall be comprehensive to test the overall requalification training program. The exam shall not be limited to the particular cycle or module just completed at the time of the exam.

E. Program Administration Program administration is the responsibility of the NRC regional offices. Each regional office should maintain a current facility requalification schedule for each facility in its region. NRC will request facility schedules annually when the generic letter requesting replacement and instructor certification examina-tions is issued and will provide these schedules to the regional offices. Facilities may adjust their program examination dates to even out NRC examiner workload, if agreed to by the facility and the regional staff. Once a schedule is mutually agreed upon by the NRC regional office and the facility, it should not be changed except for special circumstances (such as outages). Facilities should normally be contacted at least 3 months before the scheduled requalifica-tion examination dates. Tentative examiner assignment (s) should be made at this time (see Attachment 1). Following the guidelines of Paragraphs C and D above, the extent of the requalification program evaluation will be determined by the region. Reference material required from the facility to prepare for o the requalification audit should be requested from the facility approximately I ) 60 days before the scheduled visit, using the format of Attachment 2 as a guide. V The assigned examiner (s) should prepare for the written and operating examina-tions to be conducted in accordance with the appropriate operator licensing standards for licensing examinations. Once at the site, the examiner (s) shall meet with facility management, review with them the schedule for NRC participa-tion in their program, and arrange the details necessary to conduct the evalua-tion. The requalification examination conducted by the NRC examiner (s) should be operationally oriented and conducted in accordance with this and existing operator licensing standards for written and operating examinations. The facil-ity learning objectives for the requalification program shall be the primary subject areas tested on a requalification examination, and to the extent that these subject areas overlap with replacement training objectives overlap of re-placement and requalification examinations may occur. However, the length of the examinations should be about 60% of the standard licensing examinations. The NRC written examination .s50uld be reviewed by facility personnel in accor-dance with the review policy established in ES 201.H. Required forms and reports are included as Attachments 3 and 4. The appropriate portions of NRC Form 157, " Operator Examination Report," shall be used for NRC-administered oral examinations and the appropriate portions of Attachments 5 and 11 to ES-302, shall be used for NRC administered simulator examinations. When the program evaluation is completed, an exit briefing should be conducted and any significant program deficiencies noted should be discussed. The exami-ner(s) shall not indicate whether the program is evaluated as satisfactory or unsatisfactory at the exit briefing. (") After returning to the regional office, the examiner (s) shall grade the written examinations and review the results of his (their) evaluation. The examiner (s) Examiner Standards 3 of 13

ES-601 shall then recommend an overall satisfactory or unsatisfactory evaluation of the licensee requalification program (Attachment 4) and forward the results for approval as established by regional directives. Included, as an attachment to the form, will be the names of those individuals with unsatisfactory results on some portion of the examination and for whom the facility should take corrective action as required by its approved requalification program. F. Program Evaluation The overall evaluation of the program adequacy should fall into one of the fol-lowing three categories: (1) programs evaluated as satisfactory, (2) programs cvaluated as unsatisfactory, or (3) programs falling between a satisfactory and an unsatisfactory evaluation. The criteria for each of the categories follow. I

1. To be evaluated as satisfactory a program should meet the following criteria:

More than 80% of the evaluated operators passed all portions of the examinations. j

2. To be evaluated as unsatisfactory are those programs where:

I Less than 60% of the evaluated operators passed all portions of the examinations. l When a program is evaluated as unsatisfactory, the regional administrator or d; signee shall assess the safety significance of the identified deficiencies and determine the follow-up response. If sampled operator knowledges or per-formance indicate significant generic deficiencies related to the ability of operators to safely continue operation or their ability to safety shutdown the facility, then plant shutdown pending completion of corrective action may be warranted. In making this determination, the criteria noted in Paragraphs C and F.4 should be reviewed for consideration of the timeframe in which utility corrective actions should be taken. Except in unusual circumstances requiring immediate action, follow-up on an unsatisfactory program should take place within one month of the issuance of the examination report if the plant is operating and should contain the follow-ing elements: (1) A reactive performance-based training inspection. (2) Conduct full scope examinations for a second sample (20%) of licensed personnel. (3) Meet with senior facility management to discuss examination and inspection results, identified deficiencies, proposed utility corrective actions and their implementation schedules.

3. Programs falling between a satisfactory and an unsatisfactory evaluation include those where only 60 to 80% of the examinees passed all portions of examinations administered by NRC examiners.

Examiner Standards 4 of 13

ES-601

/n )         For those programs falling between a satisfactory and an unsatisfactory       1
  %j         evaluation, the regional administrator or his designee should request the licensee to identify proposed corrective actions and schedules for their implementation. Schedules for followup audits should be established by the regional administrator or his designee to ensure that effective cor-rective actions are implemented.

4. Because a small sample (20%) of licensed operators is tested, there is a risk of decision errors regarding the acceptability of the utility training program. Therefore, the regional staff should include consideration of other indications of the licensee's commitment to provide high quality training to the licensed operators. This may include:

a. trends indicated by the evaluation of selection criteria in Para-graph C

b. facility management response in the exit briefing

c. facility proposals for corrective actions

d. ongoing efforts by the facility to upgrade the training

5. Marginal performance on 2 successive requalification program audits shall result in an unsatisfactory rating on the second audit. Improvement from unsatisfactory to marginal should not result in an unsatisfactory rating Q on the second audit. Follow-up audits to ensure effective corrective ac-i tions to improve a marginal or unsatisfactory program are a process related

   "           to the audit that found the program to be marginal or unsatisfactory and are not to be counted as a separate audit. A second audit would be an audit following the completion of the corrective action that returned a marginal or unsatisfactory program to satisfactory.

G. Renewals If a satisfactory evaluation is reached, requests for renewals will be made based on proper certification by facility officials until the next program evaluation. The facility certification shall include certification of accel-erated retraining completion for individuals who have failed either an NRC or facility administered requalification examination. If an evaluation clearly falls between a satisfactory and an unsatisfactory rating, renewals should be made if the corrective actions identified are being implemented to the extent and in accordance with the schedule established above. If an evaluation is unsatisfactory, renewals will be issued only for those operators who pass an examination administered by the NRC until identified cor-rective actions have been implemented. The regional administrator or his desig-nee may agree to accept facility certification and issue renewals based on this certification when they have determined that program quality has been upgraded g to satisfactory as indicated by additional audits, inspections, or other reviews j of the licensee's performance. O Examiner Standards 5 of 13

ES-601 H. Final Requalification Program Evaluation Report A final requalification prngram evaluation report similar to the final examination report for a licensing examination shall be prepared when the grading of requalification examinations has been completed. If Attach-ment 4 (to ES 601) is not included in the report, the report shall con-tain the information required to complete Attachment 4. A complete copy of the report shall be filed in the facility requalification file. A copy of the NRC Administered Requalification Examination Results Summary, Attachment 3, ES 601, shall be forwarded to the Management Assistant, Regional Support and Oversight Section, OLB. Note: The results summary is required to verify OLTS data and for statistical data. Neither OLB nor the Regional Offices shall retain examination results identified to individuals except that individual results may be kpet in the regional offices' facil-ity requalification file for programs that are judged to be unsatisfactory. These individual results should be purged from the file when the requali-fication training program has been upgraded to satisfactory. I. Records

1. A facility requalification file shall be maintained for each facility.

All evaluation forms, records, assignment sheets, and correspondence re-lating to the requalification program audit for the latest two evaluations shall be retained. This file should also contain a copy of the NRC-approved requalification training program (consisting of the program con-tent and the implementation plan), and any requested or approved amendments (such as the responses to Task Action Plan Items I.A.2.1 and II.B.4) and the associated approval letters or safety evaluation reports.

2. When the requalification evaluation has been completed by the Regional Office, a copy of all NRC administered written, oral and simulator examination results shall be supplied to the facility. The facilities are required to maintain these records for 2 years by Appendix A of Part 55 10 CFR.

3. A copy of the results summary (Attachment 3) shall be sent to the Manage-ment Assistant, Regional Support and Oversight Section, OLB. These sum-maries shall be used for statistical data gathering, and neither OLB or the Regional Office shall retain test results or summary sheets that iden-tify individuals to requalification examination results.

J. Cover Sheet A cover sheet, with the format shown in attachments 5 or 6 of this stan-dard shall be used on all written requalification examinations, and the rules and guidance from ES 201-2 should be placed in the examination pack-age following the cover sheet. O Examiner Standards 6 of 13

+ ES-601-1 ATTACHMENT 1 7'

    \

ASSIGNMENT TO EVALUATE LICENSED OPERATOR REQUALIFICATION PROGRAM NRC Examiner (s): Assignment To Evaluate Licensed Operatoc Requalification Program at You are assigned to evaluate the requalification program at the above named facility. Please make arrangements to perform the following aspects of the evaluation program: Generate a complete written examination to replace the facility reactor operator (RO) examination. Generate a complete written examination to replace the facility senior reactor operator (SR0) examination. Administer plant oral ex minations to operators and senior operators. Administer simulator examinations to operators and senior operators. Review grading of previous examinations. [V) Date(s) of Evaluation:

Facility

Contact:

) Simulator Location: Comments: 1 i I Examiner Standards 7 of 13

ES-601-2 ATTACHMENT 2 FORM LETTER TO FACILITY VICE PRESIDENT - REFERENCE MATERIAL REQUIRED Date: To:

Subject:

Requalification Program Evaluation In a telephone conversation between Mr. (title, i.e., training coordinator) and Mr. (section chief), arrangements were made for an evaluation of the requalification program at the (facility name). The evaluation visit is scheduled for the week of (date). For this visit, the NRC examiner will administer NRC prepared written, oral, and simulator examinations. When the NRC examiner arrives at the site, he will meet with the appropriate facility personnel to review the schedule for these examinations. For the examiner to adequately prepare for this visit, it will be necessary for the facility to furnish the approved reference material listed in Enclosure 1 " Reference Material Requirements for Requalification Program Evaluations," by (date). Mr. has been advised of our reference material requirements and where they are to be sent. This request for information was approved by the Office of Management and Budget under Clearance Number 3150-0101, which expires June 30, 1986. Comments on burden and duplication may be directed to the Office of Management and Budget, Reports Management Room 3208, New Executive Office Building, Washington, D.C. 20503. Thank you for your consideration in this matter. If you have any questions on the evaluation process, please contact (regional section chief and telephone number). Sincerely, (Appropriate Regional Representative) DISTRIBUTION: Project Manager Resident Inspector Regional Section Leader Examiner (s) Facility Training Coordinator O Examiner Standards 8 of 13

ES-601-2 O ENCLOSURE 1 ( ) REFERENCE MATERIAL REQUIREMENTS FOR REQUALIFICATION PROGRAM EVALUATION

1. An index of administrative, operating, abnormal and emergency procedures.

2. All administrative procedures (as applicable to reactor operation or safety)

3. All integrated plant procedures (normal or general operating procedures)

4. Emergency procedures (emergency instructions, abnormal, or special procedures)

5. Standing orders (important orders which are safety related to and may supersede the regular procedures)

6. Fuel-handling and core-loading procedures (initial core-loading l procedure, when appropriate)

7. Annunciator procedures (alarm procedures, including set points)

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

! 9. Emergency plan a

10. Technical Specifications

11. Plant technical data (curve) book

12. Lesson plans (training manuals, learning objectives, plant orientation manual, systems descriptions)

13. Systems operating procedures

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

15. Copies of facility R0 and SR0 requalification examinations admin-l istered during the past 2 years

16. Simulator malfunction list with descriptive summary of malfunction l effects.

! All of the above referenced material should be approved, final issues and should be so marked. Uncontrolled, preliminary, or other such l issues will not be acceptable. All procedures and reference material l should be bound or in the form used by the control room operators, with j appropriate indexes or tables of contents to ensure efficient use.

    )
 \_/

Examiner Standards 9 of 13

ES-601-3 ATTACHMENT 3 NRC ADMINISTERED REQUALIFICATION EXAMINATION RESULTS

SUMMARY

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t ES-601-4 ( ATTACHMENT 4

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REQUALIFICATION PROGRAM EVALUATION REPORT

 ,         Facility:

Examiner: Date(s) of Evaluation: Areas Evaluated: Written Oral Simulator Examination Results: . R0 SR0 Total Evaluation Pass / Fail Pass / Fail Pass / Fail (S, M or U) Written Examination Operating Examination Oral Simulator Evaluation of facility written examination grading

. Overall Program Evaluation

   /

i \ Satisfactory Marginal Unsatisfactory (List major defi-ciency areas with brief descriptive comments) I Submitted: Forwarded: Approved: 1 Examiner Section Chief Branch Chief 1 b . Examiner Standards 11 of 13

ES-601-5 Attachment 5 U.S. NUCLEAR REGULATORY COMMISSION SENIOR REACTOR OPERATOR REQUALIFICATION EXAMINATION Facility: Reactor Type: Date Administered: Examiner: Candidate: INSTRUCTIONS TO CANDIDATE: Read the attached instruction page carefully. This examination replaces the current cycle facility administered requalification examination. Retraining r:quirements for failure of this examination are the same as for failure of a requalification examination prepared and administered by your training staff. Points for each question are indicated in parentheses after the question. The passing grade requires at least 70% in each category and a final grade of at 1:ast 80%. Examination papers will be picked up six (6) hours after the examination starts.

                                       % of Category    % of     Candidate's    Category Value      Total       Score        Value              Category
                                                 -1. Principles of Nuclear Power Plant Operation, Thermo-dynamics, Heat Transfer and Fluid Flow
                                                 -2. Plant Design Including Safety and Emergency Systems

3. Instruments and Controls

                                                 -4. Procedures - Normal, Abnormal, Emergency, and Radiological Control Totals Final Grade All work done on this examination is my own, I have neither given nor received aid.

Candidate's Signature O Examiner Standards 12 of 13

ES-601-6 Attachment 6 (] U.S. NUCLEAR REGULATORY COMMISSION SENIOR REACTOR OPERATOR i~ QUALIFICATION EXAMINATION Facility: Reactor Type: Date Administered: Examiner: Candidate: INSTRUCTIONS TO CANDIDATE: Read the attached instruction page carefully. This examination replaces the current cycle facility administered requalification examination. Retraining requirements for failure of this examination are the same as for failure of a requalification examination prepared and administered by your training staff. Points for each question are indicated in parentheses after the question. The passing grade requires at least 70% in each category and a final grade of at least 80%. Examination papers will be picked up six (6) hours after the examination starts.

                                         % of Category    % of     Candidate's    Category p)

(

'v Value     Total       Score        Value 5.

Category Theory of Nuclear Power Plant Operation, Fluids, and Thermo- i dynamics

6. Plant Systems Design, Control, and Instrumentation

7. Procedures - Normal, Abnormal, Emergency, and Radiological Control

8. Administrative Pro-cedures, Conditions, and Limitations Totals Final Grade All work done on this examination is my own, I have neither given nor received aid.

O i Candidate's Signature Examiner Standards 13 of 13

NRC POR48 3J8 U $. NUCL E AR i t iULATOR Y COuMISSION i AtroAT NUUsta tesseneo &y TiOC ser vos No. ef ears NUREG-1021 b'8 BIBUOGRAPHIC DATA SHEET Rev. 2 gE t #N3TRUCTsONS ON THE REVf RSE 3 n tTLE ANO SUS TITLg J LE AVG SLANK Operator Licensing Examiner e DAf t REPORJ COMPLETED MONTH vtAR

 . U T OR,,,                                                                                                      April                                       1986 e D A T E R EPOH T ISSUED Ted Szymanski and Others                                                                                                                  l April                                      1986 7 PtRf 0RMING ORGANt2 AllON NAME AND MAILING ADDRESS stactedeld Ceep                                        a PHOJECteT ASENWORK UNIT NUM9tR Division of Human Factors Technology Office of Nuclear Reactor Regulation                                                                     ' " ' " ' " ' ' ' ' " * " "

U.S. Nuclear Regulatory Commission Washington, DC 20555 10 SPONSOMsNG ORGANil ATION NAME AND MA LING ADOHL 55 (factuee /g Cases ile TYPEOFREPOHT Same as 7. above. ,,,,,,,,co,,,,,,,,,,,,,,,,,,,, 12 SUPPL E Mt N T AR Y NO T t 8 s 3 AslT R AC T (200 stores er aessi The Operator Licensing Daminer Standards provide policy and guidance to NRC G examine- and establish i ! procedures and practices for examining and licensing of applb its for NRC operator licenses pursuant to Part 55 of Title 10 of the Code of ! ederal Regulations (10 CFR 55). They are intended to assist NRC examiners and facility licensees to understand the examination process better and to provide for equitable and consistent administration of examinations to all applicants by NRC examiners. These standards are not a substitute for the operator licensing regulations and are subject to revision or other internal operator examination licensing policy changes. As appropriate, these standards will be revised periodically to accommodate comments and reflect new infonnation or experience, to DOCUMt NT ANAL v$ts - e a E vWORUS DESCRirTOMS 'S A W A L'8' L'I Y Examiner Standards Unlimited

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